PARADIGM WEALTH ADVISORY LLC
Adviser information for PARADIGM WEALTH ADVISORY LLC last updated from Form ADV on March 28th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 16 |
|---|---|
| Investment Advisory/Research | 12 |
| Registered Broker-Dealer Representatives | 8 |
| Registered State Investment Advisers | 12 |
| Licensed Agents of an Insurance Company | 10 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 2,137 | $356.1M |
| Non-Discretionary | 0 | $0 |
| Total | 2,137 | $356.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 476 | $133.8M |
| HNW Individuals | 116 | $221.8M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | <5 | $572,369 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)Educational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 356.1M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| PARADIGM WRAP FEE PROGRAM | PARADIGM WEALTH ADVISORY LLC |
Identifiers
| SEC RIA File Number | 801-107403 |
|---|---|
| SEC ERA File Number | 801-107403 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 283120 |
| Legal Entity Identifier | None |
Principal Office
1140 HIGHWAY 22 EASTSUITE 105
BRIDGEWATER
NJ
United States
Monday - Friday, 9:00AM - 5:00PM
Tel: (908) 450-7402, Fax: (908) 450-7404
Chief Compliance Officer
DAVID T. PROVINSAL
MANAGING DIRECTOR
1140 HIGHWAY 22 EAST
SUITE 105
BRIDGEWATER
NJ
United States
Tel:
(908) 450-7402
Fax:
(908) 450-7404
D*********@*********M
(Full email address available in API data)
Regulatory Contact
MICHAEL MCDONALD
ATTORNEY
1301 K STREET
5TH FLOOR
WASHINGTON
DC
United States
Tel:
2022201950
Fax:
2026647059
M**************@******M
(Full email address available in API data)
Industry Affiliates
| PARADIGM TAX, LLC | Accountant or accounting firm |
| PARADIGM WEALTH MANAGEMENT, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| PROVINSAL, DAVID, TIMOTHY | Individual | PARADIGM WEALTH MANAGEMENT HOLDINGS LLC | MANAGING MEMBER | 11/2014 | > 75% |
| PROVINSAL, DAVID, TIMOTHY | Individual | – | MANAGING PARTNER AND CHIEF COMPLIANCE OFFICER | 11/2014 | < 5% |
| PARADIGM WEALTH MANAGEMENT HOLDINGS LLC | Domestic Entity | – | PARENT/HOLDING COMPANY | 04/2016 | > 75% |