Paradigm Asset Management
Registered investment adviser · White Plains, NY · CRD #111479
Form ADV data as of 2026-09-01Regulatory assets
$441.7 million
Total accounts
10
Employees
5
Disclosure events
0
Firm details
- Website: http://www.paradigmasset.com
- Telephone: 212-771-6100
- SEC file number: 801-49001
- Most recent Form ADV filing: 2026-03-30
- SEC record: View this firm on the SEC's IAPD site
Disciplinary disclosures
This firm answered No to every Item 11 disciplinary question on its most recent Form ADV filing.
Assets and accounts
| Provides continuous and regular supervisory or management services | Yes |
| Discretionary regulatory assets under management | $441.7 million |
| Non-discretionary regulatory assets under management | $0 |
| Total regulatory assets under management | $441.7 million |
| Discretionary accounts | 10 |
| Non-discretionary accounts | 0 |
| Total accounts | 10 |
| Regulatory assets under management attributable to non-U.S. persons | $0 |
People
| Total employees (excluding clerical) | 5 |
| Employees performing investment advisory functions (including research) | 4 |
| Employees who are registered representatives of a broker-dealer | 0 |
| Employees registered as investment adviser representatives with a state | 0 |
| Employees registered as IARs for another investment adviser | 0 |
| Employees who are licensed insurance agents | 0 |
| Firms or persons who solicit advisory clients on the firm's behalf | 0 |
Custody
| Has custody of client cash or bank accounts | No |
| Has custody of client securities | No |
| A related person has custody of client cash or bank accounts | No |
| A related person has custody of client securities | No |
| The firm acts as a qualified custodian | No |
| A related person acts as a qualified custodian | No |
How the firm is compensated
Advisory services offered
Reported conflicts of interest
Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:
- Buys or sells for itself securities it also recommends to clients
- Receives soft dollar benefits
- Compensates a non-employee for client referrals
Client types
| Type of client | Clients | Assets |
|---|---|---|
| Pension and profit sharing plans (not the participants or government plans) | Not reported | $48.6 million |
| State or municipal government entities (including government pension plans) | 7 | $367.6 million |
| Corporations or other businesses not listed above | Not reported | $25.5 million |