# ALDEN INVESTMENT ADVISORS, LLC

ALDEN INVESTMENT ADVISORS, LLC of WAYNE, PA is an SEC-registered investment adviser.

## Registration

- CRD: 317077
- Type: SEC-registered investment adviser
- SEC file number: 801-122688
- Location: 37 WEST AVENUE, SUITE 301, WAYNE, PA, 19087-3226
- Phone: 215-572-8700
- Latest filing: 2026-03-27
- Regulatory AUM: $385.7M
- Discretionary AUM: $348.0M
- Non-discretionary AUM: $37.7M
- Clients: 43
- Accounts: 1,460

## Business model

- Compensation: % of AUM, Fixed
- Clients served: Individuals, High net worth, Other

## Officers, owners & control persons (11)

| Name | Role | Location |
| --- | --- | --- |
| WILLIAMS LEE | MANAGING DIRECTOR | CENTURY CITY, CA |
| Kenneth Richard Smith | COMPLIANCE OFFICER | — |
| Lee Albert Calfo | CHIEF EXECUTIVE OFFICER | — |
| John Francis Mulqueen | CHIEF OPERATING OFFICER | — |
| Karen M Van Horn | CHIEF COMPLIANCE OFFICER | — |
| Aaron Lee Williams | MANAGING DIRECTOR | — |
| SMITH JAMES RICHARD | CHIEF COMPLIANCE OFFICER | — |
| CALFO LEE ALBERT | CHIEF EXECUTIVE OFFICER | — |
| VAN BESIEN STEPHEN M | CHIEF RISK OFFICER | — |
| MULQUEEN JOHN FRANCIS | CHIEF OPERATING OFFICER | — |
| Karen M. Van Horn | CHIEF COMPLIANCE OFFICER | — |


## Disclosures (7)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2025-07-25 | regulatory | THE FIRM HAS ONE DISCLOSURE ITEM THAT HAS BEEN RESOLVED. ALDEN INVESTMENT GROUP SUBMITTED FOR LICENSING AN INDIVIDUAL TO THE STATE OF MASSACHUSETTS FOR BOTH BEING REGISTERED AS AN AGENT WITH THE FIRM'S BROKER DEALER AS WELL AS THE FIRM'S REGISTERED INVESTMENT ADVISOR. WHILE THE BROKER DEALER REGISTR… | Final | $38K |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/317077/brochure
- Similar advisers: https://search.stillhousedata.com/firm/317077/similar
- Related entities: https://search.stillhousedata.com/firm/317077/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/317077

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.