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 ...
Item 1 Cover Page John T. Fulgham, AIF® Rochdale Investment Management 605 Crescent Executive Drive, Suite 320 Lake Mary, FL 32746 (407) 333-1677 March 31, 2012 Rochdale Investment Management 570 Lexington Avenue, 9 th Floor New York, NY 10022 (212) 702-3500 www.rochdale.com This brochure supplement provides information about John T. Fulgham that supplements Rochdale Investment Management LLC’s (“Rochdale”) brochure. You should have received a copy of that brochure. Please contact Rochdale’s Compliance Department by calling (212) 702-3500 if you did not receive Rochdale’s disclosure brochure or if you have any questions about the contents of this supplement. Additional information about John T. Fulgham is available on the SEC’s website at www.adviserinfo.sec.gov
John T. Fulgham, AIF® (Year of birth – 1956) Item 2 Educational Background and Business Experience Mr. Fulgham received both a Bachelor of Science and a Master’s of Business Administration from California Coast University. Mr. Fulgham joined Rochdale in 2004 and has seventeen years of experience in financial planning and personal asset management. He currently serves as the Regional Vice President, Florida/Midwest Regions. Mr. Fulgham’s previous positions include Financial Consultant with Merrill Lynch and senior level positions in the Private Banking and Wealth Management Groups of First Union National Bank, SunTrust Bank, and Bank of America. Prior to embarking on a career in wealth management, Mr. Fulgham was a professional athlete with the St. Louis Cardinals baseball team. Mr. Fulgham holds the Accredited Investment Fiduciary® (“AIF®”) designation. AIF® designees have successfully completed a specialized program on investment fiduciary standards of care. After the training program they must successfully pass an examination, conform to a code of ethics and complete 6 hours of continuing education requirements on a yearly basis. Item 3 Disciplinary Information Registered investment advisers are required to disclose all material facts regarding any legal or disciplinary events that would be material to your evaluation of each supervised person providing investment advice. There are no legal or disciplinary events to report relative to Mr. Fulgham. Item 4 Other Business Activities Mr. Fulgham is an owner of Acebes, D’Alessandro and Associates (“ADA”), the controlling member of Rochdale and affiliates, thus Mr. Fulgham receives a portion of ADA’s earnings. Item 5 Additional Compensation Additionally, Mr. Fulgham receives compensation from the assets brought to the firm by sales persons that work directly under his supervision. Mr. Fulgham may also receive compensation from fees collected from Rochdale products. Mr. Fulgham may also receive compensation based on the sales efforts of the sales employees he manages. As an owner, Mr. Fulgham also receives a portion of profits earned by the firm. Item 6 Supervision Rochdale’s Chief Executive Officer Garrett D’ Alessandro and Chief Compliance Officer, Barbara Hawkesworth, Esq. supervise and monitor the activities of Mr. Fulgham as it relates to the Firm and its clients. Such is done through various channels including the review of documents related to his clients and monitoring of accounts through automated reports generated directly to the Compliance Department. The Firm’s Chief Compliance Officer, Barbara Hawkesworth may be contacted at 212-702-3500.
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John T. Fulgham, AIF® (Year <strong>of</strong> birth – 1956)<br />
<strong>Item</strong> 2 Educational Background and Business Experience<br />
Mr. Fulgham received both a Bachelor <strong>of</strong> Science and a Master’s <strong>of</strong> Business Administration from California Coast<br />
University.<br />
Mr. Fulgham joined Rochdale in 2004 and has seventeen years <strong>of</strong> experience in financial planning and personal<br />
asset management. He currently serves as the Regional Vice President, Florida/Midwest Regions.<br />
Mr. Fulgham’s previous positions include Financial Consultant with Merrill Lynch and senior level positions in the<br />
Private Banking and Wealth Management Groups <strong>of</strong> First Union National Bank, SunTrust Bank, and Bank <strong>of</strong><br />
America. Prior to embarking on a career in wealth management, Mr. Fulgham was a pr<strong>of</strong>essional athlete with the<br />
St. Louis Cardinals baseball team.<br />
Mr. Fulgham 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. Fulgham.<br />
<strong>Item</strong> 4 Other Business Activities<br />
Mr. Fulgham is an owner <strong>of</strong> Acebes, D’Alessandro and Associates (“ADA”), the controlling member <strong>of</strong> Rochdale<br />
and affiliates, thus Mr. Fulgham receives a portion <strong>of</strong> ADA’s earnings.<br />
<strong>Item</strong> 5 Additional Compensation<br />
Additionally, Mr. Fulgham receives compensation from the assets brought to the firm by sales persons that work<br />
directly under his supervision. Mr. Fulgham may also receive compensation from fees collected from Rochdale<br />
products. Mr. Fulgham may also receive compensation based on the sales efforts <strong>of</strong> the sales employees he manages.<br />
As an owner, Mr. Fulgham 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. Fulgham as it relates to the <strong>Firm</strong> and its clients. Such is done<br />
through various channels including the review <strong>of</strong> documents related to his clients and monitoring <strong>of</strong> accounts<br />
through automated reports generated directly to the Compliance Department. The <strong>Firm</strong>’s Chief Compliance Officer,<br />
Barbara Hawkesworth may be contacted at 212-702-3500.
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