Ken Smith is chief compliance officer for Alden Investment Group and treasurer of Bluestone Capital Partners.
Formerly chief compliance office for Bluestone Capital Management and Merion Capital Group, he has over 20 years of experience in the compliance industry, having worked at several leading financial firms.
He began his financial services career in 1992 at the Vanguard Group Investment Companies, where he quickly rose in the ranks to the role of Compliance Officer. In 1998, he joined J.P. Morgan as Controls Officer for the Christiana Delaware Private Client Group. Just two years later, he was named President of Financial Muse Securities, where he remained through two corporate buyouts (first by Cohen & Company, followed by IFMI). IFMI’s corporate structure included 5 RIAs and two B/Ds, which Ken oversaw as Chief Compliance Officer. In 2006 IFMI’s annual revenue rose to nearly $200 million while AUM reached $42 billion. When Ken left the firm in 2011, he held the title of Global Head of Compliance.
In 2003, Ken co-founded Compass Financial Advisors with his father, Charles. Ken has a bachelor’s degree in business management from Widener University.
