Part 2A of Form ADV: Firm Brochure Item 1 Cover Page ROCHDALE ...

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Item 1 Cover Page Paul Guerney, CFA 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 Paul Guerney 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 Paul Guerney is available on the SEC’s website at www.adviserinfo.sec.gov
Paul Guerney, CFA (Year of birth – 1973) Item 2 Educational Background and Business Experience Mr. Guerney received his Bachelor of Arts in economics and psychology from Fairfield University and his Master’s of Business Administration in finance and management from New York University, Stern School of Business. He also completed a Certificate Program in the Digital Economy at New York University. Mr. Guerney is a Vice President and Senior Portfolio Manager for Rochdale Investment Management. Mr. Guerney joined Rochdale in 2001 and is responsible for the management of client portfolios. Prior to joining Rochdale, Mr. Guerney worked as an Investment Officer at Envest Net PMC Advisory, where he advised financial planners and private clients on portfolio structure and strategy. Other responsibilities included researching both hedge funds and traditional money managers and developing strategic new product initiatives. From 1996 to 1999, prior to business school, he worked as an analyst at Goldman Sachs & Co., where he was involved in both Corporate Treasury - Cash Management and Institutional Fixed Income - Sales and Trading. Mr. Guerney began his career in 1995 as a junior auditor for Price Waterhouse Coopers in the Entertainment/Media practice. Mr. Guerney holds the Chartered Financial Analyst (“CFA”) designation. This designation is issued by the CFA Institute. The prerequisites or experience required is an undergraduate degree, 4 years of professional experience involving investment decision making or 4 years of full-time qualified non-investment related work experience. It is a self-study program, approximately 250 recommended hours of study for each of the 3 levels. All three levels are then achieved through a course exam. There are no continuing education requirements. 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. Guerney. Item 4 Other Business Activities Mr. Guerney is an owner of Acebes, D’Alessandro and Associates (“ADA”), the controlling member of Rochdale and affiliates, thus Mr. Guerney receives a portion of ADA’s earnings. Item 5 Additional Compensation In addition to salary, Mr. Guerney may receive additional compensation from the firm based on the assets he brings to the firm and the fees collected by the firm on those assets. Mr. Guerney may also receive compensation from fees collected from Rochdale products. As an owner, Mr. Guerney 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. Guerney 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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Part 2A of Form ADV: Firm Brochure
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Item 3 Table of Contents Item 1 Cov
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RATROF and RRROF (“Alternative Fu
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Item 5 Fees and Compensation A. Adv
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Item 6 Performance-Based Fees and S
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Item 8 Methods of Analysis, Investm
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additional risks such as limited li
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Item 10 Other Financial Industry Ac
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agency cross transaction, there is
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client accounts. Rochdale does not
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Item 13 Review of Accounts A. Frequ
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Page 25 and 26: RIM executes transactions for the m
Page 27 and 28: Item 18 Financial Information This
Page 29 and 30: Part 2A Appendix 1 of Form ADV: Wra
Page 31 and 32: Item 3 Table of Contents Item 1 Cov
Page 33 and 34: Next $1,000,000 to 1.00% $1,000,000
Page 35 and 36: above, securities transactions will
Page 37 and 38: Item 6 Portfolio Manager Selection
Page 39 and 40: fees for such services. Rochdale ma
Page 41 and 42: Item 7 Client Information Provided
Page 43 and 44: Item 9 Additional Information Disci
Page 45 and 46: well as the month-end market value,
Page 47 and 48: Item 1 Cover Page Part 2B of Form A
Page 49 and 50: Item 1 Cover Page Garrett R. D’Al
Page 51 and 52: Item 5 Additional Compensation As a
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
Page 59 and 60: Jeffrey L. Gage, AIF® (Year of bir
Page 61 and 62: Ted Cox, CFA (Year of birth - 1966)
Page 63 and 64: John T. Fulgham, AIF® (Year of bir
Page 65 and 66: Kashif S. Ahmad, CFA (Year of birth
Page 67 and 68: Harry Martin, AIF® (Year of birth
Page 69 and 70: Derek A. Roy, AIF® (Year of birth
Page 71 and 72: Jonathan Doyle, CIMA® (Year of bir
Page 73: Kevin Barlow (Year of birth - 1982)
Page 77 and 78: Poul Erik Olsen, CFA (Year of birth
Page 79 and 80: Charles P. Alberton, CFA, CAIA (Yea
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
Page 93 and 94: Item 1 Cover Page Lindsey Cook Marc
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Part 2A of Form ADV: Firm Brochure Item 1 Cover Page ROCHDALE ...

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