Firm Overview

Alden Investment Group is a financial services company with securities and asset management solutions for the economy of today.

We are an independent firm with our own full-service broker-dealer and registered investment adviser entities. Technology, along with vastly increased investment alternatives, are changing the way both people and companies invest, manage assets, borrow money, and raise capital. Alden Investment Group offers products and services for individuals and institutions that are designed around these opportunities. We utilize our team’s many decades of experience and expertise to bridge traditional securities products with the new ways of investing in the challenging and ever-evolving regulatory landscape.

We are a partner-owned firm. Few independent asset management companies also have their own broker-dealer, which gives us a large degree of control and flexibility around our businesses. In addition, our independence from large brokerage companies allows us to utilize a wide range of products not available at other firms to help our clients achieve their financial goals.

Alden Investment Group offers a large and diverse menu of services including individual account management, institutional research, investment banking, private placement offerings, wholesaling services, retirement plans, equity trading, fixed income trading, and options trading, among other broker-dealer and RIA capabilities. In addition, we have close working relationships with several specialized broker-dealer and RIA peers who provide highly value-added services to our clients.

Alden Investment Group – Member FINRA/SPIC

The following information is provided to meet the requirements of SEC rule 11Ac1-6. In order to obtain the best executions, we may route orders to leading market makers; such as: Nite, Trimark, Raymond James & Associates or others. We may be remunerated for this. Details will be provided upon request. Our clearing firm, Raymond James & Associates, carries our accounts at Alden Investment Group. This means that Raymond James & Associates holds all securities, generates statements, performs centralized cashiering, bookkeeping and order execution services. Importantly, we have access to all of Raymond James & Associates’ resources and personnel. Raymond James has purchased excess SIPC coverage through various syndicates of Lloyd’s, a London-based firm. Excess SIPC is fully protected by the Lloyd’s trust funds and Lloyd’s Central Fund. The additional protection currently provided has an aggregate firm limit of $750 million, including a sub-limit of $1.9 million per customer for cash above basic SIPC for the wrongful abstraction of customer funds. Regular accounts are insured to $5,000,000 ($500,000 from SPIC). Resource Management Accounts and Business Services Accounts have full value protection (of course, insurance does not cover potential losses from adverse market conditions).

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