RISK PARADIGM GROUP, LLC
Adviser information for RISK PARADIGM GROUP, LLC last updated from Form ADV on March 29th, 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 | Texas, United States |
Employees
| Total Number of Employees | 7 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 378 | $81.5M |
| Non-Discretionary | 0 | $0 |
| Total | 378 | $81.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | <5 | $832,603 |
| HNW Individuals | 0 | $0 |
| 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 | 0 | $0 |
| Other investment advisers | <5 | $80.6M |
| 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 | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-72141 |
|---|---|
| SEC ERA File Number | 801-72141 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 155870 |
| Legal Entity Identifier | None |
Principal Office
25 BURLINGTON MALL ROADSUITE 404
BURLINGTON
MA
United States
Monday - Friday, 8:30AM TO 5:30PM
Tel: (866) 726-5150, Fax: (781) 273-0333
Chief Compliance Officer
ROBERT D. MCCAULEY
25 BURLINGTON MALL ROAD
SUITE 404
BURLINGTON
MA
United States
Tel:
(781) 547-8677
Fax:
(781) 273-0333
R*********@********************M
(Full email address available in API data)
Regulatory Contact
MAURA F. DICKSON
COMPLIANCE ANALYST
25 BURLINGTON MALL ROAD
SUITE 404
BURLINGTON
MA
United States
Tel:
781-916-8176
M*******@********************M
(Full email address available in API data)
Industry Affiliates
| RPG FAMILY WEALTH ADVISORY, LLC | Other investment adviser, including financial planners |
| RPG INSURANCE SOLUTIONS | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| GATTI, DAVID, MICHAEL | Individual | RISK PARADIGM GROUP HOLDINGS, LLC | CHIEF EXECUTIVE OFFICER, FOUNDING PARTNER | 09/2011 | 50-75% |
| RISK PARADIGM GROUP HOLDINGS, LLC | Domestic Entity | – | HOLDING COMPANY | 09/2011 | > 75% |
| GATTI, DAVID, MICHAEL | Individual | – | CHIEF EXECUTIVE OFFICER | 09/2011 | < 5% |
| MCCAULEY, ROBERT, DUFF | Individual | – | CHIEF FINANCIAL OFFICER / CHIEF COMPLIANCE OFFICER | 04/2013 | < 5% |
| DUBE, MARIANN | Individual | – | CHIEF ADMINISTRATIVE OFFICER | 04/2013 | < 5% |