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 Derek A. Roy, 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 Derek A. Roy 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 Derek A. Roy is available on the SEC’s website at www.adviserinfo.sec.gov
Derek A. Roy, AIF® (Year of birth – 1975) Item 2 Educational Background and Business Experience Mr. Roy earned his Bachelor of Science in business management from North Carolina State University. Mr. Roy joined Rochdale in 2008 as Vice President – Investment Consulting. In previous positions at Jackson National Life and Kaufman Brothers, he gained extensive high net worth sales and business development experience. At Capital Strategies, Mr. Roy was a member of the Investment Policy Committee where he developed the firm’s separate account platform and was responsible for the management of individual portfolios. Mr. Roy 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. Roy. Item 4 Other Business Activities Mr. Roy is not actively engaged in any other investment-related business or occupation. Item 5 Additional Compensation Mr. Roy receives compensation on the total assets he manages on the account level and for management fees generated by those accounts. Mr. Roy may also receive compensation from fees collected from Rochdale products. Item 6 Supervision Rochdale’s Chief Executive Officer Garrett D’ Alessandro , Chief Compliance Officer, Barbara Hawkesworth, Esq. and Regional Director – Senior Vice President, John Fulgham supervise and monitor the activities of Mr. Roy 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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Derek A. Roy, AIF® (Year <strong>of</strong> birth – 1975)<br />
<strong>Item</strong> 2 Educational Background and Business Experience<br />
Mr. Roy earned his Bachelor <strong>of</strong> Science in business management from North Carolina State University.<br />
Mr. Roy joined Rochdale in 2008 as Vice President – Investment Consulting.<br />
In previous positions at Jackson National Life and Kaufman Brothers, he gained extensive high net worth sales and<br />
business development experience. At Capital Strategies, Mr. Roy was a member <strong>of</strong> the Investment Policy<br />
Committee where he developed the firm’s separate account platform and was responsible for the management <strong>of</strong><br />
individual portfolios.<br />
Mr. Roy 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. Roy.<br />
<strong>Item</strong> 4 Other Business Activities<br />
Mr. Roy is not actively engaged in any other investment-related business or occupation.<br />
<strong>Item</strong> 5 Additional Compensation<br />
Mr. Roy receives compensation on the total assets he manages on the account level and for management fees<br />
generated by those accounts. Mr. Roy may also receive compensation from fees collected from Rochdale products.<br />
<strong>Item</strong> 6 Supervision<br />
Rochdale’s Chief Executive Officer Garrett D’ Alessandro , Chief Compliance Officer, Barbara Hawkesworth, Esq.<br />
and Regional Director – Senior Vice President, John Fulgham supervise and monitor the activities <strong>of</strong> Mr. Roy as it<br />
relates to the <strong>Firm</strong> and its clients. Such is done through various channels including the review <strong>of</strong> documents related<br />
to his clients and monitoring <strong>of</strong> accounts through automated reports generated directly to the Compliance<br />
Department. The <strong>Firm</strong>’s Chief Compliance Officer, Barbara Hawkesworth may be contacted at 212-702-3500.
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