ALDEN INVESTMENT GROUP
Latest filing: Mar 18, 2024 (226 days ago)
AUM
$290,949,395
40% change vs. 1 year ago
0% change vs. 3 years ago
0% change vs. 5 years ago
0% change vs. 10 years ago
Employee Count
32
19% change vs. 1 year ago
0% change vs. 3 years ago
0% change vs. 5 years ago
0% change vs. 10 years ago
Main Office
WAYNE, PA
37 WEST AVENUE, WAYNE, PA, UNITED STATES, 19087-3226
Client AUM
| Discretion | AUM |
|---|---|
| Discretionary | $0.3 |
| Non-Discretionary | $0.0 |
| Total | $0.3 |
| Client | AUM |
|---|---|
| Retail | $0.3 |
| Pooled | $0.0 |
| Institutional | $0.0 |
| Total | $0.3 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 900 | $0.2 |
| Average Individual AUM | $268,746 | |
| HNW | 51 | $0.0 |
| Average HNW AUM | $690,065 | |
| Retail Total | 951 | $0.3 |
| Average Retail AUM | $291,340 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
SMA Custodians
| Custodian | Location | AUM |
|---|---|---|
| CHARLES SCHWAB & CO., INC. | ORLANDO-FL-USA | $0.2 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Separately Managed Assets
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $0.3 |
| Retail SMA AUM | $0.3 |
| Institutional SMA AUM | $0.0 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 35% | $0.1 |
| Equity Non-Exch | 25% | $0.1 |
| Govt Agency | 0% | $0.0 |
| Municipal | 0% | $0.0 |
| Sovereign | 0% | $0.0 |
| IG Credit | 0% | $0.0 |
| HY Credit | 0% | $0.0 |
| Derivatives | 1% | $0.0 |
| Investment Companies | 15% | $0.0 |
| Other Pools | 0% | $0.0 |
| Cash | 24% | $0.1 |
| Other | 0% | $0.0 |
| Total | 100% | $0.3 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
Affiliates
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| ALDEN CAPITAL MANAGEMENT INC. | $0.7 | 293551 | |
| 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
Control Persons
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
Representatives
27 active representatives found, showing 20 random
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| DEREK D'ALONZO | WAYNE | PA | S63|1991-11-21|S65|2014-09-23 | ||||||
| JOHN SWENSON | WAYNE | PA | S63|1996-07-03|S65|2000-03-10|S66|2006-01-30 | ||||||
| TODD ZANGRILLI | WAYNE | PA | S63|1984-10-04 | ||||||
| DEBORAH DAVIS | WAYNE | PA | S63|2001-10-10 | CERTIFIED FINANCIAL PLANNER | |||||
| JOSEPH GASTALDI | WAYNE | PA | S63|1997-05-10|S66|2001-11-12 | ||||||
| JACQUELINE OPREAN | WAYNE | PA | S66|2012-12-21 | ||||||
| COURTNEY KUCISH | WAYNE | PA | S66|2008-07-25 | ||||||
| MARQUES MILES | WAYNE | PA | S65|2019-04-24 | ||||||
| NATHAN GOAD | WAYNE | PA | S65|2011-06-07|S63|2023-06-05 | CERTIFIED FINANCIAL PLANNER | |||||
| WILLIAM PARKINSON | WAYNE | PA | S63|2006-06-23|S65|2014-03-14 | ||||||
| JOSEPH CUNNINGHAM | WAYNE | PA | S63|2008-01-05|S66|1999-12-23 | ||||||
| ANTHONY FALCO | WAYNE | PA | S63|2006-05-16|S66|2008-01-22 | ||||||
| BRIAN MCCAFFERTY | WAYNE | PA | S63|1980-04-02|S65|2008-07-28 | ||||||
| JAMES QUILLEN | WAYNE | PA | S63|1995-10-30|S65|1998-10-13 | CERTIFIED FINANCIAL PLANNER | |||||
| GUSTAVO MASRI | WAYNE | PA | S63|1990-10-17|S65|2001-11-06 | ||||||
| DAVID GIBBS | WAYNE | PA | S63|1997-09-10 | ||||||
| ERIC MASLOWSKY | WAYNE | PA | S66|2011-03-10 | ||||||
| JAMES SCOTT | WAYNE | PA | S63|1999-07-30|S65|2016-06-10 | ||||||
| YOUNG KIM | WAYNE | PA | S63|2002-08-26|S66|2011-11-18 | ||||||
| AARON WILLIAMS | WAYNE | PA | S66|2019-09-16 | ||||||
ADVDB.CO • SOURCE: SEC
History
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2024-10-01 | $0.3 | $0.0 | 0% | 32 | 0 | 0% |
| 2024-04-02 | $0.3 | $0.0 | 0% | 32 | 0 | 0% |
| 2023-04-04 | $0.2 | $0.1 | 40% | 27 | 5 | 19% |
| 2022-04-01 | $0.1 | $0.2 | 171% | 7 | 25 | 357% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Other
| STATE REGISTRATIONS |
| PA, AK-09/28/2023, AL-09/28/2023, AR-09/28/2023, AZ-09/28/2023, CA-11/14/2022, CO-09/28/2023, CT-03/23/2022, DC-03/23/2022, DE-04/04/2022, FL-03/23/2022, GA-03/23/2022, HI-09/28/2023, IA-09/28/2023, ID-09/28/2023, IL-09/28/2023, IN-01/17/2023, KS-09/28/2023, KY-09/28/2023, LA-09/28/2023, MA-09/28/2023, MD-03/23/2022, ME-09/28/2023, MI-09/28/2023, MN-09/28/2023, MO-09/28/2023, MS-09/28/2023, MT-09/28/2023, NC-05/01/2023, ND-09/28/2023, NE-09/28/2023, NH-09/28/2023, NJ-03/23/2022, NM-09/28/2023, NV-09/28/2023, NY-03/23/2022, OH-09/28/2023, OK-09/28/2023, OR-09/28/2023, PA-11/12/2021, PR-09/28/2023, RI-09/28/2023, SC-11/14/2022, SD-09/28/2023, TN-03/23/2022, TX-03/23/2022, UT-09/28/2023, VA-03/23/2022, VI-09/28/2023, VT-09/28/2023, WA-09/28/2023, WI-09/28/2023, WV-05/22/2023, WY-09/28/2023 |
| ADVISER ACTIVITIES |
|
FINANCIAL PLANNING PORTFOLIO MANAGEMENT |
| OTHER ACTIVITIES |
ADVDB.CO • SOURCE: SEC FORM ADV