ALDEN INVESTMENT ADVISORS, LLC of WAYNE, PA is an SEC-registered investment adviser (CRD 317077). Regulatory assets under management: $385.7M.
Compensation: % of AUM, Fixed.
Clients served: Individuals, High net worth, Other.
| 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 | — |
| 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 |
| City | State | Employees | Phone |
|---|---|---|---|
| DOYLESTOWN | PA | 6 | 2155728700 |