Asset manager · White Plains, NY
Paradigm Asset Management
Paradigm Asset Management Company, L.L.C. · SEC-registered investment adviser · CRD 111479 · SEC 801-49001
At a glance
Paradigm Asset Management is an SEC-registered investment adviser based in White Plains, New York, with $442 million in regulatory assets under management as of its Form ADV filed March 30, 2026. Its largest client group by assets is state or municipal government entities. By Form ADV it is a asset manager, ranked 1,746th of 3,218 asset managers and 8,355th of 17,210 SEC-registered advisers by assets.
Main office 212-771-6100paradigmasset.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $442M
- Rank among asset managers
- #1,746 of 3,218
- Rank among all SEC RIAs
- #8,355 of 17,210
- Rank in New York
- #1,546 of 2,591
- Clients
- 7
- Accounts
- 10
- Discretionary
- 100% of AUM
- Employees
- 5
- Advisory staff
- 4
- Offices
- 2
Owners and executives on its Form ADV
- James E. FrancisManaging Member, Chief Executive Officer and Chief Investment Officer and Shareholder
- Gregory PaiSenior Managing Director and Chief Compliance Officer and Shareholder
- Jeffrey E. MarcusSenior Portfolio Manager and Shareholder
- Odalisse M. SosaChief Administrative Officer and Shareholder
Custody and brokerage
5 custodians
- State Street$184M42%
- BNY$120M27%
- Northern Trust$59M13%
- Amalgamated Bank$49M11%
- Pennhaven Brokerage Partners$30M7%
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| State or municipal government entities | 7 | $368M | 83% |
| Pension and profit sharing plans | – | $49M | 11% |
| Corporations or other businesses | – | $25M | 6% |
Disciplinary disclosures
Paradigm Asset Management reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for businesses and institutions
How it’s paid
- A percentage of assets under management
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗paradigmasset.com ↗
AtlasMembers
The full record on Paradigm Asset Management
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
- Locked
- Growth over one, three and five years
- Locked
- Rank against 988 peers of its type and size
- Locked
- Owners and executives, with titles and stakes
- 4 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Paradigm Asset Management manage?
Paradigm Asset Management reports $442 million in regulatory assets under management across 10 accounts, 100% of it on a discretionary basis, on its Form ADV filed March 30, 2026.
What kind of firm is Paradigm Asset Management?
Paradigm Asset Management is a asset manager by its Form ADV answers. Most of its assets are managed for funds, institutions or other businesses rather than individuals.
Who are Paradigm Asset Management’s clients?
By assets, its largest client types are state or municipal government entities ($368 million, 7 clients); pension and profit sharing plans ($49 million); corporations or other businesses ($25 million).
Does Paradigm Asset Management have any disciplinary history?
Paradigm Asset Management reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Paradigm Asset Management’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-03-30), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →