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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

SEC-registered adviser

A•••• I••••••••• G••••

Independent wealth managerWayne, PennsylvaniaCRD 317077SEC 801-122688websiteIAPD
Legal name A•••• I••••••••• A•••••••• L••
Latest filing Sep 2, 2026
First filing on the tape Oct 13, 2021 · 31 filings
SEC status approved since Nov 12, 2021
RAUM
$386M
reported, Item 5.F
Discretionary
90%
of RAUM
Private clients
90%
$348M individuals and HNW
Advisors
40
registered through the firm on IAPD
RAUM per advisor
$9.6M
derived; firm RAUM over IAPD count
Employees
43
38 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$386M as of Mar 27, 2026
Mar 11, 2022$0 then
HNW client RAUM$25.4M as of Mar 27, 2026
Mar 27, 2023$28.5M then
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 11, 20220 then
Employees (5.A)43 as of Mar 27, 2026
Mar 11, 20220 then
Private funds: no history
RAUM +21% over the last fiscal year+23% a year over threeIARs 0 to 0offices 0 to 1
Practice profile
derived from the filing of Sep 2, 2026; every figure names its basis
Archetypes, each a printed rule
  • Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
RAUM per advisor
$9.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
36derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$237,426derivedHNW RAUM over HNW clients
Average account
$264,172derivedRAUM over accounts (5.F.2.f)
Discretionary
90%derivedof RAUM
Institutional
9.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.1derivedItem 5.A over advisors
Advisors per office
20.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+21%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
+49%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, otherreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$323M84%
  • Pension and profit-sharing plans$37.7M9.8%
  • High-net-worth individuals$25.4M6.6%
Individual clients
1,350reported
HNW clients
107reported
Pension plan clients
3reported
Charitable clients
n/areported
Accounts
1,460reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
private_client_share=0.9 fund_share=0.0 institutional_share=0.1 related_bd=true related_bank=false bd_reps=37.0derived
Advisors registered through the firm
28 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
S•••••• D•••••• P••••••••Southlake, Tx Mar 8, 202224 y1
D•••••• A•• D••••Certified Financial PlannerWayne, Pa Apr 4, 202224 y5
R••••• A••••• L••••••Wayne, Pa Apr 6, 202241 y2
G•••••• I•••• M••••Wayne, Pa Apr 26, 202235 y3
D•••• R••••• D•••••••Hockton, Ga Jun 30, 202234 y4
N••••• D••••• G•••Certified Financial PlannerWayne, Pa Jul 28, 202215 y4
T••• Z••••••••Wayne, Nj Aug 19, 202241 y3
J••••• D•••• G•••••••Wayne, Pa Jan 17, 202329 y7
E••• S•••• M••••••••Wayne, Pa Mar 17, 202315 y5
N••••• E•••••••• S••••••Wayne, PaMay 19, 202321 y2
C••••••• A•• K•••••Fairview, Wv May 24, 202318 y1
M•••••• D•••• M••••Plano, Tx Jan 3, 202414 y3
J••••••••• M• O•••••Wayne, Pa Feb 9, 202413 y2
D•••• A•••• G••••Wayne, Pa Feb 16, 202429 y3
J•••• E••• Q••••••Certified Financial PlannerDoylestown, Pa Apr 5, 202430 y3
A•••••• J• F••••Kennett Square, Pa May 3, 202420 y6
J•••• R••••• S••••Ocala, Fl May 9, 202427 y1
J••••••• A••••Wayne, Pa May 24, 202427 y1
S••• T••••• N•••••Doylestown, Pa May 24, 202426 y1
W•••• L••• G•••••••••Wayne, Pa Sep 13, 202429 y7
D•••••• S•• K•••••Fairmont, Wv Oct 16, 202425 y1
P•••••• J•••• S•••••••••Certified Financial Planner, Chartered Financial ConsultantMemphis, Tn Mar 6, 202521 y3
A•••••• J• S••••••Wayne, Pa Apr 9, 202510 y4
G•••••• A••••• O•••Doylestown, Pa Dec 9, 202510 y0
J••• M••••• L••••••Wayne, Pa Feb 24, 202614 y5
S•••• B•••• H•••••Certified Financial PlannerEncinitas, Ca May 27, 202628 y2
J••• R••••• E••••Houston, Tx Jun 26, 202643 y6
G•• R•••• C••••••Certified Financial PlannerRockwall, Tx Jul 14, 202625 y1
Advisor movement
8 left, 5 joined in 12 months
net -3 in 12 months3 left in 90 days2 joined in 90 daysdeparture rate 20% of current headcount11 left over 36 months
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • C••••• L••• A••••• · Chief Executive Officercontrol
    since 10/2021 · owns less than 5%
  • M•••••••• J•••• F•••••• · Chief Operating Officercontrol
    since 10/2021 · owns less than 5%
  • S••••• K••••••• R•••••• · Chief Compliance Officercontrol
    since 10/2021 · owns less than 5%
  • C••••• L••• A••••• · Chief Executive Officercontrol
    since 10/2021 · owns 50% to 75% of A•••• P••••••• L••
  • V•• H•••• K••••• M• · Chief Risk Officer
    since 03/2024 · owns less than 5%
  • W•••••••• A••••• L•• · Managing Director
    since 03/2024 · owns less than 5%
Entity owners
  • A•••• P••••••• L•• · Owner
    direct · owns 75% or more
Related persons
Schedule D 7.A
Advisers that list A•••• I••••••••• G•••• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Wayne, Pa · principal40651
Doylestown, Pa610
Memphis, Tn300
Queenstown, Md001
Red Bank, Nj0031
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
  • HNW share shiftChange between filings · filing Mar 27, 2026
    HNW share of RAUM moved from 44.0% to 7.0% between the annual amendments of 2025-03-26 and 2026-03-27
    peers: WEALTH_I•••••••••, $100M to $500M (5,676)
How anomalies are measured
What changed
consecutive filings, newest first
  • Financial planning clients · 0 to 0
    Mar 27, 2026 to Sep 2, 2026
  • Succession · false to unset
    Mar 27, 2026 to Sep 2, 2026
  • Accounts · 978 to 1,460
    Feb 12, 2026 to Mar 27, 2026
  • Advisory employees · 40 to 38
    Feb 12, 2026 to Mar 27, 2026
  • BD registered reps · 30 to 37
    Feb 12, 2026 to Mar 27, 2026
  • HNW clients · 71 to 107
    Feb 12, 2026 to Mar 27, 2026
  • Individual clients · 904 to 1,350
    Feb 12, 2026 to Mar 27, 2026
  • Employees · 45 to 43
    Feb 12, 2026 to Mar 27, 2026
  • Discretionary RAUM · $285M to $348M
    Feb 12, 2026 to Mar 27, 2026
  • HNW RAUM · $139M to $25.4M
    Feb 12, 2026 to Mar 27, 2026
  • Individual RAUM · $146M to $323M
    Feb 12, 2026 to Mar 27, 2026
  • Non-discretionary RAUM · $33.8M to $37.7M
    Feb 12, 2026 to Mar 27, 2026
  • Pension RAUM · $33.8M to $37.7M
    Feb 12, 2026 to Mar 27, 2026
  • RAUM · $319M to $386M
    Feb 12, 2026 to Mar 27, 2026
  • Financial planning clients · 0 to 0
    Aug 7, 2025 to Nov 4, 2025
  • Other offices · 0 to 1
    Aug 7, 2025 to Nov 4, 2025
  • Accounts · 953 to 978
    Jan 22, 2025 to Mar 26, 2025
  • Advisory employees · 26 to 40
    Jan 22, 2025 to Mar 26, 2025
  • HNW clients · 51 to 71
    Jan 22, 2025 to Mar 26, 2025
  • Individual clients · 900 to 904
    Jan 22, 2025 to Mar 26, 2025
  • Pension plan clients · 2 to 3
    Jan 22, 2025 to Mar 26, 2025
  • Employees · 32 to 45
    Jan 22, 2025 to Mar 26, 2025
  • Discretionary RAUM · $260M to $285M
    Jan 22, 2025 to Mar 26, 2025
  • HNW RAUM · $35.2M to $139M
    Jan 22, 2025 to Mar 26, 2025
  • Individual RAUM · $242M to $146M
    Jan 22, 2025 to Mar 26, 2025
  • Non-discretionary RAUM · $31.1M to $33.8M
    Jan 22, 2025 to Mar 26, 2025
  • Pension RAUM · $13.9M to $33.8M
    Jan 22, 2025 to Mar 26, 2025
  • RAUM · $291M to $319M
    Jan 22, 2025 to Mar 26, 2025
  • Accounts · 722 to 953
    Mar 1, 2024 to Mar 18, 2024
  • Advisory employees · 27 to 26
    Mar 1, 2024 to Mar 18, 2024
  • BD registered reps · 25 to 30
    Mar 1, 2024 to Mar 18, 2024
  • HNW clients · 43 to 51
    Mar 1, 2024 to Mar 18, 2024
  • Individual clients · 679 to 900
    Mar 1, 2024 to Mar 18, 2024
  • Pension plan clients · unset to 2.0
    Mar 1, 2024 to Mar 18, 2024
  • Employees · 27 to 32
    Mar 1, 2024 to Mar 18, 2024
  • State-registered IARs · 1 to 0
    Mar 1, 2024 to Mar 18, 2024
  • Discretionary RAUM · $207M to $260M
    Mar 1, 2024 to Mar 18, 2024
  • HNW RAUM · $28.5M to $35.2M
    Mar 1, 2024 to Mar 18, 2024
  • Individual RAUM · $179M to $242M
    Mar 1, 2024 to Mar 18, 2024
  • Non-discretionary RAUM · $0 to $31.1M
    Mar 1, 2024 to Mar 18, 2024
Signals
19 dated events
  • J••• R••••• C••••••• left A•••• I••••••••• G•••• for E•••• F•••••••• G••••• L•• (registered 2026-08-03)
    Jul 16, 2026 · Advisor changed firm · fact
  • L•••••• J••• C••••••• left A•••• I••••••••• G•••• for E•••• F•••••••• G••••• L•• (registered 2026-07-03)
    Jul 3, 2026 · Advisor changed firm · fact
  • M••• T•••••• Y••••• left A•••• I••••••••• G•••• for E•••• F•••••••• G••••• L•• (registered 2026-07-05)
    Jul 3, 2026 · Advisor changed firm · fact
  • 2 advisors left A•••• I••••••••• G•••• (Wayne, PA) for E•••• F•••••••• G••••• L•• within 13 days
    Jul 3, 2026 · Team lift-out · derived
  • K•••••• R•••••• S•••• no longer registered at A•••• I••••••••• G••••; no later IA registration on IAPD
    Jun 15, 2026 · Advisor departure · fact
  • S••••• D•••••• C•••••••• left A•••• I••••••••• G•••• for C••••••••• P•••••••• R••••• C••• (registered 2026-06-01)
    Jun 1, 2026 · Advisor changed firm · fact
  • V•••••• S•••••• L••••••• left A•••• I••••••••• G•••• for K•••••••• W••••• A•••••••• L•• (registered 2025-11-25)
    Nov 21, 2025 · Advisor changed firm · fact
  • K•• D•••• left A•••• I••••••••• G•••• for K•••••••• W••••• A•••••••• L•• (registered 2025-11-28)
    Nov 21, 2025 · Advisor changed firm · fact
  • J•••• L••••••• C••• left A•••• I••••••••• G•••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2025-11-18)
    Nov 14, 2025 · Advisor changed firm · fact
  • J••• F•••••• D•••• left A•••• I••••••••• G•••• for K•••••••• W••••• A•••••••• L•• (registered 2025-10-16)
    Oct 17, 2025 · Advisor changed firm · fact
  • J••• M••••••• M••••• left A•••• I••••••••• G•••• for T•• A•••••••• I••• (registered 2026-04-30)
    Jun 10, 2025 · Advisor changed firm · fact
  • B•••• D• B••••• left A•••• I••••••••• G•••• for B••••• A•••• M••••••••• L•• (registered 2025-12-03)
    May 30, 2025 · Advisor changed firm · fact
  • 2 advisors left U•• F•••••••• S••••••• I••• (Edison, NJ) for A•••• I••••••••• G•••• within 7 days
    Jan 8, 2025 · Team lift-out · derived
  • Y•••• S•• K•• left A•••• I••••••••• G•••• for A•••••• F••••••••• L•• (registered 2026-01-01)
    Oct 31, 2024 · Advisor changed firm · fact
  • 2 advisors left W•••• F•••• A••••••• (Doylestown, PA) for A•••• I••••••••• G•••• on the same day
    May 29, 2024 · Team lift-out · derived
  • H•••• R• R•••• left A•••• I••••••••• G•••• for U•• F•••••••• S••••••• I••• (registered 2023-01-09)
    Dec 31, 2022 · Advisor changed firm · fact
  • 2 advisors left E••••••• C•••••• L•• (San Juan, PR) for A•••• I••••••••• G•••• on the same day
    Dec 31, 2022 · Team lift-out · derived
  • 2 advisors left A•••• C•••••• (Wayne, PA) for A•••• I••••••••• G•••• on the same day
    Nov 3, 2022 · Team lift-out · derived
  • A•••• I••••••••• A••••••• filed its initial SEC registration (Form ADV)
    Oct 13, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
Business phone
302-883-7568reportedpublished by the firm, firm site, Sep 15, 2026
Business phone
215-572-8700reportedpublished by the firm, firm site, Sep 15, 2026
Firm profile
linkedin.com/company/alden-investment-groupreportedpublic record, Form ADV, Sep 18, 2026
Website
aldeninvestmentgroup.comreportedpublic record, Form ADV, Sep 18, 2026
Principal office phone
215-572-8700reportedpublic record, Form ADV, Sep 2, 2026
Contact form
aldeninvestmentgroup.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
Team page
aldeninvestmentgroup.com/advisorsreportedpublished by the firm, firm site, Sep 15, 2026
Provenance
Form ADV
SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors
IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class
Independent wealth managerderiveda rule over Items 5.D and 7.A
RAUM per advisor
$9.6Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026