Part 2A of Form ADV: Firm Brochure Item 1 Cover Page ROCHDALE ...
Part 2A of Form ADV: Firm Brochure Item 1 Cover Page ROCHDALE ...
Part 2A of Form ADV: Firm Brochure Item 1 Cover Page ROCHDALE ...
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Jeffrey L. Gage, AIF® (Year <strong>of</strong> birth – 1960)<br />
<strong>Item</strong> 2 Educational Background and Business Experience<br />
Mr. Gage received his Artium Baccalaureus degree in engineering from Lafayette College.<br />
Mr. Gage is the President <strong>of</strong> FCA Rochdale and a Senior Vice President <strong>of</strong> Rochdale. He brings to Rochdale over 25<br />
years <strong>of</strong> expertise managing sophisticated clients using a comprehensive HNW service.<br />
Mr. Gage began his career with Peat Marwick Mitchell & Company and Cigna Financial Services before founding<br />
his own firm, FCA, in 1992. Mr. Gage has been president and owner <strong>of</strong> FCA since its founding. He is also a<br />
designated FINRA expert witness.<br />
Mr. Gage holds the Accredited Investment Fiduciary® (“AIF®”) designation. AIF® designees have successfully<br />
completed a specialized program on investment fiduciary standards <strong>of</strong> care. After the training program they must<br />
successfully pass an examination, conform to a code <strong>of</strong> ethics and complete 6 hours <strong>of</strong> continuing education<br />
requirements on a yearly basis.<br />
<strong>Item</strong> 3 Disciplinary Information<br />
Registered investment advisers are required to disclose all material facts regarding any legal or disciplinary events<br />
that would be material to your evaluation <strong>of</strong> each supervised person providing investment advice.<br />
There are no legal or disciplinary events to report relative to Mr. Gage.<br />
<strong>Item</strong> 4 Other Business Activities<br />
Mr. Gage is also the sole owner <strong>of</strong> FCA Associates LLC where he provides insurance and financial planning<br />
services to which he collects fees.<br />
Mr. Gage is also an owner <strong>of</strong> Acebes, D’Alessandro and Associates (“ADA”), the controlling member <strong>of</strong> Rochdale<br />
and affiliates, thus Mr. Gage receives a portion <strong>of</strong> ADA’s earnings.<br />
<strong>Item</strong> 5 Additional Compensation<br />
Mr. Gage may receive compensation based on the total assets he manages or generates and the management fees<br />
generated by those accounts.<br />
As an owner, Mr. Gage also receives a portion <strong>of</strong> pr<strong>of</strong>its earned by the firm.<br />
<strong>Item</strong> 6 Supervision<br />
Rochdale’s Chief Executive Officer Garrett D’ Alessandro and Chief Compliance Officer, Barbara Hawkesworth,<br />
Esq. supervise and monitor the activities <strong>of</strong> Mr. Gage as it relates to the <strong>Firm</strong> and its clients. Such is done through<br />
various channels including compliance meetings and reviews <strong>of</strong> documents related to his clients and monitoring <strong>of</strong><br />
accounts through automated reports generated directly to the Compliance Department. The <strong>Firm</strong>’s Chief<br />
Compliance Officer, Barbara Hawkesworth may be contacted at 212-702-3500.
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