PARAGON PRIVATE WEALTH MANAGEMENT LLC
Adviser information for PARAGON PRIVATE WEALTH MANAGEMENT LLC last updated from Form ADV on March 25th, 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 | 5 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 630 | $283.0M |
| Non-Discretionary | 0 | $0 |
| Total | 630 | $283.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 78 | $19.7M |
| HNW Individuals | 75 | $234.9M |
| 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 | 0 | $0 |
| State or municipal gov entities | <5 | $28.4M |
| 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 | <5 | $77,782 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 51-100 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMFixed fees |
Principal Office
300 WEST VINE STREETSUITE 2201
LEXINGTON
KY
United States
Monday - Friday, 8:30AM - 5:00PM
Tel: 859-300-3985, Fax: 859-374-6270
Websites
Chief Compliance Officer
CATHERINE E. SALSMAN
MANAGING PARTNER, WEALTH ADVISOR
300 WEST VINE STREET
SUITE 2201
LEXINGTON
KY
United States
Tel:
859-300-3985
Fax:
859-374-6270
K*******@**************M
(Full email address available in API data)
Regulatory Contact
JUSTIN SHERMAN
MANAGING PARTNER
300 WEST VINE STREET
SUITE 2201
LEXINGTON
KY
United States
Tel:
859-300-3985
Fax:
859-374-6270
J*******@**************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| Sherman, Justin, Alexander | Individual | – | MANAGING MEMBER | 04/2021 | 50-75% |
| SALSMAN, CATHERINE, ELIZABETH | Individual | – | MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER | 04/2021 | 25-50% |
| LOCKWOOD, MARY, KATHRYN | Individual | – | CHIEF INVESTMENT OFFICER | 09/2023 | < 5% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed August 12th, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| ABBOTT LABS | COM | 2M | 16K | – |
| ABBVIE INC | COM | 2M | 11K | – |
| ADOBE INC | COM | 808K | 1K | – |
| AES CORP | COM | 288K | 16K | – |
| AIR PRODS & CHEMS INC | COM | 911K | 4K | – |
| ALPHABET INC | CAP STK CL A | 4M | 23K | – |
| ALPHABET INC | CAP STK CL C | 306K | 2K | – |
| AMAZON COM INC | COM | 4M | 19K | – |
| AMERICAN EXPRESS CO | COM | 1M | 5K | – |
| AMERICAN TOWER CORP NEW | COM | 1M | 6K | – |
| AMGEN INC | COM | 579K | 2K | – |
| ANALOG DEVICES INC | COM | 324K | 1K | – |
| APPLE INC | COM | 7M | 34K | – |
| APPLIED MATLS INC | COM | 945K | 4K | – |
| ATLANTICA SUSTAINABLE INFR P | SHS | 272K | 12K | – |
| AUTODESK INC | COM | 210K | 847 | – |
| AUTOMATIC DATA PROCESSING IN | COM | 2M | 9K | – |
| BERKSHIRE HATHAWAY INC DEL | CL B NEW | 3M | 8K | – |
| BLACKROCK INC | COM | 731K | 929 | – |
| BLACKSTONE INC | COM | 516K | 4K | – |
| BOSTON SCIENTIFIC CORP | COM | 408K | 5K | – |
| BROADCOM INC | COM | 989K | 616 | – |
| CAPITAL ONE FINL CORP | COM | 237K | 2K | – |
| CHEVRON CORP NEW | COM | 847K | 5K | – |
| CINTAS CORP | COM | 558K | 797 | – |
| COLUMBIA ETF TR I | MULTI SEC MUNI | 879K | 43K | – |
| COLUMBIA ETF TR I | RESH ENHNC COR | 1M | 38K | – |
| CONOCOPHILLIPS | COM | 247K | 2K | – |
| CROWDSTRIKE HLDGS INC | CL A | 226K | 589 | – |
| DEERE & CO | COM | 641K | 2K | – |
| DIGITAL RLTY TR INC | COM | 1M | 8K | – |
| DISNEY WALT CO | COM | 498K | 5K | – |
| DOW INC | COM | 204K | 4K | – |
| DTE ENERGY CO | COM | 287K | 3K | – |
| EATON CORP PLC | SHS | 275K | 876 | – |
| ELI LILLY & CO | COM | 631K | 697 | – |
| EQUINIX INC | COM | 525K | 694 | – |
| ETFS GOLD TR | PHYSCL GOLD SHS | 736K | 33K | – |
| EVERTEC INC | COM | 331K | 10K | – |
| EXXON MOBIL CORP | COM | 896K | 8K | – |
| FIRST TR EXCHANGE TRADED FD | NASDAQ CYB ETF | 204K | 4K | – |
| FIRST TR EXCHANGE TRADED FD | CONSUMR DISCRE | 4M | 63K | – |
| FIRST TR EXCHANGE TRADED FD | INDLS PROD DUR | 2M | 34K | – |
| FIRST TR EXCHANGE TRADED FD | CLOUD COMPUTING | 2M | 22K | – |
| FIRST TR EXCHANGE TRADED FD | TECH ALPHADEX | 2M | 14K | – |
| FIRST TR EXCHANGE-TRADED FD | CAP STRENGTH ETF | 4M | 49K | – |
| FIRST TR EXCHANGE-TRADED FD | WTR ETF | 365K | 4K | – |
| FIRST TR EXCHANGE-TRADED FD | MANAGD MUN ETF | 723K | 14K | – |
| FIRST TR EXCHANGE-TRADED FD | FIRST TR ENH NEW | 1M | 18K | – |
| FIRST TR EXCHANGE-TRADED FD | NASDQ SEMCNDTR | 5M | 51K | – |
| FIRST TR EXCHANGE-TRADED FD | DJ INTERNT IDX | 5M | 26K | – |
| FIRST TR EXCHANGE-TRADED FD | NAS CLNEDG GREEN | 331K | 10K | – |
| FIRST TR EXCHANGE-TRADED FD | NASDAQ 100 EX | 1M | 16K | – |
| FIRST TR EXCHANGE-TRADED FD | RISNG DIVD ACHIV | 656K | 12K | – |
| FIRST TR EXCHNG TRADED FD VI | FT VEST US EQT | 1M | 28K | – |
| FIRST TR MORNINGSTAR DIVID L | SHS | 471K | 12K | – |
| FIRST TR NASDAQ 100 TECH IND | SHS | 3M | 14K | – |
| GENERAL DYNAMICS CORP | COM | 1M | 3K | – |
| GENERAL MLS INC | COM | 207K | 3K | – |
| GENUINE PARTS CO | COM | 941K | 7K | – |
| GLOBAL X FDS | RBTCS ARTFL INTE | 1M | 35K | – |
| GRAINGER W W INC | COM | 268K | 297 | – |
| HOME DEPOT INC | COM | 393K | 1K | – |
| ILLINOIS TOOL WKS INC | COM | 1M | 6K | – |
| INTEL CORP | COM | 916K | 30K | – |
| INTERNATIONAL BUSINESS MACHS | COM | 1M | 7K | – |
| INTUITIVE SURGICAL INC | COM NEW | 338K | 759 | – |
| INVESCO EXCH TRADED FD TR II | PFD ETF | 303K | 26K | – |
| INVESCO EXCH TRADED FD TR II | S&P500 LOW VOL | 2M | 28K | – |
| INVESCO EXCHANGE TRADED FD T | LARGE CAP GROWTH | 315K | 3K | – |
| INVESCO EXCHANGE TRADED FD T | AEROSPACE DEFN | 584K | 6K | – |
| INVESCO EXCHANGE TRADED FD T | LARGE CAP VALUE | 785K | 14K | – |
| INVESCO QQQ TR | UNIT SER 1 | 848K | 2K | – |
| ISHARES TR | US TREAS BD ETF | 1M | 50K | – |
| ISHARES TR | U.S. MED DVC ETF | 591K | 11K | – |
| ISHARES TR | S&P SML 600 GWT | 979K | 8K | – |
| ISHARES TR | CORE S&P SCP ETF | 4M | 33K | – |
| ISHARES TR | RUS MID CAP ETF | 4M | 54K | – |
| ISHARES TR | 7-10 YR TRSY BD | 2M | 19K | – |
| ISHARES TR | ISHARES SEMICDTR | 645K | 3K | – |
| ISHARES TR | CORE S&P500 ETF | 808K | 1K | – |
| J P MORGAN EXCHANGE TRADED F | ULTRA SHRT INC | 3M | 60K | – |
| J P MORGAN EXCHANGE TRADED F | EQUITY PREMIUM | 451K | 8K | – |
| JOHN HANCOCK EXCHANGE TRADED | MULTIFACTOR MI | 2M | 39K | – |
| JOHNSON & JOHNSON | COM | 1M | 8K | – |
| JPMORGAN CHASE & CO. | COM | 574K | 3K | – |
| KLA CORP | COM NEW | 936K | 1K | – |
| LOCKHEED MARTIN CORP | COM | 318K | 680 | – |
| LOWES COS INC | COM | 1M | 5K | – |
| MASTERCARD INCORPORATED | CL A | 432K | 980 | – |
| MCDONALDS CORP | COM | 699K | 3K | – |
| MCKESSON CORP | COM | 239K | 410 | – |
| MEDTRONIC PLC | SHS | 676K | 9K | – |
| META PLATFORMS INC | CL A | 2M | 5K | – |
| MICROSOFT CORP | COM | 10M | 22K | – |
| MOLSON COORS BEVERAGE CO | CL B | 631K | 12K | – |
| NETFLIX INC | COM | 608K | 901 | – |
| NEXTERA ENERGY INC | COM | 1M | 20K | – |
| NIKE INC | CL B | 602K | 8K | – |
| NOVO-NORDISK A S | ADR | 595K | 4K | – |
| NRG ENERGY INC | COM NEW | 428K | 6K | – |
| NVIDIA CORPORATION | COM | 5M | 37K | – |
| PACER FDS TR | US CASH COWS 100 | 208K | 4K | – |
| PACER FDS TR | INDUSTRIAL RELET | 379K | 10K | – |
| PACER FDS TR | PACER US SMALL | 2M | 37K | – |
| PALO ALTO NETWORKS INC | COM | 413K | 1K | – |
| PARAMOUNT GROUP INC | COM | 70K | 15K | – |
| PAYCHEX INC | COM | 850K | 7K | – |
| PEPSICO INC | COM | 2M | 10K | – |
| PIMCO ETF TR | ENHAN SHRT MA AC | 238K | 2K | – |
| PPG INDS INC | COM | 303K | 2K | – |
| PROCTER AND GAMBLE CO | COM | 2M | 11K | – |
| PROLOGIS INC. | COM | 995K | 9K | – |
| PROSHARES TR | S&P 500 DV ARIST | 2M | 24K | – |
| PRUDENTIAL FINL INC | COM | 364K | 3K | – |
| PUBLIC SVC ENTERPRISE GRP IN | COM | 241K | 3K | – |
| QUALCOMM INC | COM | 585K | 3K | – |
| QUANTA SVCS INC | COM | 251K | 988 | – |
| ROPER TECHNOLOGIES INC | COM | 546K | 969 | – |
| S&P GLOBAL INC | COM | 215K | 481 | – |
| SALESFORCE INC | COM | 1M | 5K | – |
| SCHWAB CHARLES CORP | COM | 213K | 3K | – |
| SEAGATE TECHNOLOGY HLDNGS PL | ORD SHS | 305K | 3K | – |
| SELECT SECTOR SPDR TR | TECHNOLOGY | 389K | 2K | – |
| SHARECARE INC | COM CL A | 131K | 97K | – |
| SHERWIN WILLIAMS CO | COM | 3M | 11K | – |
| SPDR S&P 500 ETF TR | TR UNIT | 897K | 2K | – |
| SPDR SER TR | S&P BIOTECH | 232K | 3K | – |
| STARBUCKS CORP | COM | 251K | 3K | – |
| STRYKER CORPORATION | COM | 284K | 835 | – |
| SYSCO CORP | COM | 814K | 11K | – |
| TARGET CORP | COM | 293K | 2K | – |
| TESLA INC | COM | 736K | 4K | – |
| UNION PAC CORP | COM | 693K | 3K | – |
| UNITED PARCEL SERVICE INC | CL B | 572K | 4K | – |
| UNITED RENTALS INC | COM | 521K | 806 | – |
| UNITEDHEALTH GROUP INC | COM | 495K | 972 | – |
| VANGUARD BD INDEX FDS | TOTAL BND MRKT | 275K | 4K | – |
| VANGUARD INDEX FDS | SMALL CP ETF | 488K | 2K | – |
| VANGUARD INDEX FDS | GROWTH ETF | 3M | 8K | – |
| VANGUARD INDEX FDS | S&P 500 ETF SHS | 3M | 5K | – |
| VANGUARD INDEX FDS | EXTEND MKT ETF | 228K | 1K | – |
| VANGUARD INDEX FDS | VALUE ETF | 2M | 14K | – |
| VANGUARD INDEX FDS | TOTAL STK MKT | 376K | 1K | – |
| VANGUARD SCOTTSDALE FDS | SHRT TRM CORP BD | 278K | 4K | – |
| VANGUARD STAR FDS | VG TL INTL STK F | 290K | 5K | – |
| VANGUARD TAX-MANAGED FDS | VAN FTSE DEV MKT | 324K | 7K | – |
| VANGUARD WHITEHALL FDS | HIGH DIV YLD | 259K | 2K | – |
| VANGUARD WORLD FD | INF TECH ETF | 264K | 457 | – |
| VERIZON COMMUNICATIONS INC | COM | 418K | 10K | – |
| VISA INC | COM CL A | 2M | 8K | – |
| WALMART INC | COM | 222K | 3K | – |
| WASTE MGMT INC DEL | COM | 2M | 9K | – |
| WEC ENERGY GROUP INC | COM | 518K | 7K | – |