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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Thomas A. Galvin (Year <strong>of</strong> birth – 1955)<br />
<strong>Item</strong> 2 Educational Background and Business Experience<br />
Mr. Galvin received his Bachelor <strong>of</strong> Arts from Queens College and his Master’s <strong>of</strong> Business Administration from<br />
Fordham University.<br />
Mr. Galvin joined Rochdale in 2012 as the Director <strong>of</strong> US Equity and Research. Mr. Galvin works directly with the<br />
CEO and President to guide the firm’s investment research and portfolio development functions. He is solely<br />
responsible for leading the equity research team and will focus primarily on the large and mid cap asset classes.<br />
Prior to joining Rochdale Mr. Galvin was the Managing <strong>Part</strong>ner for High Net Worth Clients at Galvin Asset<br />
Management from 2008 to 2012. From 2006 to 2007 Mr. Galvin was the Executive Director, Large Cap Growth<br />
with UBS Global Asset Management and from 1991 to 2006 Mr. Galvin moved within a number <strong>of</strong> roles with<br />
Forstmann Leff Associates, including Portfolio Manager, Chief Investment Officer and Senior Managing Director.<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. Galvin.<br />
<strong>Item</strong> 4 Other Business Activities<br />
Mr. Galvin 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. Galvin may receive additional compensation from the firm based on the assets she brings<br />
to the firm and the fees collected by the firm on those assets. Mr. Galvin 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. Galvin 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.
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