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 Kevin Barlow Rochdale Investment Management 455 Market Street, Suite 970 San Francisco, CA 94105 (415) 477-2544 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 Kevin Barlow 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 Kevin Barlow is available on the SEC’s website at www.adviserinfo.sec.gov
Kevin Barlow (Year of birth – 1982) Item 2 Educational Background and Business Experience Mr. Barlow received his Bachelor of Arts from the University of Michigan. Mr. Barlow joined Rochdale in 2011 as a Sales and Marketing Associate. In 2012 Mr. Barlow was promoted to Sales Investment Consultant. Prior to joining Rochdale Mr. Barlow was a solicitor for Forward Pro, LLC, a Senior Account Executive with Yammer Inc., a Group Sales Representative with Sun Life Financial, an Investment Counselor with Fisher Investments and the Director of Business Development with Leisure Intelligence. 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. Barlow. Item 4 Other Business Activities Mr. Barlow is not actively engaged in any other investment-related business or occupation. Item 5 Additional Compensation Mr. Barlow receives compensation on the total assets he manages on the account level and for management fees generated by those accounts. Mr. Barlow may also receive compensation from fees collected from Rochdale products. 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. Barlow 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.
- Page 21 and 22: Item 13 Review of Accounts A. Frequ
- Page 23 and 24: Item 15 Custody Custody of all Acco
- Page 25 and 26: RIM executes transactions for the m
- Page 27 and 28: Item 18 Financial Information This
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- Page 33 and 34: Next $1,000,000 to 1.00% $1,000,000
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- Page 37 and 38: Item 6 Portfolio Manager Selection
- Page 39 and 40: fees for such services. Rochdale ma
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- Page 45 and 46: well as the month-end market value,
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- Page 53 and 54: John T. Buckley, CFA (Year of birth
- Page 55 and 56: David M. Coiro (Year of birth - 194
- Page 57 and 58: Neal Rubin (Year of birth - 1956) I
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- Page 61 and 62: Ted Cox, CFA (Year of birth - 1966)
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- Page 65 and 66: Kashif S. Ahmad, CFA (Year of birth
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- Page 81 and 82: Item 1 Cover Page Elizabeth T. Dool
- Page 83 and 84: Item 1 Cover Page Sheldon C. Branda
- Page 85 and 86: Item 1 Cover Page John Geraghty Mar
- Page 87 and 88: Item 1 Cover Page Robert DeLong Roc
- Page 89 and 90: Item 1 Cover Page Adam Elover March
- Page 91 and 92: Item 1 Cover Page Thomas A. Galvin
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<strong>Item</strong> 1 <strong>Cover</strong> <strong>Page</strong><br />
Kevin Barlow<br />
Rochdale Investment Management<br />
455 Market Street, Suite 970<br />
San Francisco, CA 94105<br />
(415) 477-2544<br />
March 31, 2012<br />
Rochdale Investment Management<br />
570 Lexington Avenue, 9 th Floor<br />
New York, NY 10022<br />
(212) 702-3500<br />
www.rochdale.com<br />
This brochure supplement provides information about Kevin Barlow that supplements Rochdale<br />
Investment Management LLC’s (“Rochdale”) brochure. You should have received a copy <strong>of</strong> that<br />
brochure. Please contact Rochdale’s Compliance Department by calling (212) 702-3500 if you did not<br />
receive Rochdale’s disclosure brochure or if you have any questions about the contents <strong>of</strong> this<br />
supplement.<br />
Additional information about Kevin Barlow is available on the SEC’s website at www.adviserinfo.sec.gov
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