KS

Kenneth Richard Smith

30 Years of Experience

Firm Information

Compensation
Fee-Only (AUM)Fixed/Hourly
Number of Advisors
41 advisors
Number of Clients
978 clients
Average Client Portfolio
$326K average
Assets Under Management
$319.2M

Fee Structure

Minimum Investment:$25K

Fees for asset management services are negotiable, with a maximum annual fee of 2.00%. Advisory fees are charged quarterly in arrears based on the portfolio's value. Clients may pay fees directly from their account or by check. A 0.05% annual reporting fee is billed monthly for clients using the Alden COVE platform. The firm generally requires a minimum account size of $25,000, but this may be waived under certain circumstances. Alden offers access to financial planning for a fee, billed as a one-time fee or a monthly retainer.

Areas of Practice
Investment ManagementRetirement Planning
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Advisor Information

Office location

West Chester, PA

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Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business Activities

Kenneth is the Chief Compliance Officer of Compass Financial Advisors, LLC.

Employment History
Current Registrations
Alden Investment Group
July 2022 - Present · 3 yrs 6 mos
Alden Capital
April 2018 - Present · 7 yrs 9 mos
J. Alden Associates, INC.Broker
March 2018 - Present · 7 yrs 10 mos
Compass Financial Advisors, LLC
November 2003 - Present · 22 yrs 2 mos
Previous Registrations
Equalize Capital LLC
March 2019 - December 2022 · 3 yrs 9 mos
Cohen & Company Financial Management, LLC
March 2017 - January 2023 · 5 yrs 10 mos
Dekania Capital Management, LLC
March 2017 - March 2021 · 4 yrs
Bluestone Capital Management, LLC
January 2014 - October 2020 · 6 yrs 9 mos
Mcg Securities LLCBroker
October 2012 - October 2020 · 8 yrs
Commonwealth Advisors, INC.Broker
October 2011 - March 2013 · 1 yr 5 mos
Cohen & Company Securities, LLCBroker
October 2011 - September 2012 · 11 mos
Cohen & Company Capital Markets, LLCBroker
June 2010 - March 2011 · 9 mos
Taberna Securities, LLCBroker
February 2006 - June 2007 · 1 yr 4 mos
Cbt Investment Management, LLC
August 2005 - February 2006 · 6 mos
Cbt Investment Management, INC.
October 2002 - December 2005 · 3 yrs 2 mos
Cohen & Company Securities, LLCBroker
October 2000 - March 2011 · 10 yrs 5 mos
J.P. Morgan Securities INC.Broker
October 1998 - February 2000 · 1 yr 4 mos
Vanguard Marketing CorporationBroker
November 1994 - October 1998 · 3 yrs 11 mos
State Registrations9 states
MAMNNENHNMNVPAVTVirgin Islands
AdvisorBrokerBoth
Exams
No exam information available for this advisor.