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 ...
Sheldon C. Brandau, CFA (Year of birth – 1971) Item 2 Educational Background and Business Experience Mr. Brandau received his Bachelor of Science in Management from Purdue University and his Master’s of Business Administration in Finance and Statistics from New York University, Stern School of Business. Mr. Brandau is a Portfolio Manager for Rochdale Investment Management. Mr. Brandau joined Rochdale in 2009 and is responsible for the management of client portfolios. Previously he worked as a Financial Advisor and Portfolio Manager within Merrill Lynch's Private Banking and Investment Group, designing and implementing investment strategies for affluent clients. Prior to joining Merrill Lynch, Mr. Brandau worked at State Street Corporation where he was a Senior Officer, managing the investment analysis and performance reporting for the firm's Section 529 College Savings Plans. Mr. Brandau began his investment and financial career at Sanford C. Bernstein & Co. Inc., serving as the firm's Investment Planning Analyst for the Southeast region. Mr. Brandau is also a member of the CFA Institute and the CFA Society of South Florida. Mr. Brandau 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. Brandau. Item 4 Other Business Activities Mr. Brandau is not actively engaged in any other investment-related business or occupation. Item 5 Additional Compensation In addition to salary, Mr. Brandau 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. Brandau 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. Brandau 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.
Item 1 Cover Page John Geraghty 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 John Geraghty 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 John Geraghty is available on the SEC’s website at www.adviserinfo.sec.gov
- Page 33 and 34: Next $1,000,000 to 1.00% $1,000,000
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- 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 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 and 74: Kevin Barlow (Year of birth - 1982)
- Page 75 and 76: Paul Guerney, CFA (Year of birth -
- 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: Item 1 Cover Page Sheldon C. Branda
- 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
<strong>Item</strong> 1 <strong>Cover</strong> <strong>Page</strong><br />
John Geraghty<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 John Geraghty 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 John Geraghty is available on the SEC’s website at<br />
www.adviserinfo.sec.gov
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