AUM
Employee Count
Main Office
| Discretion | AUM |
|---|---|
| Discretionary | $0.3 |
| Non-Discretionary | $0.4 |
| Total | $0.7 |
| Client | AUM |
|---|---|
| Retail | $0.3 |
| Pooled | $0.0 |
| Institutional | $0.4 |
| Total | $0.7 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 601 | $0.2 |
| Average Individual AUM | $344,007 | |
| HNW | 282 | $0.1 |
| Average HNW AUM | $258,957 | |
| Retail Total | 883 | $0.3 |
| Average Retail AUM | $316,845 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
| Custodian | Location | AUM |
|---|---|---|
| RAYMOND JAMES & ASSOCIATES, INC. | ST PETERSBURG-FL-USA | $0.0 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $0.6 |
| Retail SMA AUM | $0.3 |
| Institutional SMA AUM | $0.4 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 0% | $0.0 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 0% | $0.0 |
| Municipal | 0% | $0.0 |
| Sovereign | 0% | $0.0 |
| IG Credit | 0% | $0.0 |
| HY Credit | 0% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 0% | $0.0 |
| Other Pools | 0% | $0.0 |
| Cash | 0% | $0.0 |
| Other | 0% | $0.0 |
| Total | 0% | $0.0 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| ALDEN INVESTMENT ADVISORS, LLC | $0.3 | 317077 | |
| EQUALIZE CAPITAL LLC | $0.1 | 300640 | |
| COMPASS FINANCIAL ADVISORS, LLC | $0.0 | 128319 | |
| J. ALDEN ASSOCIATES, INC. | $0.0 | broker-dealer | 40002 |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
7 active
| Name | Title |
|---|---|
| SMITH, KENNETH, RICHARD | CHIEF COMPLIANCE OFFICER |
| CALFO, LEE, ALBERT | CHIEF EXECUTIVE OFFICER, CHIEF EXECUTIVE OFFICER |
| MULQUEEN, JOHN, FRANCIS | CHIEF OPERATING OFFICER |
| VAN HORN, KAREN, M. | CHIEF RISK OFFICER |
| WILLIAMS, AARON, LEE | MANAGING DIRECTOR |
ADVDB.CO • SOURCE: SEC
16 active representatives found
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| MICHAEL FREDERICK | WAYNE | PA | S66|1999-11-16 | CERTIFIED FINANCIAL PLANNER|CHARTERED FINANCIAL CONSULTANT | |||||
| WILLIAM ATKINS | WAYNE | PA | S66|2011-11-07 | ||||||
| JAMES PEPPERMAN | WAYNE | PA | S63|1994-07-15|S65|1999-07-12 | ||||||
| CHRISTOPHER COLORACCI | WAYNE | PA | S63|1996-10-03|S65|1996-10-28 | ||||||
| JASON O'DONNELL | WAYNE | PA | S63|2000-09-18|S66|2008-02-12 | ||||||
| CHARLES WISNER | WAYNE | PA | S63|1981-08-17|S65|1992-12-18 | ||||||
| JOHN COLUCCI | WAYNE | PA | S66|2010-10-19 | ||||||
| TEDD MEYER | WAYNE | PA | S66|2019-08-19 | ||||||
| ANTHONY MCCRACKEN | WAYNE | PA | S63|2012-01-09 | CERTIFIED FINANCIAL PLANNER | |||||
| RICHARD CHEBOOKJIAN | WAYNE | PA | S66|2013-09-06 | ||||||
| BRANDON SKUPSKI | WAYNE | PA | S66|2008-12-24 | ||||||
| JOHN MULQUEEN | WAYNE | PA | S65|2012-08-16|S63|2018-04-26 | ||||||
| PAUL LAFOUNTAIN | WAYNE | PA | S65|2022-07-14 | ||||||
| ROBERT FISH | WAYNE | PA | S63|1989-07-13 | ||||||
| LEE CALFO | WAYNE | PA | S63|2004-05-07|S65|2008-02-01 | ||||||
| FREDERICK PETERS | WAYNE | PA | S65|2014-08-26 | ||||||
ADVDB.CO • SOURCE: SEC
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2024-10-01 | $0.7 | $0.0 | 0% | 19 | 0 | 0% |
| 2024-04-02 | $0.7 | $0.0 | 0% | 19 | 0 | 0% |
| 2023-04-04 | $0.6 | $0.1 | 9% | 20 | -1 | -5% |
| 2022-04-01 | $0.7 | $0.0 | -2% | 30 | -11 | -37% |
| 2021-04-05 | $0.5 | $0.2 | 37% | 10 | 9 | 90% |
| 2020-04-01 | $0.3 | $0.4 | 145% | 10 | 9 | 90% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
| STATE REGISTRATIONS |
| NY-10/10/2018 |
| ADVISER ACTIVITIES |
|
PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (SMB) MANAGER SELECTION |
| OTHER ACTIVITIES |
ADVDB.CO • SOURCE: SEC FORM ADV