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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Sheldon C. Brandau, CFA (Year <strong>of</strong> birth – 1971)<br />
<strong>Item</strong> 2 Educational Background and Business Experience<br />
Mr. Brandau received his Bachelor <strong>of</strong> Science in Management from Purdue University and his Master’s <strong>of</strong> Business<br />
Administration in Finance and Statistics from New York University, Stern School <strong>of</strong> Business.<br />
Mr. Brandau is a Portfolio Manager for Rochdale Investment Management. Mr. Brandau joined Rochdale in 2009<br />
and is responsible for the management <strong>of</strong> client portfolios.<br />
Previously he worked as a Financial Advisor and Portfolio Manager within Merrill Lynch's Private Banking and<br />
Investment Group, designing and implementing investment strategies for affluent clients. Prior to joining Merrill<br />
Lynch, Mr. Brandau worked at State Street Corporation where he was a Senior Officer, managing the investment<br />
analysis and performance reporting for the firm's Section 529 College Savings Plans. Mr. Brandau began his<br />
investment and financial career at Sanford C. Bernstein & Co. Inc., serving as the firm's Investment Planning<br />
Analyst for the Southeast region. Mr. Brandau is also a member <strong>of</strong> the CFA Institute and the CFA Society <strong>of</strong> South<br />
Florida.<br />
Mr. Brandau 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 relative to Mr. Brandau.<br />
<strong>Item</strong> 4 Other Business Activities<br />
Mr. Brandau is not actively engaged in any other investment-related business or occupation.<br />
<strong>Item</strong> 5 Additional Compensation<br />
In addition to salary, Mr. Brandau 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. Mr. Brandau may also receive compensation from fees<br />
collected from Rochdale 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. Brandau as it relates to the <strong>Firm</strong> and its clients. Such is done<br />
through various channels including the review <strong>of</strong> documents related to his clients and monitoring <strong>of</strong> accounts<br />
through automated reports generated directly to the Compliance Department. The <strong>Firm</strong>’s Chief Compliance Officer,<br />
Barbara Hawkesworth may be contacted at 212-702-3500.
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