DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
Kenneth Richard Smith
Feed of 09/14/2026
At current firm
22 y
since Nov 25, 2003
In the industry
31 y
since Mar 28, 1995 (earliest exam, job or registration)
Prior registered firms
8
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
4
dated events on this person
Registration history
IAPD current and previous registrations
- Compass Financial Advisors, LLC state registered currentsince Nov 25, 2003 · West Chester, Pa
- Alden Investment Group independent RIAJul 26, 2022 to Jun 15, 2026 · Wayne, Pa
- Equalize Capital LLC asset managerMar 6, 2019 to Dec 31, 2022 · Wayne, Pa
- Alden Capital independent RIAApr 2, 2018 to Jun 15, 2026 · Wayne, Pa
- Cohen & Company Financial Management, LLC asset managerMar 21, 2017 to Jan 11, 2023 · New York, Ny
- Dekania Capital Management, LLC formerMar 21, 2017 to Mar 31, 2021 · New York, Ny
- Bluestone Capital Management, LLC asset managerJan 28, 2014 to Oct 1, 2020 · Wayne, Pa
- Cbt Investment Management, LLC unclassifiedAug 26, 2005 to Feb 15, 2006 · Philadelphia, Pa
- Cbt Investment Management, Inc. unclassifiedOct 22, 2002 to Dec 15, 2005 · Philadelphia, Pa
Moves
a registration end followed by a registration begin elsewhere
- Alden Capital to Equalize Capital LLCleft Jun 15, 2026, registered Mar 6, 2019 (-2658 days) · Other
- Alden Investment Group to no registered destinationleft Jun 15, 2026 · Departure, no registered destination
- Cohen & Company Financial Management, LLC to Alden Capitalleft Jan 11, 2023, registered Apr 2, 2018 (-1745 days) · Other
- Equalize Capital LLC to Alden Investment Groupleft Dec 31, 2022, registered Jul 26, 2022 (-158 days) · Other · moved with a team
- Dekania Capital Management, LLC to Cohen & Company Financial Management, LLCleft Mar 31, 2021, registered Mar 21, 2017 (-1471 days) · Other
- Bluestone Capital Management, LLC to Dekania Capital Management, LLCleft Oct 1, 2020, registered Mar 21, 2017 (-1290 days) · Other
- Cbt Investment Management, LLC to Bluestone Capital Management, LLCleft Feb 15, 2006, registered Jan 28, 2014 (2904 days) · Other
- Cbt Investment Management, Inc. to Compass Financial Advisors, LLCleft Dec 15, 2005, registered Nov 25, 2003 (-751 days) · Other
Signals
- Kenneth Richard Smith no longer registered at Alden Investment Group; no later IA registration on IAPDJun 15, 2026 · Advisor departure · fact
- Kenneth Richard Smith left Alden Capital for Equalize Capital Llc (registered 2019-03-06)Jun 15, 2026 · Advisor changed firm · fact
- Kenneth Richard Smith left Cohen & Company Financial Management, Llc for Alden Capital (registered 2018-04-02)Jan 11, 2023 · Advisor changed firm · fact
- Kenneth Richard Smith left Equalize Capital Llc for Alden Investment Group (registered 2022-07-26)Dec 31, 2022 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- STATE REGISTEREDderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address