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••••••• F•••• A•••••• L••
Latest filing Mar 30, 2026
First filing on the tape Mar 29, 2012 · 24 filings
SEC status approved since Aug 19, 2005
RAUM
$305M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
12
7 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$305M as of Mar 30, 2026
Mar 29, 2012$246M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 30, 2026
Mar 29, 20120 then
Employees (5.A)12 as of Mar 30, 2026
Mar 22, 201325 then
Private funds: no history
RAUM -13% over the last fiscal year+6.1% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
- RAUM per advisor
- $153MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $102MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%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
- -13%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for investment companiesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$305M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=5.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
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%
- M•••••• G••••• A••• · Chief Compliance Officercontrolsince 12/2022 · owns less than 5%
- W•••• A•••••• F••••• · Shareholder/Director/Senior Vice President/Portfolio Managercontrolsince 09/2008 · owns 10% to 25%
- W•••• C••••••• K••• · Shareholder/Director/Ceo/Cio/Portfolio Managercontrolsince 07/2005 · owns 50% to 75%
- W•••• K••••••••• B•••••••• · Shareholdersince 07/2005 · owns 10% to 25%
Related persons
Schedule D 7.A
- C• L• K••• • A••••••••• I•••broker-dealern
- P••••••• C•••••• M••••••••• I•••investment advisernRAUM $2.4B
- P•• V••••••• I•• L••pooled vehicle sponsorn
- P•• V••••••• I••••••••• L••pooled vehicle sponsorn
- P•• V•••••••• L••pooled vehicle sponsorn
Advisers that list P••••••• F•••• A•••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
- New York, NY2 employees
What changed
consecutive filings, newest first
- Discretionary RAUM · $349M to $305MJul 1, 2025 to Mar 30, 2026
- RAUM · $349M to $305MJul 1, 2025 to Mar 30, 2026
- Financial planning clients · unset to Mar 31, 2025 to Jul 1, 2025
- Assets in custody · 0.0 to unsetAug 7, 2024 to Mar 31, 2025
- Employees · 13 to 12Aug 7, 2024 to Mar 31, 2025
- Discretionary RAUM · $316M to $349MAug 7, 2024 to Mar 31, 2025
- RAUM · $316M to $349MAug 7, 2024 to Mar 31, 2025
- Advisory employees · 6 to 7Mar 30, 2023 to Mar 27, 2024
- Employees · 11 to 13Mar 30, 2023 to Mar 27, 2024
- Insurance-licensed employees · 0 to 2Mar 30, 2023 to Mar 27, 2024
- Discretionary RAUM · $255M to $316MMar 30, 2023 to Mar 27, 2024
- RAUM · $255M to $316MMar 30, 2023 to Mar 27, 2024
- Advisory employees · 7 to 6Jan 4, 2023 to Mar 30, 2023
- BD registered reps · 4 to 5Jan 4, 2023 to Mar 30, 2023
- Employees · 12 to 11Jan 4, 2023 to Mar 30, 2023
- State-registered IARs · 1 to 2Jan 4, 2023 to Mar 30, 2023
- Discretionary RAUM · $382M to $255MJan 4, 2023 to Mar 30, 2023
- RAUM · $382M to $255MJan 4, 2023 to Mar 30, 2023
- BD registered reps · 5 to 4Apr 29, 2021 to Mar 31, 2022
- Employees · 15 to 12Apr 29, 2021 to Mar 31, 2022
- Discretionary RAUM · $219M to $382MApr 29, 2021 to Mar 31, 2022
- RAUM · $219M to $382MApr 29, 2021 to Mar 31, 2022
- Employees · 14 to 15Mar 30, 2020 to Mar 31, 2021
- Discretionary RAUM · $155M to $219MMar 30, 2020 to Mar 31, 2021
- RAUM · $155M to $219MMar 30, 2020 to Mar 31, 2021
- Accounts · 4 to 3Oct 25, 2019 to Mar 30, 2020
- Discretionary RAUM · $132M to $155MOct 25, 2019 to Mar 30, 2020
- RAUM · $132M to $155MOct 25, 2019 to Mar 30, 2020
- BD registered reps · 6 to 5Mar 11, 2019 to Oct 25, 2019
- Discretionary RAUM · $130M to $132MMar 11, 2019 to Oct 25, 2019
- RAUM · $130M to $132MMar 11, 2019 to Oct 25, 2019
- Advisory employees · 9 to 7Mar 15, 2018 to Mar 11, 2019
- BD registered reps · 5 to 6Mar 15, 2018 to Mar 11, 2019
- Employees · 17 to 14Mar 15, 2018 to Mar 11, 2019
- State-registered IARs · 0 to 1Mar 15, 2018 to Mar 11, 2019
- Discretionary RAUM · $142M to $130MMar 15, 2018 to Mar 11, 2019
- RAUM · $142M to $130MMar 15, 2018 to Mar 11, 2019
- Advisory employees · 8 to 9Mar 29, 2017 to Mar 15, 2018
- BD registered reps · 4 to 5Mar 29, 2017 to Mar 15, 2018
- Employees · 15 to 17Mar 29, 2017 to Mar 15, 2018
Signals
8 dated events
- P••••••• F•••• A•••••• L•• reported RAUM $255.4M, down 33% from $382.2M (2023-01-04 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- Alan Gregg Miller (Chief Compliance Officer) appeared on Schedule A of P••••••• F•••• A•••••• L••Jan 4, 2023 · Control person joined · fact
- Elizabeth Sara Spychalski (Chief Compliance Officer) no longer on Schedule A of P••••••• F•••• A•••••• L•• (listed 2022-03-31, absent 2023-01-04)Jan 4, 2023 · Control person left · inference
- P••••••• F•••• A•••••• L•• reported RAUM $382.2M, up 75% from $218.9M (2021-04-29 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- Elizabeth Sara Spychalski (Chief Compliance Officer) appeared on Schedule A of P••••••• F•••• A•••••• L••Mar 31, 2022 · Control person joined · fact
- H•••• T••••• S••••• (Chief Compliance Officer) no longer on Schedule A of P••••••• F•••• A•••••• L•• (listed 2021-04-29, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- Albert Robert Benton (Senior Vice President, Chief Financial Officer, Director) appeared on Schedule A of P••••••• F•••• A•••••• L••Mar 30, 2020 · Control person joined · fact
- H•••• T••••• S••••• (Chief Compliance Officer) appeared on Schedule A of P••••••• F•••• A•••••• L••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
- Firm profile
- linkedin.com/company/paradigm-capital-management-increportedpublic record, Form ADV, Sep 18, 2026
- Website
- P•••••••CAPITAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 518-431-3500reportedpublic record, Form ADV, Mar 30, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026