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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

PAULSON INVESTMENT COMPANY, LLC

CRD 5670

CHICAGO, IL

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Search this name across graphsid dfx:ria:c069a882-70dd-1079-0494-35ef4a77314a

Data as of Jun 2, 2017 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:02 PM UTC and rebuilt at most every 15 minutes.

Relationships: 64
Dated events: 1
On other graphs: 1
Observed: Mar 30, 2012 to Jun 2, 2017
28 observations

Across DFX

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

Venture Capitalidentity

Paulson Investment Company, LLC

Venture manager · shared crd

Facts

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

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $15.4MItem 5.F on the latest filing (2017-06-02); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $15.4M
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: 50
Advisory employees: 5
Accounts: 7
Private funds: 7Schedule D 7.B(1)
Private fund GAV: $16.9Mgross asset value as reported per fund; never fund size
Custody, client assets: $15.4M
SEC number: 801-107194
CRD: 5670
Filings on the tape: 28
First filed: Mar 30, 2012
Latest filed: Jun 2, 2017
Organised: Limited Liability Company, Oregon

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
PAULSON BKE INVESTMENTS, LLC	Securitized Asset Fund	$4.5M	Jun 2, 2017	45	Jun 2, 2017	reported	021-219967
ELECTROCORE INVESTMENTS, LLC.	Securitized Asset Fund	$3.1M	Jun 2, 2017	78	Jun 2, 2017	reported	021-281304
PAULSON DERMTECH INVESTMENTS II, LLC	Securitized Asset Fund	$2.7M	Jun 2, 2017	40	Jun 2, 2017	reported	n/a
PAULSON DERMTECH INVESTMENTS, LLC>	Securitized Asset Fund	$2.6M	Jun 2, 2017	68	Jun 2, 2017	reported	021-244290
BIOD PAULSON 1 LLC	Securitized Asset Fund	$1.5M	Jun 2, 2017	40	Jun 2, 2017	reported	021-193614
PAULSON DERMTECH III INVESTMENTS	Securitized Asset Fund	$1.3M	Jun 2, 2017	45	Jun 2, 2017	reported	021-276863
PAULSON SCILEX INVESTMENTS, LLC	Securitized Asset Fund	$1.2M	Jun 2, 2017	38	Jun 2, 2017	reported	n/a

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
CHRISTAKOS, BASIL	CHIEF COMPLIANCE OFFICER	Na	yes	09/2015	Jan 15, 2016	Jun 2, 2017
CLARK, CHRISTOPHER STEVEN	CHAIRMAN, ELECTED MANAGER	B	yes	02/2013	Jan 15, 2016	Jun 2, 2017
CROWE, BYRON KEITH	Ceo	Na	yes	10/2014	Jan 15, 2016	Jun 2, 2017
FINCKLE, MARK STUART	HEAD OF INVESTMENT BANKING	Na	yes	11/2016	Mar 31, 2017	Jun 2, 2017
GOFF, STARLA JEAN	STRATEGIC ADVISOR TO THE CEO AND CHAIRMAN/LEGAL	Na	yes	11/2016	Mar 31, 2017	Jun 2, 2017
MAXFIELD, MARGARET LORRAINE	SENIOR VICE PRESIDENT CORPORATE FINANCE	Na	yes	03/1995	Mar 30, 2012	Jun 2, 2017
PARIGIAN, THOMAS STEWART	ELECTED MANAGER	B	yes	07/2014	Jan 15, 2016	Jun 2, 2017
RIVER INTEGRITY INVESTORS, LLC	Investor	C	yes	07/2014	Jan 15, 2016	Jun 2, 2017
SETTEDUCATI, ROBERT JOSEPH	ELECTED MANAGER	B	yes	07/2014	Jan 15, 2016	Jun 2, 2017
WINKS, MALCOLM ALEXANDER	CFO/FINOP	Na	yes	08/2015	Jan 15, 2016	Jun 2, 2017
YOUNG, GUY HANSEN	OWNER THROUGH RIVER INTEGRITY INVESTORS LLC	E	yes	01/2013	Jan 15, 2016	Jun 2, 2017
DTA INVESTMENTS LLC	Investor	A	no	07/2014	Jan 15, 2016	Jun 2, 2017
RIVER INTEGRITY INVESTORS, LLC	Owner	C	no	04/2017	Jan 15, 2016	Jun 2, 2017

Offices

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

City	State	Country	Employees	Also broker-dealer
WALNUT CREEK	CA	United States	n/a	no
Chicago	IL	United States	n/a	no
Tampa	IL	United States	n/a	no
NEW YORK	NY	United States	n/a	no
Portland	Or	United States	n/a	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
2016	Mar 31, 2017	$15.4M	$15.4M	50	5	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
2016	$15.4M	n/a	n/a	n/a	n/a	50	n/a	n/a	n/a

Relationships

Affiliated with (2)

← ORCA INVESTMENT MANAGEMENT, LLCRegistered adviserbroker-dealer, common control
factForm ADV
← BIG BEAR CAPITAL, LLCRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV

Advises (7)

→ PAULSON BKE INVESTMENTS, LLCPrivate fundSecuritized Asset Fund, IA
Jun 2, 2017 to presentfactForm ADV
→ ELECTROCORE INVESTMENTS, LLC.Private fundSecuritized Asset Fund, IA
Jun 2, 2017 to presentfactForm ADV
→ PAULSON DERMTECH INVESTMENTS II, LLCPrivate fundSecuritized Asset Fund, IA
Jun 2, 2017 to presentfactForm ADV
→ BIOD PAULSON 1 LLCPrivate fundSecuritized Asset Fund, IA
Jun 2, 2017 to presentfactForm ADV
→ PAULSON DERMTECH III INVESTMENTSPrivate fundSecuritized Asset Fund, IA
Jun 2, 2017 to presentfactForm ADV
→ PAULSON DERMTECH INVESTMENTS, LLC>Private fundSecuritized Asset Fund, IA
Jun 2, 2017 to presentfactForm ADV
→ PAULSON SCILEX INVESTMENTS, LLCPrivate fundSecuritized Asset Fund, IA
Jun 2, 2017 to presentfactForm ADV

Controls (11)

← MAXFIELD, MARGARET LORRAINEOwnerSENIOR VICE PRESIDENT CORPORATE FINANCE, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← SETTEDUCATI, ROBERT JOSEPHOwnerELECTED MANAGER, ownership code B, individual
Jan 15, 2016 to presentfactForm ADV
← PARIGIAN, THOMAS STEWARTOwnerELECTED MANAGER, ownership code B, individual
Jan 15, 2016 to presentfactForm ADV
← CROWE, BYRON KEITHOwnerCEO, ownership code NA, individual
Jan 15, 2016 to presentfactForm ADV
← CLARK, CHRISTOPHER STEVENOwnerCHAIRMAN, ELECTED MANAGER, ownership code B, individual
Jan 15, 2016 to presentfactForm ADV
← CHRISTAKOS, BASILOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jan 15, 2016 to presentfactForm ADV
← FINCKLE, MARK STUARTOwnerHEAD OF INVESTMENT BANKING, ownership code NA, individual
Mar 31, 2017 to presentfactForm ADV
← WINKS, MALCOLM ALEXANDEROwnerCFO/FINOP, ownership code NA, individual
Jan 15, 2016 to presentfactForm ADV
← GOFF, STARLA JEANOwnerSTRATEGIC ADVISOR TO THE CEO AND CHAIRMAN/LEGAL, ownership code NA, individual
Mar 31, 2017 to presentfactForm ADV
← RIVER INTEGRITY INVESTORS, LLCOwnerINVESTOR, ownership code C, domestic entity
Jan 15, 2016 to presentfactForm ADV
← YOUNG, GUY HANSENOwnerOWNER THROUGH RIVER INTEGRITY INVESTORS LLC, ownership code E, individual
Jan 15, 2016 to presentfactForm ADV

Owns (2)

← DTA INVESTMENTS LLCOwnerINVESTOR, ownership code A, domestic entity
Jan 15, 2016 to presentfactForm ADV
← RIVER INTEGRITY INVESTORS, LLCOwnerOWNER, ownership code C, domestic entity
Jan 15, 2016 to presentfactForm ADV

Registered with (41)

← MARC DAVID OROURKEAdvisorregistration: previous registration
Dec 3, 2018 to May 4, 2020factForm ADV
← MICHAEL PATRICK NIXONAdvisorregistration: previous registration
Mar 24, 2016 to Jan 15, 2020factForm ADV
← Todd Stephen BenschneiderAdvisorregistration: previous registration
May 8, 2019 to Jan 3, 2020factForm ADV
← Jonathan Scott HenrichAdvisorregistration: previous registration
Jan 26, 2018 to Nov 6, 2019factForm ADV
← DANE LEIGH GROUELLAdvisorregistration: previous registration
Dec 13, 2017 to Nov 1, 2019factForm ADV
← MATTHEW DAVID ALBERSAdvisorregistration: previous registration
Mar 24, 2016 to Oct 17, 2019factForm ADV
← Eric Todd HarrisAdvisorregistration: previous registration
May 8, 2017 to Oct 30, 2018factForm ADV
← SAM PIEHAdvisorregistration: previous registration
Oct 24, 2002 to Apr 11, 2012factForm ADV
← VONEEN CAMILLE BRIGHTAdvisorregistration: previous registration
Mar 21, 2012 to Apr 11, 2012factForm ADV
← David Gregory StittAdvisorregistration: previous registration
Aug 15, 2008 to Apr 11, 2012factForm ADV
← LEE SCOTT STEORTSAdvisorregistration: previous registration
Nov 1, 2007 to Apr 11, 2012factForm ADV
← JOSEPH OBERSCHEWENAdvisorregistration: previous registration
May 21, 2009 to Apr 11, 2012factForm ADV
← EDWARD JAMES JEFFERYAdvisorregistration: previous registration
Jun 20, 2007 to Apr 11, 2012factForm ADV
← ALAN LEONARD TARKOAdvisorregistration: previous registration
Feb 12, 2008 to Apr 11, 2012factForm ADV
← JAMES O STURDIVANTAdvisorregistration: previous registration
Oct 24, 2002 to Apr 11, 2012factForm ADV
← Joel Gary JanssenAdvisorregistration: previous registration
Oct 22, 2010 to Apr 11, 2012factForm ADV
← ERIC WILLIAM DAVIDSONAdvisorregistration: previous registration
May 24, 2007 to Apr 11, 2012factForm ADV
← John Floyd OlsonAdvisorregistration: previous registration
Jul 22, 2011 to Apr 11, 2012factForm ADV
← ASA LEE SAVAGEAdvisorregistration: previous registration
Oct 24, 2002 to Apr 11, 2012factForm ADV
← Nicholas Michael BalesAdvisorregistration: previous registration
Aug 27, 2002 to Apr 11, 2012factForm ADV
← KEVIN CLINTON HOLLANDAdvisorregistration: previous registration
Mar 14, 2007 to Apr 11, 2012factForm ADV
← ADAM M LEVYAdvisorregistration: previous registration
Aug 15, 2008 to Apr 11, 2012factForm ADV
← BRADLEY JAMES DIJULIOAdvisorregistration: previous registration
Oct 16, 2009 to Apr 11, 2012factForm ADV
← Thomas Charles MatyolaAdvisorregistration: previous registration
Nov 22, 2011 to Apr 11, 2012factForm ADV
← MATTHEW ROGER MILLERAdvisorregistration: previous registration
Apr 23, 2003 to Apr 11, 2012factForm ADV
← STEVEN WESLEY KAPSIMALISAdvisorregistration: previous registration
Nov 1, 2007 to Apr 2, 2012factForm ADV
← ERIK FW LAWRENCEAdvisorregistration: previous registration
Feb 7, 2011 to Mar 16, 2012factForm ADV
← SCOTT WAYNE HAMERSLYAdvisorregistration: previous registration
Aug 27, 2002 to Mar 15, 2012factForm ADV
← BRIAN DAVID ROCKOWITZAdvisorregistration: previous registration
Jan 4, 2010 to Feb 29, 2012factForm ADV
← JOSEPH ARTHUR LLOYDAdvisorregistration: previous registration
Jan 6, 2010 to Feb 29, 2012factForm ADV
and 11 more

Dated events

Occurred
Jan 15, 2016
First Form ADV filing
Paulson Investment Company, Inc. filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c069a882-70dd-1079-0494-35ef4a77314a
First observed: Mar 30, 2012
Last observed: Jun 2, 2017 113 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.

PAULSON INVESTMENT COMPANY, LLC

CRD 5670

CHICAGO, IL

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:c069a882-70dd-1079-0494-35ef4a77314a

Data as of Jun 2, 2017 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:02 PM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

PAULSON BKE INVESTMENTS, LLC

Securitized Asset Fund

$4.5M

Jun 2, 2017

reported

021-219967

ELECTROCORE INVESTMENTS, LLC.

Securitized Asset Fund

$3.1M

Jun 2, 2017

reported

021-281304

PAULSON DERMTECH INVESTMENTS II, LLC

Securitized Asset Fund

$2.7M

Jun 2, 2017

reported

n/a

PAULSON DERMTECH INVESTMENTS, LLC>

Securitized Asset Fund

$2.6M

Jun 2, 2017

reported

021-244290

BIOD PAULSON 1 LLC

Securitized Asset Fund

$1.5M

Jun 2, 2017

reported

021-193614

PAULSON DERMTECH III INVESTMENTS

Securitized Asset Fund

$1.3M

Jun 2, 2017

reported

021-276863

PAULSON SCILEX INVESTMENTS, LLC

Securitized Asset Fund

$1.2M

Jun 2, 2017

reported

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CHRISTAKOS, BASIL

CHIEF COMPLIANCE OFFICER

yes

09/2015

Jan 15, 2016

Jun 2, 2017

CLARK, CHRISTOPHER STEVEN

CHAIRMAN, ELECTED MANAGER

yes

02/2013

Jan 15, 2016

Jun 2, 2017

CROWE, BYRON KEITH

Ceo

yes

10/2014

Jan 15, 2016

Jun 2, 2017

FINCKLE, MARK STUART

HEAD OF INVESTMENT BANKING

yes

11/2016

Mar 31, 2017

Jun 2, 2017

GOFF, STARLA JEAN

STRATEGIC ADVISOR TO THE CEO AND CHAIRMAN/LEGAL

yes

11/2016

Mar 31, 2017

Jun 2, 2017

MAXFIELD, MARGARET LORRAINE

SENIOR VICE PRESIDENT CORPORATE FINANCE

yes

03/1995

Mar 30, 2012

Jun 2, 2017

PARIGIAN, THOMAS STEWART

ELECTED MANAGER

yes

07/2014

Jan 15, 2016

Jun 2, 2017

RIVER INTEGRITY INVESTORS, LLC

Investor

yes

07/2014

Jan 15, 2016

Jun 2, 2017

SETTEDUCATI, ROBERT JOSEPH

ELECTED MANAGER

yes

07/2014

Jan 15, 2016

Jun 2, 2017

WINKS, MALCOLM ALEXANDER

CFO/FINOP

yes

08/2015

Jan 15, 2016

Jun 2, 2017

YOUNG, GUY HANSEN

OWNER THROUGH RIVER INTEGRITY INVESTORS LLC

yes

01/2013

Jan 15, 2016

Jun 2, 2017

DTA INVESTMENTS LLC

Investor

07/2014

Jan 15, 2016

Jun 2, 2017

RIVER INTEGRITY INVESTORS, LLC

Owner

04/2017

Jan 15, 2016

Jun 2, 2017

City

State

Country

Employees

Also broker-dealer

WALNUT CREEK

United States

n/a

Chicago

United States

n/a

Tampa

United States

n/a

NEW YORK

United States

n/a

Portland

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2016

Mar 31, 2017

$15.4M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2016

$15.4M

n/a