DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
P••••••• C•••••• M••••••••• I•••
Latest filing Mar 31, 2026
First filing on the tape Mar 30, 2012 · 34 filings
SEC status approved since Sep 22, 1994
RAUM
$2.4B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
43%
$1.0B individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$1.2B
derived; firm RAUM over IAPD count
Employees
12
7 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
2
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$2.4B as of Mar 31, 2026
Mar 30, 2012$1.7B then
HNW client RAUM$1.0B as of Mar 31, 2026
Mar 13, 2018$431M then
State-registered IARs (5.B.3)2 as of Mar 31, 2026
Mar 22, 201311 then
Employees (5.A)12 as of Mar 31, 2026
Mar 22, 201326 then
Private funds2 as of Mar 31, 2026
Mar 30, 20123 then
RAUM +8.1% over the last fiscal year+16% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- RAUM per advisor
- $1.2BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $17.5MderivedHNW RAUM over HNW clients
- Average account
- $33.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 6.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.0B43%
- Pooled investment vehicles$868M36%
- Corporations and businesses$340M14%
- Charitable organizations$72.1M3.0%
- Other investment advisers$71.0M3.0%
- Individual clients
- n/areported
- HNW clients
- 59reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 72reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.43 fund_share=0.39 institutional_share=0.03 related_bd=true related_bank=false bd_reps=5.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C•••••• K••• W••• | Albany, Ny | Oct 28, 2015 | 54 y | 1 |
| A••••• F••••• W••• | New York, Ny | Aug 20, 2021 | 26 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P•• P••••••• L••• I• | Hedge Fund | $781M | 84 | Mar 30, 2012 |
| P•• P••••••• I••••••••• L••• | Hedge Fund | $88.3M | 6 | Mar 30, 2012 |
| P•• P••••••• I•• L••no longer reported | Hedge Fund | $0 | 0 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B•••••• R•••••• A••••• · Senior Vice President, Chief Financial Officer, Directorcontrolsince 01/2007 · owns less than 5%
- F•••••• C•••• A•••••• · Director And Vice Chairmancontrolsince 01/2008 · owns less than 5%
- G••••• R••••••• J•••• · Chief Compliance Officercontrolsince 03/2026 · owns less than 5%
- M•••••••• P••••• J••• · Senior Vice President, Chief Financial Officercontrolsince 07/2025 · owns less than 5%
- M•••••• G••••• A••• · Chief Compliance Officercontrolsince 12/2022 · owns less than 5%
- W•••• A•••••• F••••• · Director/Senior Vice President/Portfolio Managercontrolsince 09/2008 · owns less than 5%
- W•••• C••••••• K••• · Director/Portfolio Manager/Ceo/Ciocontrolsince 09/1994 · owns less than 5%
- W•••• C••••••• K••• · Shareholdercontrolsince 01/2008 · owns 50% to 75% of P••••••• C•••••• H•••••••• I•••
Entity owners
- P••••••• C•••••• H•••••••• I••• · Shareholderdirect · owns 75% or more
Related persons
Schedule D 7.A
- C• L• K••• • A••••••••• I•••broker-dealern
- P••••••• F•••• A•••••• L••investment advisernRAUM $305M
- P•• V••••••• I•• L••pooled vehicle sponsorn
- P•• V••••••• I••••••••• L••pooled vehicle sponsorn
- P•• V•••••••• L••pooled vehicle sponsorn
Advisers that list P••••••• C•••••• M••••••••• I••• as a related person
Offices
Schedule D 1.F, the 25 largest
- New York, NY2 employees
ADV anomalies
5 against comparable advisers; where to look, not conclusions
- unusually large average accountStatic outlier · filing Mar 31, 2026RAUM per account of $33,082,890 against a peer median of $813,262 (1333 comparable advisers, 99.0th percentile, 21.8 robust deviations)peers: independent wealth managers, $1B to $5B (1,333) · 99% percentile
- control person changedChange between filings · filing Mar 31, 2026M•••••• G••••• A••• (CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2022-12-22 and 2026-03-31peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Mar 31, 2026G••••• R••••••• J•••• (CHIEF COMPLIANCE OFFICER) appeared on Schedule A between the filings of 2022-12-22 and 2026-03-31peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Mar 31, 2026M•••••••• P••••• J••• (SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER) appeared on Schedule A between the filings of 2022-12-22 and 2026-03-31peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Mar 31, 2026B•••••• R•••••• A••••• (SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER, DIRECTOR) left Schedule A between the filings of 2022-12-22 and 2026-03-31peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 74 to 72Jul 1, 2025 to Mar 31, 2026
- HNW clients · 61 to 59Jul 1, 2025 to Mar 31, 2026
- Discretionary RAUM · $2.2B to $2.4BJul 1, 2025 to Mar 31, 2026
- HNW RAUM · $962M to $1.0BJul 1, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $822M to $868MJul 1, 2025 to Mar 31, 2026
- RAUM · $2.2B to $2.4BJul 1, 2025 to Mar 31, 2026
- Financial planning clients · unset to Mar 26, 2025 to Jul 1, 2025
- Accounts · 71 to 74Jul 25, 2024 to Mar 26, 2025
- Corporate clients · unset to 5.0Jul 25, 2024 to Mar 26, 2025
- HNW clients · 62 to 61Jul 25, 2024 to Mar 26, 2025
- Employees · 13 to 12Jul 25, 2024 to Mar 26, 2025
- Discretionary RAUM · $2.0B to $2.2BJul 25, 2024 to Mar 26, 2025
- HNW RAUM · $1.1B to $962MJul 25, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $683M to $822MJul 25, 2024 to Mar 26, 2025
- RAUM · $2.0B to $2.2BJul 25, 2024 to Mar 26, 2025
- Accounts · 77 to 71Jul 31, 2023 to Mar 26, 2024
- Advisory employees · 6 to 7Jul 31, 2023 to Mar 26, 2024
- HNW clients · 67 to 62Jul 31, 2023 to Mar 26, 2024
- Employees · 11 to 13Jul 31, 2023 to Mar 26, 2024
- Discretionary RAUM · $1.5B to $2.0BJul 31, 2023 to Mar 26, 2024
- HNW RAUM · $856M to $1.1BJul 31, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $435M to $683MJul 31, 2023 to Mar 26, 2024
- RAUM · $1.5B to $2.0BJul 31, 2023 to Mar 26, 2024
- Accounts · 70 to 77Dec 22, 2022 to Mar 30, 2023
- Advisory employees · 7 to 6Dec 22, 2022 to Mar 30, 2023
- BD registered reps · 4 to 5Dec 22, 2022 to Mar 30, 2023
- HNW clients · 60 to 67Dec 22, 2022 to Mar 30, 2023
- Employees · 12 to 11Dec 22, 2022 to Mar 30, 2023
- State-registered IARs · 1 to 2Dec 22, 2022 to Mar 30, 2023
- Discretionary RAUM · $1.7B to $1.5BDec 22, 2022 to Mar 30, 2023
- HNW RAUM · $828M to $856MDec 22, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $569M to $435MDec 22, 2022 to Mar 30, 2023
- RAUM · $1.7B to $1.5BDec 22, 2022 to Mar 30, 2023
- Accounts · 69 to 70Dec 21, 2021 to Mar 29, 2022
- BD registered reps · 5 to 4Dec 21, 2021 to Mar 29, 2022
- Charity clients · 3.0 to unsetDec 21, 2021 to Mar 29, 2022
- Corporate clients · 2.0 to unsetDec 21, 2021 to Mar 29, 2022
- HNW clients · 59 to 60Dec 21, 2021 to Mar 29, 2022
- Employees · 15 to 12Dec 21, 2021 to Mar 29, 2022
- Private funds · 3 to 2Dec 21, 2021 to Mar 29, 2022
Signals
8 dated events
- P••••••• C•••••• M••••••••• I••• reported RAUM $2.0B, up 27% from $1.5B (2023-07-31 to 2024-03-26)Mar 26, 2024 · RAUM change · derived
- Elizabeth Sara Spychalski (Chief Compliance Officer) no longer on Schedule A of P••••••• C•••••• M••••••••• I••• (listed 2022-03-29, absent 2022-12-22)Dec 22, 2022 · Control person left · inference
- Alan Gregg Miller (Chief Compliance Officer) appeared on Schedule A of P••••••• C•••••• M••••••••• I•••Dec 22, 2022 · Control person joined · fact
- P••••••• C•••••• M••••••••• I••• reported RAUM $1.7B, up 34% from $1.3B (2021-12-21 to 2022-03-29)Mar 29, 2022 · RAUM change · derived
- Elizabeth Sara Spychalski (Chief Compliance Officer) appeared on Schedule A of P••••••• C•••••• M••••••••• I•••Mar 29, 2022 · Control person joined · fact
- Harry Thomas Signor (Chief Compliance Officer) no longer on Schedule A of P••••••• C•••••• M••••••••• I••• (listed 2021-12-21, absent 2022-03-29)Mar 29, 2022 · Control person left · inference
- P••••••• C•••••• M••••••••• I••• reported RAUM $1.2B, up 31% from $886.3M (2019-10-25 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- Harry Thomas Signor (Chief Compliance Officer) appeared on Schedule A of P••••••• C•••••• M••••••••• I•••Oct 25, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- mritter@paradigmcapital.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 518-431-3500reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- P•••••••CAPITAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 518-431-3500reportedpublic record, Form ADV, Mar 31, 2026
- Team page
- paradigmcapital.com/team/key-personnelreportedpublished by the firm, firm site, Sep 15, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $1.2Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026