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 ...
Thomas A. Galvin (Year of birth – 1955) Item 2 Educational Background and Business Experience Mr. Galvin received his Bachelor of Arts from Queens College and his Master’s of Business Administration from Fordham University. Mr. Galvin joined Rochdale in 2012 as the Director of US Equity and Research. Mr. Galvin works directly with the CEO and President to guide the firm’s investment research and portfolio development functions. He is solely responsible for leading the equity research team and will focus primarily on the large and mid cap asset classes. Prior to joining Rochdale Mr. Galvin was the Managing Partner for High Net Worth Clients at Galvin Asset Management from 2008 to 2012. From 2006 to 2007 Mr. Galvin was the Executive Director, Large Cap Growth with UBS Global Asset Management and from 1991 to 2006 Mr. Galvin moved within a number of roles with Forstmann Leff Associates, including Portfolio Manager, Chief Investment Officer and Senior Managing Director. 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. Galvin. Item 4 Other Business Activities Mr. Galvin is not actively engaged in any other investment-related business or occupation. Item 5 Additional Compensation In addition to salary, Mr. Galvin may receive additional compensation from the firm based on the assets she brings to the firm and the fees collected by the firm on those assets. Mr. Galvin 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. Galvin 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 Lindsey Cook 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 Lindsey Cook 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 Lindsey Cook is available on the SEC’s website at www.adviserinfo.sec.gov
- 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 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 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: Item 1 Cover Page Thomas A. Galvin
<strong>Item</strong> 1 <strong>Cover</strong> <strong>Page</strong><br />
Lindsey Cook<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 Lindsey Cook 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 Lindsey Cook is available on the SEC’s website at www.adviserinfo.sec.gov
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