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RIA / WealthRegistered adviserinstitutional managerSEC registeredRAUM 100m 1b

PARADIGM ASSET MANAGEMENT

PARADIGM ASSET MANAGEMENT COMPANY, L.L.C., CRD 111479

WHITE PLAINS, NY

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:3c84cee9-b5a6-8515-f3e6-abba9534bdb0

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:25 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Mar 20, 2012 to Mar 30, 2026
16 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: institutional managerderivedprivate_client_share=0.0 fund_share=0.0 institutional_share=0.94 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $442MItem 5.F on the latest filing (2026-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $442M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5
Advisory employees: 4
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 10
SEC number: 801-49001
CIK: 1034549
CRD: 111479
Filings on the tape: 16
First filed: Mar 20, 2012
Latest filed: Mar 30, 2026
Organised: Limited Liability Company, DE
Website: paradigmasset.com

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
FRANCIS, JAMES, ERIC	MANAGING MEMBER, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER AND SHAREHOLDER	D	yes	10/2004	Mar 20, 2012	Mar 29, 2024
MARCUS, JEFFREY, EDWARD	SENIOR PORTFOLIO MANAGER AND SHAREHOLDER	A	yes	05/1995	Mar 20, 2012	Mar 29, 2024
PAI, GREGORY	SENIOR MANAGING DIRECTOR AND CHIEF COMPLIANCE OFFICER AND SHAREHOLDER	B	yes	10/2004	Mar 20, 2012	Mar 29, 2024
SOSA, ODALISSE, MIGUELINA	CHIEF ADMINISTRATIVE OFFICER AND SHAREHOLDER	Na	no	01/2023	Mar 30, 2023	Mar 29, 2024

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 30, 2026	$442M	$442M	5	4	1	n/a	n/a
2024	Mar 20, 2025	$373M	$373M	5	4	0	n/a	n/a
2023	Mar 29, 2024	$386M	$386M	5	4	0	n/a	n/a
2022	Mar 30, 2023	$374M	$374M	5	4	0	n/a	n/a
2021	Mar 30, 2022	$410M	$410M	5	4	0	n/a	n/a
2020	Mar 31, 2021	$382M	$382M	5	4	0	n/a	n/a
2019	Mar 13, 2020	$346M	$346M	5	4	0	n/a	n/a
2018	Mar 19, 2019	$349M	$349M	4	3	0	n/a	n/a
2017	Mar 19, 2018	$370M	$370M	4	3	0	n/a	n/a
2016	Mar 30, 2017	$528M	$528M	5	4	n/a	n/a	n/a
2015	Jan 6, 2016	$591M	$591M	8	7	n/a	n/a	n/a
2014	Mar 26, 2015	$1.4B	$785M	8	7	n/a	n/a	n/a
2013	Mar 14, 2014	$1.0B	$744M	9	7	n/a	n/a	n/a
2012	Apr 1, 2013	$968M	$615M	11	8	n/a	n/a	n/a
2011	Mar 20, 2012	$1.0B	$525M	n/a	n/a	n/a	n/a	n/a

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	$442M	$373M	18.6%	$374M	5.7%	5	5	1	0

Relationships

Owns (1)

← SOSA, ODALISSE, MIGUELINAOwnerCHIEF ADMINISTRATIVE OFFICER AND SHAREHOLDER, ownership code NA, individual
Mar 30, 2023 to Mar 29, 2024factForm ADV

Controls (3)

← FRANCIS, JAMES, ERICOwnerMANAGING MEMBER, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER AND SHAREHOLDER, ownership code D, individual
Mar 20, 2012 to Mar 29, 2024factForm ADV
← PAI, GREGORYOwnerSENIOR MANAGING DIRECTOR AND CHIEF COMPLIANCE OFFICER AND SHAREHOLDER, ownership code B, individual
Mar 20, 2012 to Mar 29, 2024factForm ADV
← MARCUS, JEFFREY, EDWARDOwnerSENIOR PORTFOLIO MANAGER AND SHAREHOLDER, ownership code A, individual
Mar 20, 2012 to Mar 29, 2024factForm ADV

Dated events

Occurred
Mar 19, 2018
Regulatory AUM changed
Paradigm Asset Management reported RAUM $370.3M, down 30% from $528.4M (2017-03-30 to 2018-03-19)
Form ADVobserved 5 days ago
$-158M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3c84cee9-b5a6-8515-f3e6-abba9534bdb0
First observed: Mar 20, 2012
Last observed: Mar 30, 2026 5 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.

PARADIGM ASSET MANAGEMENT

PARADIGM ASSET MANAGEMENT COMPANY, L.L.C., CRD 111479

WHITE PLAINS, NY

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:3c84cee9-b5a6-8515-f3e6-abba9534bdb0

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:25 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

FRANCIS, JAMES, ERIC

MANAGING MEMBER, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER AND SHAREHOLDER

yes

10/2004

Mar 20, 2012

Mar 29, 2024

MARCUS, JEFFREY, EDWARD

SENIOR PORTFOLIO MANAGER AND SHAREHOLDER

yes

05/1995

Mar 20, 2012

Mar 29, 2024

PAI, GREGORY

SENIOR MANAGING DIRECTOR AND CHIEF COMPLIANCE OFFICER AND SHAREHOLDER

yes

10/2004

Mar 20, 2012

Mar 29, 2024

SOSA, ODALISSE, MIGUELINA

CHIEF ADMINISTRATIVE OFFICER AND SHAREHOLDER

01/2023

Mar 30, 2023

Mar 29, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 30, 2026

$442M

n/a

2024

Mar 20, 2025

$373M

n/a

2023

Mar 29, 2024

$386M

n/a

2022

Mar 30, 2023

$374M

n/a

2021

Mar 30, 2022

$410M

n/a

2020

Mar 31, 2021

$382M

n/a

2019

Mar 13, 2020

$346M

n/a

2018

Mar 19, 2019

$349M

n/a

2017

Mar 19, 2018

$370M

n/a

2016

Mar 30, 2017

$528M

n/a

2015

Jan 6, 2016

$591M

n/a

2014

Mar 26, 2015

$1.4B

$785M

n/a

2013

Mar 14, 2014

$1.0B

$744M

n/a

2012

Apr 1, 2013

$968M

$615M

n/a

2011

Mar 20, 2012

$1.0B

$525M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$442M

$373M

18.6%

$374M

5.7%