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 ...
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Elizabeth T. Dooley, CFA (Year <strong>of</strong> birth – 1971)<br />
<strong>Item</strong> 2 Educational Background and Business Experience<br />
Ms. Dooley received her Bachelor <strong>of</strong> Business Studies in Finance from Dublin City University in Dublin, Ireland.<br />
Ms. Dooley is a Portfolio Manager for Rochdale Investment Management. Ms. Dooley joined Rochdale in 2000 and<br />
is responsible for the management <strong>of</strong> client portfolios.<br />
Prior to joining Rochdale, Ms. Dooley was employed by Citibank as a trader where she traded various fixed income<br />
securities. From 1995 to 1996 Ms. Dooley was employed as a Junior Trader with Mitsubishi Trust & Banking Corp.<br />
in their finance/treasury and securities lending department. Ms. Dooley began her career in 1994 as a Trading<br />
Assistant with Fukuoka Citibank where she assisted traders in the trading and settlement Federal Funds.<br />
Ms. Dooley holds the Chartered Financial Analyst (“CFA”) designation. This designation is issued by the CFA<br />
Institute. The prerequisites or experience required is an undergraduate degree, 4 years <strong>of</strong> pr<strong>of</strong>essional experience<br />
involving investment decision making or 4 years <strong>of</strong> full-time qualified non-investment related work experience. It is<br />
a self-study program, approximately 250 recommended hours <strong>of</strong> study for each <strong>of</strong> the 3 levels. All three levels are<br />
then achieved through a course exam. There are no continuing education requirements.<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 relevant to Ms. Dooley.<br />
<strong>Item</strong> 4 Other Business Activities<br />
Ms. Dooley is an owner <strong>of</strong> Acebes, D’Alessandro and Associates (“ADA”), the controlling member <strong>of</strong> Rochdale and<br />
affiliates, thus Mr. Alberton receives a portion <strong>of</strong> ADA’s earnings.<br />
<strong>Item</strong> 5 Additional Compensation<br />
In addition to salary, Ms. Dooley may receive additional compensation from the firm based on the assets he brings<br />
to the firm and the fees collected by the firm on those assets. Ms. Dooley may also receive compensation from fees<br />
collected from Rochdale products.<br />
As an owner, Ms. Dooley 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> Ms. Dooley 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 her 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.
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