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James Pepperman

Alden Capital
32 Years of Experience
West Chester, PA
2 DisclosuresBrokerSells Insurance
View SEC Summary
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James Pepperman is a registered investment advisor at Alden Capital, based in West Chester, PA, with 32 years of industry experience. James is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 2,552 clients with $1.5B in assets under management.

Alden Capital
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
20 advisors
Number of Clients
2,552 clients
Average Client Portfolio
$594K average
Assets Under Management
$1.5B

Fee Structure

Minimum Investment:$25K
Planning is included in investment management (also available separately)

Alden Capital Management charges up to 2.00% annually for customized investment management. The exact fee is negotiable and determined by each Investment Advisory Representative. Fees are charged quarterly in arrears based on the portfolio's value on the last business day of the quarter. 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.

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Location

1595 Paoli Pike, Suite 101, West Chester, PA, 19380

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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
November 2023
Pending
Customer Dispute
April 2009
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

James is involved with Northstar of Chester County, a non-profit organization, dedicating a few hours per week. He also sells life insurance, spending minimal time on this activity.

Employment History
Current Registrations
J. Alden Associates, INC.
June 2020 - Present · 6 yrs 4 mos
J. Alden Associates, INC.Broker
June 2020 - Present · 6 yrs 4 mos
Alden Capital
June 2020 - Present · 6 yrs 4 mos
Previous Registrations
Mcg Securities LLCBroker
October 2014 - June 2020 · 5 yrs 8 mos
Bluestone Capital Management, LLC
October 2014 - June 2020 · 5 yrs 8 mos
Azarias Capital Partners, LLC
September 2010 - December 2010 · 3 mos
NFP Advisor Services, LLC
May 2010 - October 2014 · 4 yrs 5 mos
NFP Securities, INC.Broker
May 2010 - October 2014 · 4 yrs 5 mos
New England Securities Corporation
June 2002 - May 2010 · 7 yrs 11 mos
New England SecuritiesBroker
February 1999 - May 2010 · 11 yrs 3 mos
Ifg Network Securities, INC.Broker
August 1996 - February 1999 · 2 yrs 6 mos
New England SecuritiesBroker
July 1994 - August 1996 · 2 yrs 1 mo
State Registrations6 states
DEFLMANJPAVA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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