Unclaimed Profile

Kenneth Richard Smith

ALDEN INVESTMENT ADVISORS, LLC·WAYNE, Pennsylvania

SIE, Series 4, Series 7, Series 8, Series 14, Series 24, Series 52TO, Series 53, Series 55, Series 57TO, Series 63, Series 65, Series 99TOClean record23 years registeredALDEN INVESTMENT ADVISORS, LLC

37 WEST AVENUE, WAYNE, PA 19087-3226CRD# 2300203Firm CRD# 317077

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Kenneth Richard Smith · WAYNE, PA

Registration

CRD #2300203 · ALDEN INVESTMENT ADVISORS, LLC · 23 years registered

Brand Profile

Not yet started

Career History

COMPASS FINANCIAL ADVISORS, LLC

Nov 2003 – present

ALDEN INVESTMENT GROUP

Jul 2022 – Jun 2026

WAYNE, PA

EQUALIZE CAPITAL LLC

Mar 2019 – Dec 2022

WAYNE, PA

ALDEN CAPITAL

Apr 2018 – Jun 2026

WAYNE, PA

COHEN & COMPANY FINANCIAL MANAGEMENT, LLC

Mar 2017 – Jan 2023

NEW YORK, NY

DEKANIA CAPITAL MANAGEMENT, LLC

Mar 2017 – Mar 2021

NEW YORK, NY

BLUESTONE CAPITAL MANAGEMENT, LLC

Jan 2014 – Oct 2020

WAYNE, PA

CBT INVESTMENT MANAGEMENT, LLC

Aug 2005 – Feb 2006

PHILADELPHIA, PA

CBT INVESTMENT MANAGEMENT, INC.

Oct 2002 – Dec 2005

PHILADELPHIA, PA

Registrations & Exams

FINRA examinations passed

SIE

Series 4

Series 7

Series 8

Series 14

Series 24

Series 52TO

Series 53

Series 55

Series 57TO

Series 63

Series 65

Series 99TO

Registration record

First registered · October 22, 2002

Years registered · 23

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

ALDEN INVESTMENT ADVISORS, LLC

CRD 317077 · SEC 801-122688

AUM

$291M

Regulatory assets under management

Employees

953 client accounts

Services offered by ALDEN INVESTMENT ADVISORS, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Other

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at ALDEN INVESTMENT ADVISORS, LLC →

Introduction

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Frequently Asked Questions

What services does Kenneth Richard Smith offer?

Kenneth Richard Smith specializes in Financial Planning, Investment Management. Contact their office in WAYNE, Pennsylvania for a consultation.

What are Kenneth Richard Smith's credentials?

Kenneth Richard Smith is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Kenneth Richard Smith located?

Kenneth Richard Smith is based in WAYNE, Pennsylvania, working with ALDEN INVESTMENT ADVISORS, LLC. Their office serves clients in the WAYNE metropolitan area and surrounding communities.

How does Kenneth Richard Smith charge for services?

Kenneth Richard Smith's firm is compensated through percentage of aum, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is ALDEN INVESTMENT ADVISORS, LLC?

ALDEN INVESTMENT ADVISORS, LLC has approximately 32 employees and manages $291M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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