{"url":"https://nivawealth.com/firms/paragon-asset-management-107863","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/107863","regulatoryAum":115870556,"crd":"107863","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"722969","suffix":null,"lastName":"CHOW","firstName":"EUGENE","middleName":"YUNG CHING"}],"total":1,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2025-01-17","regulatoryAum":110730355,"clients":72,"employees":2,"offices":1},{"filedOn":"2026-09-29","regulatoryAum":115870556,"clients":60,"employees":2,"offices":1}],"secFileNumber":"801-131994","legalName":"Paragon Asset Management Inc.","displayName":"Paragon Asset 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2025","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1919655.5666666667,"staff":{"employees":2,"advisory":1,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":115870556,"discretionary":115870556,"discretionaryAccounts":60,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":32,"regulatoryAum":11987877},{"label":"High-net-worth individuals","clients":28,"regulatoryAum":103191457},{"label":"Pension and profit-sharing plans","clients":null,"fewerThan5":true,"regulatoryAum":691222}],"feePrograms":[{"role":"main","program":"Asset management fee 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Schwab","location":"San Francisco, CA","smaAssets":110730355}],"custodyNote":"Paragon Asset Management does not have custody of client assets.","leadership":[{"name":"Eugene Chow","title":"President, Chief Compliance Officer","crd":"722969"},{"name":"Linda Lee","title":"Chief Financial Officer","crd":"305352"}],"ownership":[{"label":"Eugene Chow","detail":"President, chief compliance officer in the 75% or more ownership band and a control person, since May 1989."}],"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"California","offices":1,"addresses":[{"street":"15 Altarinda Road, Suite 205","city":"Orinda","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"510-550-7288","stateRegisteredReps":1,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":96},{"label":"Cash and cash equivalents","percent":3}],"privateFunds":0},"sources":{"adv1FilingDate":"29 September 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/107863/PDF/107863.pdf","brochureDate":"17 February 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1009501","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Paragon Asset Management have?","answer":"Paragon Asset Management has 60 clients and manages $116 million for them, as of September 2026. They include 32 individual clients and 28 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 29 September 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Paragon Asset Management offer?","answer":"Paragon Asset Management provides portfolio management for individuals and small businesses and portfolio management for institutions.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Paragon Asset Management charge?","answer":"Paragon Asset Management charges 0.35%–1.00% a year for its Asset management fee schedule. Each asset band is charged at its own rate. The fee is billed in arrears, has a $2,500 annual minimum and requires an account of at least $250,000.","source":"ADV PART 2A AND 2B, filed 17 February 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Paragon Asset Management use?","answer":"Paragon Asset Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $111M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 29 September 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Paragon Asset Management have?","answer":"Paragon Asset Management has 1 investment adviser representative registered with state securities authorities, out of 2 employees, and 1 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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Paragon Asset Management invest in?","answer":"At the end of its last fiscal year, Paragon Asset Management’s separately managed accounts held 96% registered funds (mutual funds, ETFs, BDCs), 3% cash and equivalents and 1% exchange-traded equities.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Does Paragon Asset Management have a minimum investment?","answer":"Yes, Paragon Asset Management’s minimum account size for its Asset management fee schedule is $250K. It charges a $2.5K annual minimum fee.","source":"ADV PART 2A AND 2B, filed 17 February 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Who owns Paragon Asset Management?","answer":"Paragon Asset Management’s direct owner is Eugene Chow (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 29 September 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Paragon Asset Management get paid?","answer":"Paragon Asset Management is paid through a percentage of assets under management. 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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Is Paragon Asset Management registered with the SEC?","answer":"Yes, Paragon Asset Management has been registered with the SEC as an investment adviser since 18 February 2025. Its CRD number is 107863 and its SEC file number is 801-131994.","source":"Form ADV Part 1A, Item 1, filed 29 September 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Paragon Asset Management?","answer":"Paragon Asset Management’s main office is at 15 Altarinda Road, Suite 205, Orinda, CA 94563. Its phone number is 510-550-7288. Its website is paragonam.com.","source":"Form ADV Part 1A, Item 1.F, filed 29 September 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}