Paradigm Asset Management provides portfolio management for institutions.
Paradigm Asset Management reports 7 clients. They include 7 state or municipal government entities. Of its assets, 100.0% ($442M across 10 accounts) are managed with discretion.
| Client type | Clients | Assets |
|---|---|---|
| Pension and profit-sharing plans | Fewer than 5 | 11% |
| State or municipal government entities | 100% | 83% |
| Corporations and other businesses | Fewer than 5 | 6% |
Client shares use reported counts. Client types without a reported count are excluded from that total.
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Pension and profit-sharing plans | Fewer than 5 | $48.6M | 11.0% | — |
| State or municipal government entities | 7 | $368M | 83.2% | $52.5M |
| Corporations and other businesses | Fewer than 5 | $25.5M | 5.8% | — |
| Total | 7 | $442M | 100% | — |
- Clients
- Fewer than 5
- Regulatory AUM
- $48.6M
- AUM share
- 11.0%
- Avg. per client
- —
- Clients
- 7
- Regulatory AUM
- $368M
- AUM share
- 83.2%
- Avg. per client
- $52.5M
- Clients
- Fewer than 5
- Regulatory AUM
- $25.5M
- AUM share
- 5.8%
- Avg. per client
- —
Total
- Clients
- 7
- Regulatory AUM
- $442M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
Paradigm Asset Management is paid through a percentage of assets under management and fixed fees (other than subscription fees); its fees and minimums are set out in its brochures on the SEC website.
James Francis owns 50% to 75% of Paradigm Asset Management. James Francis is CEO; the leadership team includes Chief Compliance Officer Gregory Pai. It has 5 employees, 4 of them in advisory roles.
Leadership
- James FrancisManaging Member, Chief Executive Officer and Chief Investment Officer and Shareholder
- Gregory PaiSenior Managing Director and Chief Compliance Officer and Shareholder
- Odalisse SosaChief Administrative Officer and Shareholder
- Jeffrey MarcusSenior Portfolio Manager and Shareholder
Staff
- 5 employees
- 4 in advisory functions
- Owns 50% to 75% of Paradigm Asset Management Company, L.L.C.
James Francis
Control person · since October 2004
- Owns 10% to 25% of Paradigm Asset Management Company, L.L.C.
Gregory Pai
Control person · since October 2004
- Owns 5% to 10% of Paradigm Asset Management Company, L.L.C.
Jeffrey Marcus
Control person · since May 1995
Paradigm Asset Management’s regulatory assets grew from $382M (March 2021) to $442M (March 2026); clients rose from 6 to 7 and employees were 5 in both filings.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| March 2026 | $442M | 7 | 5 | 2 |
| March 2025 | $373M | 7 | 5 | 1 |
| March 2024 | $386M | 7 | 5 | 1 |
| May 2023 | $374M | 7 | 5 | 1 |
| March 2022 | $410M | 7 | 5 | 1 |
| March 2021 | $382M | 6 | 5 | 1 |
Besides its headquarters, Paradigm Asset Management has 1 office, with 2 listed addresses in New York.
New York · 2 listed addresses
- 445 Hamilton Avenue, Floor 11, White PlainsHQ
- 1345 Avenue of the Americas, New York
Contact and registration details
- Legal name
- Paradigm Asset Management Company, L.L.C.
- Headquarters
- 445 Hamilton Avenue, Floor 11, White Plains, NY 10601
- Website
- Not reported
- Phone
- 212-771-6100
- @paradigm-asset-management-llc
- SEC file
- 801-49001
- Structure
- Delaware LLC
- Fiscal year end
- December
Paradigm Asset Management uses State Street Global Markets ($184M, 42%), BNY Mellon Securities ($120M, 27%) and Northern Trust Securities ($59.1M, 13%), among others, as custodians for its separately managed accounts. Paradigm Asset Management does not have custody of client assets.
The filed custodian amounts total more than regulatory assets under management. Each amount is shown as filed.
- BNY Mellon SecuritiesBNY Mellon Securities Corporation · E. Syracuse, NY · $120M27%
- State Street Global MarketsState Street Global Markets, LLC · Boston, MA · $184M42%
- Northern Trust SecuritiesNorthern Trust Securities, Inc. · Chicago, IL · $59.1M13%
- Amalgamated BankAmalgamated Bank · Meriden, CT · $48.6M11%
- Pennhaven Brokerage PartnersPennhaven Brokerage Partners, LLC · Doylestown, PA · $30M7%
At year end, Paradigm Asset Management’s separately managed accounts were mostly in stocks (98%). Its reported 13F holdings for the quarter ended 30 June 2026 total $468M across 419 positions; the largest are Alphabet Inc.. CL A (2.4%), Micron Technology (2.2%) and ASML Holding NV (1.5%).
What the accounts hold
- Stocks98%
- Cash2%
Reported 13F holdings
- $468M
- Reported 13F value
- 419
- Positions
- 15.7%
- In the 10 largest
- +9.8%
- Value vs. prior quarter
- Alphabet Inc.. CL A2.4%
- Micron Technology2.2%
- ASML Holding NV1.5%
- Exxon Mobil Corp..1.5%
- Lam Research Corp.1.5%
- Cisco Systems1.4%
- JPMORGAN Chase & CO1.4%
- Samsung Electronics CO LT1.3%
- Microsoft Corp..1.3%
- Applied Matls Inc..1.2%
Together, the ten largest are 15.7% of reported value.
How many clients does Paradigm Asset Management have?
Paradigm Asset Management has 7 clients and manages $442 million for them, as of March 2026. They include 7 state or municipal government entities.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 30 March 2026
What services does Paradigm Asset Management offer?
Paradigm Asset Management provides portfolio management for institutions.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
Which custodians does Paradigm Asset Management use?
Paradigm Asset Management’s separately managed account assets are held at State Street Global Markets, LLC (Boston, MA), with $184M, BNY Mellon Securities Corporation (E. Syracuse, NY), with $120M, Northern Trust Securities, Inc. (Chicago, IL), with $59.1M, Amalgamated Bank (Meriden, CT), with $48.6M and Pennhaven Brokerage Partners, LLC (Doylestown, PA), with $30M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 30 March 2026
How many financial advisors does Paradigm Asset Management have?
Paradigm Asset Management has 0 investment adviser representatives registered with state securities authorities, out of 5 employees, and 4 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Paradigm Asset Management invest in?
At the end of its last fiscal year, Paradigm Asset Management’s separately managed accounts held 98% exchange-traded equities and 2% cash and equivalents.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Paradigm Asset Management?
Paradigm Asset Management’s direct owners are James Francis (50% to 75%), Gregory Pai (10% to 25%) and Jeffrey Marcus (5% to 10%).
Source: Form ADV Part 1A, Schedules A and B, filed 30 March 2026
How does Paradigm Asset Management get paid?
Paradigm Asset Management is paid through a percentage of assets under management and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
How do I contact Paradigm Asset Management?
Paradigm Asset Management’s main office is at 445 Hamilton Avenue, Floor 11, White Plains, NY 10601. Its phone number is 212-771-6100.