Firm profile

Paradigm Asset Management

WHITE PLAINS, NYCRD 111479Registration Status: ApprovedEffective since May 17, 1995SEC # 801-49001Latest ADV March 30, 2026

Paradigm Asset Management is an SEC registered investment adviser organized as a limited liability company with a primary office location in White Plains, NY. Its latest Form ADV filing, dated March 30, 2026, reports $442M in regulatory assets under management, 5 employees, 2 offices, and 10 accounts.

Assets Under Management
$442M
Employees
5
Offices
2 offices
Total Clients
7

Associated firm names

4 names listed
  • PARADIGM ASSET MANAGEMENT
  • PARADIGM ASSET MANAGEMENT, L.L.C.
  • PARADIGM ASSET MANAGEMENT COMPANY, L.L.C.
  • PARADIGM ASSET MANAGEMENT COMPANY, L.L.C

Leadership

3 roles identified
CEOJames E. Francis
CCOGregory Pai
CIOJames E. Francis

Advisory services offered

1 types reported
Portfolio management for businesses

Fee models offered

2 types reported
Asset based fees
Fixed fees

Offices & Contact

Primary office

WHITE PLAINS, New York, United States

Loading map…

Primary office regionOther reported regions

Shading shows states and countries with reported offices. Cities are listed below; shading does not indicate service coverage.

New York

WHITE PLAINSPrimary office · NEW YORK

2 office records listed · 2 total offices reported. Counts can use different reporting dates. SEC filers may list only their largest 25 additional offices.

Contact and digital presence

ADV profile links

Regulatory Assets Under Management Breakdown

Total regulatory assets under management$442Mas of March 30, 2026
Discretionary100.0%
$442M
100% of total RAUM100.0%
Non-discretionary0.0%
$0
0% of total RAUM0.0%
All regulatory assets under management are discretionary.

Client Coverage Demographics

Top client segmentGovernment represent 100.0% of total clients.
Top client categories% of clientsClients
1
Government
100.0%
7
Categories with <5 clients
Corporations or other businesses not listed above<5 clients
Pension and profit sharing plans<5 clients

Assets under management Growth by Quarter

Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.

Total AUM$442M
Total Accounts10
10Y AUM Change$-87M (-16.4%)

Private Funds

Private funds reported by Paradigm Asset Management

Loading private fund disclosures…

Employee Growth by Quarter

Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.

Total Employees5
Clients per Employee1:1
10Y Employee Change0 (0.0%)

Historical AUM and employee figures reflect available SEC Form ADV filings under this CRD. Filing gaps may reflect registration status changes, dormant periods, state registration periods, firm restructuring, or other reporting changes. Rialytix does not interpolate missing periods.


Ownership

Reported direct and indirect ownership ranges

Each range applies to a separate reported relationship and should not be added together.

Reported ownership ranges

Highlighted bands show the percentage range reported in Form ADV.

0%25%50%75%100%
JAMES ERIC FRANCISDirect owner · Schedule AInterest in PARADIGM ASSET MANAGEMENT
50% to < 75%
GREGORY PAIDirect owner · Schedule AInterest in PARADIGM ASSET MANAGEMENT
10% to < 25%
JEFFREY EDWARD MARCUSDirect owner · Schedule AInterest in PARADIGM ASSET MANAGEMENT
5% to < 10%
ODALISSE MIGUELINA SOSADirect owner · Schedule AInterest in PARADIGM ASSET MANAGEMENT
< 5%

Bars represent the reported range at that individual ownership step, not an estimated percentage of the advisory firm. Indirect relationships may refer to intermediate entities rather than directly to Paradigm Asset Management.

No indirect ownership information reported in the source’s Schedule B.

Reported ownership and control details

Form ADV · Filing date 2026-03-30 · Schedules A and B

4 entries
#Owner / person & roleInterest in entityReported interestControl personTitle / status acquiredSource
1JAMES ERIC FRANCISMANAGING MEMBER, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER AND SHAREHOLDERIndividualPARADIGM ASSET MANAGEMENT50% to less than 75%Code DYesMANAGING MEMBER, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER AND SHAREHOLDER10/2004Schedule APDF page 21
2GREGORY PAISENIOR MANAGING DIRECTOR AND CHIEF COMPLIANCE OFFICER AND SHAREHOLDERIndividualPARADIGM ASSET MANAGEMENT10% to less than 25%Code BYesSENIOR MANAGING DIRECTOR AND CHIEF COMPLIANCE OFFICER AND SHAREHOLDER10/2004Schedule APDF page 21
3JEFFREY EDWARD MARCUSSENIOR PORTFOLIO MANAGER AND SHAREHOLDERIndividualPARADIGM ASSET MANAGEMENT5% to less than 10%Code AYesSENIOR PORTFOLIO MANAGER AND SHAREHOLDER05/1995Schedule APDF page 21
4ODALISSE MIGUELINA SOSACHIEF ADMINISTRATIVE OFFICER AND SHAREHOLDERIndividualPARADIGM ASSET MANAGEMENTLess than 5%Code NANoCHIEF ADMINISTRATIVE OFFICER AND SHAREHOLDER01/2023Schedule APDF page 21

Less than 5% may include zero. Code F identifies a role without specifying a percentage. Reported interests may overlap and may not include every owner. Total indirect ownership is not calculated.

Compliance & Disclosures

Filing dated 3/30/2026 1:15:18 PM

Responses were selected by the RIA in its filing. Questions are shortened for readability; “you” refers to the reporting firm, and some questions also cover advisory affiliates.

RIA or supervised-person involvementThe RIA reported that none of the events below involve the firm or its supervised persons.RIA responseNo
AFelonies2 No

In the past ten years, have you or any advisory affiliate:

  • A1Been convicted of or pleaded guilty or no contest to a felony?No
  • A2Been charged with a felony?No
BMisdemeanors2 No

In the past ten years, have you or any advisory affiliate:

  • B1Been convicted of or pleaded guilty or no contest to a misdemeanor involving investments, an investment-related business, fraud, false statements or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, or extortion?No
  • B2Been charged with a misdemeanor of the kind listed above?No
CSEC or CFTC actions5 No

Has the SEC or CFTC ever:

  • C1Found you or an advisory affiliate made a false statement or omission?No
  • C2Found you or an advisory affiliate violated SEC or CFTC regulations or statutes?No
  • C3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
  • C4Entered an order against you or an advisory affiliate in connection with investment-related activity?No
  • C5Imposed a civil money penalty on you or an advisory affiliate, or ordered you or an advisory affiliate to cease and desist from any activity?No
DOther regulatory actions5 No

Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority ever:

  • D1Found you or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?No
  • D2Found you or an advisory affiliate violated investment-related regulations or statutes?No
  • D3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
  • D4In the past ten years, entered an order against you or an advisory affiliate in connection with investment-related activity?No
  • D5Denied, suspended, or revoked your or an advisory affiliate’s registration or license, or otherwise prevented association with an investment-related business or restricted activities?No
ESelf-regulatory organization actions4 No

Has a self-regulatory organization or commodities exchange ever:

  • E1Found you or an advisory affiliate made a false statement or omission?No
  • E2Found you or an advisory affiliate violated its rules, other than a violation designated as a minor rule violation under an SEC-approved plan?No
  • E3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
  • E4Disciplined you or an advisory affiliate by expulsion, suspension, barring association with other members, or otherwise restricting activities?No
FProfessional authorizations1 No
  • FHas an authorization to act as an attorney, accountant, or federal contractor granted to you or an advisory affiliate ever been revoked or suspended?No
GPending regulatory proceedings1 No
  • GAre you or any advisory affiliate now the subject of a regulatory proceeding that could result in a “Yes” answer to any part of C, D, or E?No
HCivil judicial actions and proceedings4 No

(1) Court actions

Has a domestic or foreign court:

  • H(1)(a)In the past ten years, enjoined you or an advisory affiliate in connection with investment-related activity?No
  • H(1)(b)Found that you or an advisory affiliate violated investment-related statutes or regulations?No
  • H(1)(c)Dismissed, pursuant to a settlement agreement, an investment-related civil action brought against you or an advisory affiliate by a state or foreign financial regulatory authority?No

(2) Pending civil proceedings

  • H(2)Are you or any advisory affiliate now the subject of a civil proceeding that could result in a “Yes” answer to any part of H(1)?No

* Metrics are based on the latest available data, including Form ADV filings, brochures, and relationship summaries pulled from the SEC IAPD, and may be subject to change. Learn what is included in the Rialytix data. Please refer to the firm's official disclosures for the most accurate information using their CRD number. This is not investment advice.