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.
SEC-registered adviser
Paradigm Wealth Management, LLC
Latest filing Mar 9, 2026
First filing on the tape Mar 1, 2012 · 21 filings
SEC status approved since Nov 18, 2008
RAUM
$563M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
97%
$549M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$93.9M
derived; firm RAUM over IAPD count
Employees
7
6 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$563M as of Mar 9, 2026
Mar 1, 2012$91.4M then
HNW client RAUM$483M as of Mar 9, 2026
Feb 14, 2018$161M then
State-registered IARs (5.B.3)6 as of Mar 9, 2026
Mar 1, 20120 then
Employees (5.A)7 as of Mar 9, 2026
Mar 4, 20132 then
Private funds: no history
RAUM +18% over the last fiscal year+29% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Mar 9, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $93.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 69derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 1.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 2.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +14%derived
- Compensation
- percentage of assets, hourly, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, educational seminarsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$483M86%
- Individuals$66.0M12%
- Charitable organizations$10.4M1.8%
- Corporations and businesses$3.8M0.7%
- Individual clients
- 245reported
- HNW clients
- 171reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 500reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Douglas Carl Kuhlman | Westlake, Oh | Nov 19, 2008 | 27 y | 1 |
| Margaret Mary QuinnCertified Financial Planner | Westlake, Oh | Dec 12, 2014 | 40 y | 1 |
| Marnie Renee RandelCertified Financial Planner | Westlake, Oh | Dec 17, 2014 | 11 y | 0 |
| Gregory Steven Johnson | Westlake, Oh | Sep 1, 2023 | 27 y | 2 |
| Kevin Vincent Cooney | Westlake, Oh | Sep 6, 2023 | 19 y | 4 |
| Parker Taylor | Westlake, Oh | Jun 20, 2025 | 12 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 headcount1 left over 36 months
Left, latest
- Mark Alan Fleming to Compass Financial Management LLCAug 21, 2024 · RIA to RIA
Joined, latest
- Kevin Vincent Cooney from Rothschild Wealth LLCSep 6, 2023 · RIA to RIA
- Gregory Steven Johnson from Rothschild Wealth LLCSep 1, 2023 · RIA to RIA
- Mark Alan Fleming from Rothschild Wealth LLCSep 1, 2023 · RIA to RIA
- Margaret Mary Quinn from Charles Schwab & Co., Inc.Dec 12, 2014 · Other
- Douglas Carl Kuhlman from Charles Schwab & Co., Inc.Nov 19, 2008 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from Rothschild Wealth LLCSep 5, 2023 · Oakbrook, Il
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Carl Douglas Kuhlman · Managing Member/Chief Compliance Officercontrolsince 10/2008 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Westlake, Oh · principal | 6 | 0 | 0 | ||
| Chicago, Il | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Chicago, IL1 employees
- Oakbrook, IL1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- account count surgeChange between filings · filing Mar 9, 2026accounts (Item 5.F.2.f) moved from 298.0 to 500.0 (+68.0%) between the annual amendments of 2025-03-06 and 2026-03-09; the peer median change was +6.0% (1256 comparable advisers, 96.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,256) · 96% percentile
What changed
consecutive filings, newest first
- Accounts · 298 to 500May 12, 2025 to Mar 9, 2026
- HNW clients · 141 to 171May 12, 2025 to Mar 9, 2026
- Individual clients · 225 to 245May 12, 2025 to Mar 9, 2026
- Discretionary RAUM · $454M to $542MMay 12, 2025 to Mar 9, 2026
- HNW RAUM · $391M to $483MMay 12, 2025 to Mar 9, 2026
- Individual RAUM · $73.4M to $66.0MMay 12, 2025 to Mar 9, 2026
- Non-discretionary RAUM · $22.0M to $21.5MMay 12, 2025 to Mar 9, 2026
- RAUM · $476M to $563MMay 12, 2025 to Mar 9, 2026
- Financial planning clients · 26-50 to 26-50Mar 6, 2025 to May 12, 2025
- Accounts · 823 to 298Feb 21, 2024 to Mar 6, 2025
- HNW clients · 99 to 141Feb 21, 2024 to Mar 6, 2025
- Individual clients · 146 to 225Feb 21, 2024 to Mar 6, 2025
- Financial planning clients · 11-25 to 26-50Feb 21, 2024 to Mar 6, 2025
- Discretionary RAUM · $320M to $454MFeb 21, 2024 to Mar 6, 2025
- HNW RAUM · $310M to $391MFeb 21, 2024 to Mar 6, 2025
- Individual RAUM · $31.5M to $73.4MFeb 21, 2024 to Mar 6, 2025
- Non-discretionary RAUM · $28.4M to $22.0MFeb 21, 2024 to Mar 6, 2025
- RAUM · $348M to $476MFeb 21, 2024 to Mar 6, 2025
- Accounts · 553 to 823Oct 5, 2023 to Feb 21, 2024
- Advisory employees · 3 to 6Oct 5, 2023 to Feb 21, 2024
- HNW clients · 77 to 99Oct 5, 2023 to Feb 21, 2024
- Individual clients · 89 to 146Oct 5, 2023 to Feb 21, 2024
- Employees · 4 to 7Oct 5, 2023 to Feb 21, 2024
- State-registered IARs · 3 to 6Oct 5, 2023 to Feb 21, 2024
- Other offices · 1 to 2Oct 5, 2023 to Feb 21, 2024
- Discretionary RAUM · $238M to $320MOct 5, 2023 to Feb 21, 2024
- HNW RAUM · $234M to $310MOct 5, 2023 to Feb 21, 2024
- Individual RAUM · $23.4M to $31.5MOct 5, 2023 to Feb 21, 2024
- Non-discretionary RAUM · $23.4M to $28.4MOct 5, 2023 to Feb 21, 2024
- RAUM · $261M to $348MOct 5, 2023 to Feb 21, 2024
- Accounts · 537 to 553Mar 7, 2022 to Feb 9, 2023
- Charity clients · 2.0 to unsetMar 7, 2022 to Feb 9, 2023
- HNW clients · 72 to 77Mar 7, 2022 to Feb 9, 2023
- Individual clients · 83 to 89Mar 7, 2022 to Feb 9, 2023
- Discretionary RAUM · $259M to $238MMar 7, 2022 to Feb 9, 2023
- HNW RAUM · $258M to $234MMar 7, 2022 to Feb 9, 2023
- Individual RAUM · $25.2M to $23.4MMar 7, 2022 to Feb 9, 2023
- Non-discretionary RAUM · $28.3M to $23.4MMar 7, 2022 to Feb 9, 2023
- RAUM · $287M to $261MMar 7, 2022 to Feb 9, 2023
- Accounts · 459 to 537Oct 4, 2021 to Mar 7, 2022
Signals
3 dated events
- Paradigm Wealth Management, Llc reported RAUM $475.6M, up 37% from $347.9M (2024-02-21 to 2025-03-06)Mar 6, 2025 · RAUM change · derived
- Mark Alan Fleming left Paradigm Wealth Management, Llc for Compass Financial Management Llc (registered 2024-07-16)Aug 21, 2024 · Advisor changed firm · fact
- 3 advisors left Rothschild Wealth LLC (Oakbrook, IL) for Paradigm Wealth Management, LLC on the same daySep 5, 2023 · Team lift-out · derived
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 phone
- 303-893-0552reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- paradigmwealthmgmt.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 440-892-5900reportedpublic record, Form ADV, Mar 9, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $93.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026