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RIA / WealthAdvisordual registered (broker-dealer)31 years in industry

ROGER NMN PARADISO

Advisor at O'SHAUGHNESSY ASSET MANAGEMENT, LLC

STAMFORD, CT

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Search this name across graphsid dfx:ria:337b57d4-e85f-892b-4187-1e4add43dc9d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:38 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 1
Observed: May 24, 2002 to Sep 14, 2026

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Venture Capitalidentity

Roger Paradiso

same person, same CRD on Schedule A · confidence 95% · family precision 100%

Facts

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

Current firm: O'SHAUGHNESSY ASSET MANAGEMENT, LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 16, 1994earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Nov 16, 1994
First registration: May 24, 2002
Dual registered: yes, broker-dealer
Other names: ROGER PARADISO
IAPD individual key: 1988315

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
O'SHAUGHNESSY ASSET MANAGEMENT, LLC	Independent wealth	Jul 22, 2022	n/a	yes	STAMFORD, CT	Current employment
FINANCIAL GUARD, LLC	Former SEC adviser	Apr 26, 2017	Nov 30, 2022	no	SALT LAKE CITY, UT	Previous registration
CLEARBRIDGE INVESTMENTS, LLC	Mixed wealth	Mar 4, 2016	Apr 26, 2017	no	NEW YORK, NY	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Oct 13, 2015	no	PURCHASE, NY\|NEW YORK, NY	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Apr 1, 2008	Jun 1, 2009	no	NEW YORK, NY\|STAMFORD, CT	Previous registration
CLEARBRIDGE INVESTMENTS, LLC	Mixed wealth	Dec 19, 2005	Apr 9, 2008	no	NEW YORK, NY	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	May 24, 2002	Dec 21, 2005	no	STAMFORD, CT	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
FINANCIAL GUARD, LLC	O'SHAUGHNESSY ASSET MANAGEMENT, LLC	Nov 30, 2022	Jul 22, 2022	-131	Firm change after gap	RIA to RIA
CLEARBRIDGE INVESTMENTS, LLC	FINANCIAL GUARD, LLC	Apr 26, 2017	Apr 26, 2017	0	Firm change	Other
MORGAN STANLEY	CLEARBRIDGE INVESTMENTS, LLC	Oct 13, 2015	Mar 4, 2016	143	Firm change	Other
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
CLEARBRIDGE INVESTMENTS, LLC	CITIGROUP GLOBAL MARKETS INC.	Apr 9, 2008	Apr 1, 2008	-8	Firm change	Other
CITIGROUP GLOBAL MARKETS INC.	CLEARBRIDGE INVESTMENTS, LLC	Dec 21, 2005	Dec 19, 2005	-2	Bulk transfer	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
137028:156059:NY:2017-04-26	Apr 26, 2017	Apr 26, 2017	NEW YORK, NY	Firm change

Relationships

Registered with (5)

→ O'SHAUGHNESSY ASSET MANAGEMENT, LLCRegistered adviserregistration: current employment
Jul 22, 2022 to presentfactForm ADV
→ FINANCIAL GUARD, LLCRegistered adviserregistration: previous registration
Apr 26, 2017 to Nov 30, 2022factForm ADV
→ CLEARBRIDGE INVESTMENTS, LLCRegistered adviserregistration: previous registration
Mar 4, 2016 to Apr 26, 2017factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Oct 13, 2015factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Apr 1, 2008 to Jun 1, 2009factForm ADV

Dated events

Occurred
Nov 30, 2022
Advisor changed firm
Roger Nmn Paradiso left Financial Guard, Llc for O'Shaughnessy Asset Management, Llc (registered 2022-07-22)
Form ADVobserved 6 days ago