PARADIGM FUNDS ADVISOR LLC
Adviser information for PARADIGM FUNDS ADVISOR LLC last updated from Form ADV on March 27th, 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 | 13 |
|---|---|
| Investment Advisory/Research | 7 |
| Registered Broker-Dealer Representatives | 5 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 3 | $315.9M |
| Non-Discretionary | 0 | $0 |
| Total | 3 | $315.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 3 | $315.9M |
| 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 | 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 |
Services
| Advisory Services | Portfolio management for investment companies |
|---|---|
| Compensation | % of AUM |
Principal Office
9 ELK STREETALBANY
NY
United States
Monday - Friday, 8 A.M. - 5:30 P.M.
Tel: 518-431-3500, Fax: 518-431-3550
Chief Compliance Officer
GREGG A MILLER
CHIEF COMPLIANCE OFFICER
9 ELK STREET
ALBANY
NY
United States
Tel:
518-431-3500
Fax:
518-431-3550
G******@******************M
(Full email address available in API data)
Regulatory Contact
ROBERT A. BENTON
CHIEF FINANCIAL OFFICER
9 ELK STREET
ALBANY
NY
United States
Tel:
518-431-3500
Fax:
518-431-3550
R******@******************M
(Full email address available in API data)
Industry Affiliates
| C. L. KING & ASSOCIATES, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| PARADIGM CAPITAL MANAGEMENT, INC. | Other investment adviser, including financial planners |
| PCM VENTURES II, LLC | Sponsor, GP, manager of pooled investment vehicles |
| PCM VENTURES INTERNATIONAL, LLC | Sponsor, GP, manager of pooled investment vehicles |
| PCM VENTURES, LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| FLORIO, CARL, ANTHONY | Individual | – | DIRECTOR AND VICE CHAIRMAN | 01/2008 | < 5% |
| WEIR, CANDACE, KING | Individual | – | SHAREHOLDER/DIRECTOR/CEO/CIO/PORTFOLIO MANAGER | 07/2005 | 50-75% |
| WEIR, AMELIA, FARLEY | Individual | – | SHAREHOLDER/DIRECTOR/SENIOR VICE PRESIDENT/PORTFOLIO MANAGER | 09/2008 | 10-25% |
| WEIR, KATHERINE, BROUSSARD | Individual | – | SHAREHOLDER | 07/2005 | 10-25% |
| BENTON, ROBERT, ALBERT | Individual | – | SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER, DIRECTOR | 01/2007 | < 5% |
| MILLER, GREGG, ALAN | Individual | – | CHIEF COMPLIANCE OFFICER | 12/2022 | < 5% |