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.
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Kevin Barlow (Year <strong>of</strong> birth – 1982)<br />
<strong>Item</strong> 2 Educational Background and Business Experience<br />
Mr. Barlow received his Bachelor <strong>of</strong> Arts from the University <strong>of</strong> Michigan.<br />
Mr. Barlow joined Rochdale in 2011 as a Sales and Marketing Associate. In 2012 Mr. Barlow was promoted to<br />
Sales Investment Consultant. Prior to joining Rochdale Mr. Barlow was a solicitor for Forward Pro, LLC, a Senior<br />
Account Executive with Yammer Inc., a Group Sales Representative with Sun Life Financial, an Investment<br />
Counselor with Fisher Investments and the Director <strong>of</strong> Business Development with Leisure Intelligence.<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. Barlow.<br />
<strong>Item</strong> 4 Other Business Activities<br />
Mr. Barlow is not actively engaged in any other investment-related business or occupation.<br />
<strong>Item</strong> 5 Additional Compensation<br />
Mr. Barlow receives compensation on the total assets he manages on the account level and for management fees<br />
generated by those accounts. Mr. Barlow may also receive compensation from fees collected from Rochdale<br />
products.<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. Barlow as it relates to the <strong>Firm</strong> and its clients. Such is done through<br />
various channels including the review <strong>of</strong> documents related to his clients and monitoring <strong>of</strong> accounts through<br />
automated reports generated directly to the Compliance Department. The <strong>Firm</strong>’s Chief Compliance Officer, Barbara<br />
Hawkesworth may be contacted at 212-702-3500.