ALDEN INVESTMENT GROUP
ALDEN INVESTMENT ADVISORS, LLC Legal Name
Adviser information for ALDEN INVESTMENT GROUP last updated from Form ADV on March 18th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 32 |
|---|---|
| Investment Advisory/Research | 26 |
| Registered Broker-Dealer Representatives | 30 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 5 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 925 | $259.9M |
| Non-Discretionary | 28 | $31.1M |
| Total | 953 | $290.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 900 | $241.9M |
| HNW Individuals | 51 | $35.2M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | <5 | $13.9M |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesRETIREMENT PLANS |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-122688 |
|---|---|
| SEC ERA File Number | 801-122688 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 317077 |
| Legal Entity Identifier | None |
Principal Office
37 WEST AVENUESUITE 301
WAYNE
PA
United States
Monday - Friday, 9:00AM TO 5:00PM
Tel: 215-572-8700, Fax: None
Chief Compliance Officer
KENNETH R SMITH
CHIEF COMPLIANCE OFFICER
37 WEST AVENUE
SUITE 301
WAYNE
PA
United States
Tel:
215-572-8700
K**@***********************M
(Full email address available in API data)
Regulatory Contact
KAREN VAN HORN
CHIEF RISK OFFICER
37 WEST AVENUE
SUITE 301
WAYNE
PA
United States
Tel:
732-268-5205
K****@***********************M
(Full email address available in API data)
Industry Affiliates
| ALDEN CAPITAL | Other investment adviser, including financial planners |
| COMPASS FINANCIAL ADVISORS, LLC | Other investment adviser, including financial planners |
| EQUALIZE CAPITAL LLC | Other investment adviser, including financial planners |
| J. ALDEN ASSOCIATES, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| ALDEN PARTNERS LLC | Domestic Entity | – | OWNER | 10/2021 | > 75% |
| SMITH, KENNETH, RICHARD | Individual | – | CHIEF COMPLIANCE OFFICER | 10/2021 | < 5% |
| CALFO, LEE, ALBERT | Individual | – | CHIEF EXECUTIVE OFFICER | 10/2021 | < 5% |
| MULQUEEN, JOHN, FRANCIS | Individual | – | CHIEF OPERATING OFFICER | 10/2021 | < 5% |
| CALFO, LEE, ALBERT | Individual | ALDEN PARTNERS LLC | CHIEF EXECUTIVE OFFICER | 10/2021 | 50-75% |
| VAN HORN, KAREN, M. | Individual | – | CHIEF RISK OFFICER | 03/2024 | < 5% |
| WILLIAMS, AARON, LEE | Individual | – | MANAGING DIRECTOR | 03/2024 | < 5% |