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
Paragon Private Wealth Management LLC
Latest filing Mar 19, 2026
First filing on the tape Mar 2, 2021 · 10 filings
SEC status approved since Apr 2, 2021
RAUM
$458M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
93%
$427M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$114M
derived; firm RAUM over IAPD count
Employees
6
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$458M as of Mar 19, 2026
Mar 22, 2022$182M then
HNW client RAUM$398M as of Mar 19, 2026
Mar 22, 2022$164M then
State-registered IARs (5.B.3)4 as of Mar 19, 2026
Mar 22, 20222 then
Employees (5.A)6 as of Mar 19, 2026
Mar 22, 20223 then
Private funds: no history
RAUM +29% over the last fiscal year+35% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 19, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- $114MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 42derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.7MderivedHNW RAUM over HNW clients
- Average account
- $644,001derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 6.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +29%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.4%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $34.5M, 49 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$398M87%
- State and municipal entities$30.8M6.7%
- Individuals$28.9M6.3%
- Individual clients
- 82reported
- HNW clients
- 85reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 711reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $34.5M for 49 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.07 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Emily Margaret Johns | Lexington, Ky | Apr 23, 2021 | 14 y | 1 |
| Catherine Elizabeth SalsmanCertified Financial Planner | Lexington, Ky | Apr 23, 2021 | 28 y | 3 |
| Dylan T Jones | Lexington, Ky | Dec 10, 2024 | 10 y | 2 |
| Mary Kathryn Lockwood | Lexington, Ky | Jan 1, 2026 | 19 y | 2 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- Mary Kathryn Lockwood from Meridian Wealth Management, LLCJan 1, 2026 · RIA to RIA
- Dylan T Jones from Raymond James & Associates, Inc.Dec 10, 2024 · Affiliated broker-dealer or bank to independent RIA
- Catherine Elizabeth Salsman from Morgan StanleyApr 23, 2021 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- Emily Margaret Johns from Morgan StanleyApr 23, 2021 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from Morgan StanleyMay 12, 2021 · Lexington, Ky
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Kathryn Mary Lockwood · Chief Investment Officercontrolsince 09/2023 · owns less than 5%
- Elizabeth Catherine Salsman · Managing Member And Chief Compliance Officercontrolsince 04/2021 · owns 25% to 50%
- Alexander Justin Sherman · Managing Membercontrolsince 04/2021 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Lexington, Ky · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 684 to 711Mar 27, 2025 to Mar 19, 2026
- Advisory employees · 3 to 2Mar 27, 2025 to Mar 19, 2026
- HNW clients · 66 to 85Mar 27, 2025 to Mar 19, 2026
- Individual clients · 94 to 82Mar 27, 2025 to Mar 19, 2026
- Assets in custody · $17.0M to $34.5MMar 27, 2025 to Mar 19, 2026
- Financial planning clients · 51-100 to 101-250Mar 27, 2025 to Mar 19, 2026
- Discretionary RAUM · $336M to $444MMar 27, 2025 to Mar 19, 2026
- HNW RAUM · $288M to $398MMar 27, 2025 to Mar 19, 2026
- Individual RAUM · $37.0M to $28.9MMar 27, 2025 to Mar 19, 2026
- Non-discretionary RAUM · $18.4M to $13.9MMar 27, 2025 to Mar 19, 2026
- RAUM · $355M to $458MMar 27, 2025 to Mar 19, 2026
- Accounts · 630 to 684Mar 25, 2024 to Mar 27, 2025
- HNW clients · 75 to 66Mar 25, 2024 to Mar 27, 2025
- Individual clients · 78 to 94Mar 25, 2024 to Mar 27, 2025
- Employees · 5 to 6Mar 25, 2024 to Mar 27, 2025
- Financial planning clients · 51-100 to 51-100Mar 25, 2024 to Mar 27, 2025
- State-registered IARs · 3 to 4Mar 25, 2024 to Mar 27, 2025
- Discretionary RAUM · $283M to $336MMar 25, 2024 to Mar 27, 2025
- HNW RAUM · $235M to $288MMar 25, 2024 to Mar 27, 2025
- Individual RAUM · $19.7M to $37.0MMar 25, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $0 to $18.4MMar 25, 2024 to Mar 27, 2025
- RAUM · $283M to $355MMar 25, 2024 to Mar 27, 2025
- Accounts · 120 to 630Mar 14, 2023 to Mar 25, 2024
- Advisory employees · 2 to 3Mar 14, 2023 to Mar 25, 2024
- HNW clients · 53 to 75Mar 14, 2023 to Mar 25, 2024
- Individual clients · 60 to 78Mar 14, 2023 to Mar 25, 2024
- Assets in custody · $54.3M to $17.0MMar 14, 2023 to Mar 25, 2024
- Employees · 4 to 5Mar 14, 2023 to Mar 25, 2024
- State-registered IARs · 2 to 3Mar 14, 2023 to Mar 25, 2024
- Other offices · 0 to 1Mar 14, 2023 to Mar 25, 2024
- Discretionary RAUM · $185M to $283MMar 14, 2023 to Mar 25, 2024
- HNW RAUM · $166M to $235MMar 14, 2023 to Mar 25, 2024
- Individual RAUM · $18.7M to $19.7MMar 14, 2023 to Mar 25, 2024
- RAUM · $185M to $283MMar 14, 2023 to Mar 25, 2024
- Accounts · 370 to 120Oct 17, 2022 to Mar 14, 2023
- Advisory activities · 5 to 3Oct 17, 2022 to Mar 14, 2023
- HNW clients · 47 to 53Oct 17, 2022 to Mar 14, 2023
- Individual clients · 44 to 60Oct 17, 2022 to Mar 14, 2023
- Assets in custody · $7.9M to $54.3MOct 17, 2022 to Mar 14, 2023
- Employees · 3 to 4Oct 17, 2022 to Mar 14, 2023
Signals
4 dated events
- Paragon Private Wealth Management Llc reported RAUM $457.9M, up 29% from $354.9M (2025-03-27 to 2026-03-19)Mar 19, 2026 · RAUM change · derived
- Kathryn Mary Lockwood (Chief Investment Officer) appeared on Schedule A of Paragon Private Wealth Management LlcMar 25, 2024 · Control person joined · fact
- Elizabeth Catherine Salsman (Managing Member And Chief Compliance Officer) appeared on Schedule A of Paragon Private Wealth Management LlcApr 23, 2021 · Control person joined · fact
- Perina Advisors, Llc filed its initial SEC registration (Form ADV)Mar 2, 2021 · First SEC registration · 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 phone
- 859-300-3980reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/paragon-mgmtreportedpublic record, Form ADV, Sep 17, 2026
- Website
- paragonmgmt.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 859-300-3985reportedpublic record, Form ADV, Mar 19, 2026
- Contact form
- paragonmgmt.com/contact-usreportedpublished by the firm, firm site, Sep 17, 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
- $114Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026