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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

PARAGON PRIVATE WEALTH MANAGEMENT LLC

CRD 312817

LEXINGTON, KY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:2ded31f2-9056-11bf-15fc-22ad2c90f7d7

Data as of Mar 19, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:02 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 4
On other graphs: 0
Observed: Mar 2, 2021 to Mar 19, 2026
10 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.93 fund_share=0.0 institutional_share=0.07 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $458MItem 5.F on the latest filing (2026-03-19); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $444M
Private client RAUM: $427MderivedItem 5.D individuals plus high net worth individuals
Private client share: 93%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 4
RAUM per advisor: $114Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 6
Advisory employees: 2
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 711
Individual clients: 82
High net worth clients: 85
Custody, client assets: $34.5M
SEC number: 801-120682
CRD: 312817
Filings on the tape: 10
First filed: Mar 2, 2021
Latest filed: Mar 19, 2026
Organised: Limited Liability Company, DE
Website: paragonmgmt.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
CATHERINE ELIZABETH SALSMAN	Certified Financial Planner	LEXINGTON, KY	5	28	3	no
Emily Margaret Johns	n/a	LEXINGTON, KY	5	14	1	no
Dylan T Jones	n/a	LEXINGTON, KY	1	10	2	no
MARY KATHRYN LOCKWOOD	n/a	LEXINGTON, KY	0	19	2	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
LOCKWOOD, MARY, KATHRYN	CHIEF INVESTMENT OFFICER	Na	yes	09/2023	Mar 25, 2024	Mar 25, 2024
SALSMAN, CATHERINE, ELIZABETH	MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER	C	yes	04/2021	Apr 23, 2021	Mar 25, 2024
Sherman, Justin, Alexander	MANAGING MEMBER	D	yes	04/2021	Mar 2, 2021	Mar 25, 2024

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 19, 2026	$458M	$444M	6	2	1	n/a	n/a
2024	Mar 27, 2025	$355M	$336M	6	3	1	n/a	n/a
2023	Mar 25, 2024	$283M	$283M	5	3	1	n/a	n/a
2022	Mar 14, 2023	$185M	$185M	4	2	0	n/a	n/a
2021	Mar 22, 2022	$182M	$182M	3	2	0	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
1	0	1	0.0%	0	0	0	2	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$458M	$355M	29.0%	$185M	35.3%	6	6	1	1

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
MORGAN STANLEY	2	May 12, 2021	Apr 23, 2021	LEXINGTON, KY	Team lift out	Wirehouse to new firm	0.0%

Relationships

Registered with (4)

← MARY KATHRYN LOCKWOODAdvisorregistration: current employment
Jan 1, 2026 to presentfactForm ADV
← Dylan T JonesAdvisorregistration: current employment
Dec 10, 2024 to presentfactForm ADV
← CATHERINE ELIZABETH SALSMANAdvisorregistration: current employment
Apr 23, 2021 to presentfactForm ADV
← Emily Margaret JohnsAdvisorregistration: current employment
Apr 23, 2021 to presentfactForm ADV

Controls (3)

← SALSMAN, CATHERINE, ELIZABETHOwnerMANAGING MEMBER AND CHIEF COMPLIANCE OFFICER, ownership code C, individual
Apr 23, 2021 to Mar 25, 2024factForm ADV
← LOCKWOOD, MARY, KATHRYNOwnerCHIEF INVESTMENT OFFICER, ownership code NA, individual
Mar 25, 2024 to Mar 25, 2024factForm ADV
← Sherman, Justin, AlexanderOwnerMANAGING MEMBER, ownership code D, individual
Mar 2, 2021 to Mar 25, 2024factForm ADV

Moved with (1)

← MORGAN STANLEYRegistered adviser2 advisors, team lift out, same day
May 12, 2021 to Apr 23, 2021factForm ADV

Dated events

Occurred
Mar 19, 2026
Regulatory AUM changed
Paragon Private Wealth Management Llc reported RAUM $457.9M, up 29% from $354.9M (2025-03-27 to 2026-03-19)
Form ADVobserved 4 days ago
$103M
Occurred
Mar 25, 2024
Control person joined
Kathryn Mary Lockwood (Chief Investment Officer) appeared on Schedule A of Paragon Private Wealth Management Llc
Form ADVobserved 4 days ago
Occurred
Apr 23, 2021
Control person joined
Elizabeth Catherine Salsman (Managing Member And Chief Compliance Officer) appeared on Schedule A of Paragon Private Wealth Management Llc
Form ADVobserved 4 days ago
Occurred
Mar 2, 2021
First Form ADV filing
Perina Advisors, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2ded31f2-9056-11bf-15fc-22ad2c90f7d7
First observed: Mar 2, 2021
Last observed: Mar 19, 2026 6 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

PARAGON PRIVATE WEALTH MANAGEMENT LLC

CRD 312817

LEXINGTON, KY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:2ded31f2-9056-11bf-15fc-22ad2c90f7d7

Data as of Mar 19, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:02 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

CATHERINE ELIZABETH SALSMAN

Certified Financial Planner

LEXINGTON, KY

Emily Margaret Johns

n/a

LEXINGTON, KY

Dylan T Jones

n/a

LEXINGTON, KY

MARY KATHRYN LOCKWOOD

n/a

LEXINGTON, KY

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

LOCKWOOD, MARY, KATHRYN

CHIEF INVESTMENT OFFICER

yes

09/2023

Mar 25, 2024

SALSMAN, CATHERINE, ELIZABETH

MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER

yes

04/2021

Apr 23, 2021

Mar 25, 2024

Sherman, Justin, Alexander

MANAGING MEMBER

yes

04/2021

Mar 2, 2021

Mar 25, 2024

City

State

Country

Employees

Also broker-dealer

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 19, 2026

$458M

$444M

n/a

2024

Mar 27, 2025

$355M

$336M

n/a

2023

Mar 25, 2024

$283M

n/a

2022

Mar 14, 2023

$185M

n/a

2021

Mar 22, 2022

$182M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$458M

$355M

29.0%

$185M

35.3%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

MORGAN STANLEY

May 12, 2021

Apr 23, 2021

LEXINGTON, KY

Team lift out

Wirehouse to new firm

0.0%