Risk Paradigm Group provides portfolio management for individuals and small businesses and portfolio management for institutions.
Risk Paradigm Group reports 3 clients. They include 3 other investment advisers. Of its assets, 100.0% ($116M across 488 accounts) are managed with discretion.
| Client type | Clients | Assets |
|---|---|---|
| Other investment advisers | 100% | 100% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Other investment advisers | Fewer than 5 | $116M | 100.0% | $38.5M |
| Total | 3 | $116M | 100% | — |
- Clients
- Fewer than 5
- Regulatory AUM
- $116M
- AUM share
- 100.0%
- Avg. per client
- $38.5M
Total
- Clients
- 3
- Regulatory AUM
- $116M
- 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
- Financial planning clients last fiscal year
- 0
Risk Paradigm Group is paid through a percentage of assets under management; its fees and minimums are set out in its brochures on the SEC website.
Risk Paradigm Group Holdings, LLC owns 75% or more of Risk Paradigm Group and is in turn owned by David Gatti (50–75%). David Gatti is CEO; the leadership team includes Chief Financial Officer Robert McCauley and Chief Compliance Officer Maura Dickson. It has 7 employees, 2 of them in advisory roles.
Leadership
David GattiChief Executive Officer- Robert McCauleyChief Financial Officer
- Maura DicksonChief Compliance Officer
- Mariann DubeChief Administrative Officer
Investment adviser representatives
2 representatives listed in the SEC register as of 9 October 2026.
- David Michael Gatti
- James Francis Peters JR
Staff
- 7 employees
- 2 in advisory functions
- 2 state-registered reps
- 1 insurance agent
- Owns 75% or more of Risk Paradigm Group, LLC
Risk Paradigm Group Holdings, LLC
Control person · since September 2011
- Owns 50% to 75% of Risk Paradigm Group Holdings, LLC
David Gatti
Control person · since September 2011
Risk Paradigm Group’s regulatory assets grew 2.5× from $46.9M (March 2021) to $116M (March 2026); employees were 7 in both filings.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| March 2026 | $116M | 3 | 7 | 2 |
| June 2025 | $99.5M | 4 | 7 | 2 |
| March 2024 | $81.5M | 0 | 7 | 2 |
| March 2023 | $62.1M | 4 | 7 | 2 |
| March 2022 | $58.2M | 5 | 5 | 2 |
| March 2021 | $46.9M | 0 | 7 | 2 |
Besides its headquarters, Risk Paradigm Group has 1 office (1 private residence, listed without an address), with 1 listed address in Massachusetts.
Massachusetts · 1 listed address
- 25 Burlington Mall Road, Suite 404, BurlingtonHQ
Other business names
Risk Paradigm Group has reported 1 other business name to the SEC.
- RPG Asset Management
Contact and registration details
- Legal name
- Risk Paradigm Group, LLC
- Headquarters
- 25 Burlington Mall Road, Suite 404, Burlington, MA 01803
- Website
- rpgassetmanagement.com
- Phone
- 866-726-5150
- @risk-paradigm-group
- SEC file
- 801-72141
- Structure
- Texas LLC
- Fiscal year end
- December
Risk Paradigm Group uses Fidelity ($91.6M, 79%) and Charles Schwab ($24M, 21%) as custodians for its separately managed accounts. Risk Paradigm Group does not have custody of client assets.
- FidelityFidelity Brokerage Services LLC · Smithfield, RI · $91.6M79%
- Charles SchwabCharles Schwab & Co., Inc. · Westlake, TX · $24M21%
At year end, Risk Paradigm Group’s separately managed accounts were mostly in funds (93%). Its reported 13F holdings for the quarter ended 30 June 2026 total $128M across 57 positions; the largest are iShares 7-10 Year Treasury Bond ETF (5.9%), Vaneck Vectors Intl Hi Yld Bd ETF (5.6%) and iShares US Preferred Stock (5.4%).
What the accounts hold
- Funds93%
- Cash7%
Reported 13F holdings
- $128M
- Reported 13F value
- 57
- Positions
- 41.5%
- In the 10 largest
- +8.8%
- Value vs. prior quarter
- iShares 7-10 Year Treasury Bond ETF5.9%
- Vaneck Vectors Intl Hi Yld Bd ETF5.6%
- iShares US Preferred Stock5.4%
- SPDR Dow Jones International Real Estate ETF4.5%
- JPMORGAN Chase Finl CO LLC Alerian Mlp I4.1%
- iShares Russell 2000 Value Index Fund4.0%
- iShares TR US Aer Def ETF3.4%
- SPDR S&P Emerging Markets Small Cap ETF3.3%
- SPDR S&P Biotech ETF2.7%
- Sector SPDR TR Shs Ben Int Industrial2.6%
Together, the ten largest are 41.5% of reported value.
How many clients does Risk Paradigm Group have?
Risk Paradigm Group has 3 clients and manages $116 million for them, as of March 2026. They include 3 other investment advisers.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 31 March 2026
What services does Risk Paradigm Group offer?
Risk Paradigm Group 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
Which custodians does Risk Paradigm Group use?
Risk Paradigm Group’s separately managed account assets are held at Fidelity Brokerage Services LLC (Smithfield, RI), with $91.6M and Charles Schwab & Co., Inc. (Westlake, TX), with $24M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 31 March 2026
How many financial advisors does Risk Paradigm Group have?
Risk Paradigm Group has 2 investment adviser representatives registered with state securities authorities, out of 7 employees, and 2 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 1 employee is a licensed insurance agent.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Risk Paradigm Group invest in?
At the end of its last fiscal year, Risk Paradigm Group’s separately managed accounts held 93% registered funds (mutual funds, ETFs, BDCs) and 7% 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 Risk Paradigm Group?
Risk Paradigm Group is owned through a holding company by David Gatti. Its direct owner is Risk Paradigm Group Holdings, LLC (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 31 March 2026
How does Risk Paradigm Group get paid?
Risk Paradigm Group 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
Is Risk Paradigm Group registered with the SEC?
Yes, Risk Paradigm Group has been registered with the SEC as an investment adviser since 8 April 2011. Its CRD number is 155870 and its SEC file number is 801-72141.
Source: Form ADV Part 1A, Item 1, filed 31 March 2026; IAPD firm record
How do I contact Risk Paradigm Group?
Risk Paradigm Group’s main office is at 25 Burlington Mall Road, Suite 404, Burlington, MA 01803. Its phone number is 866-726-5150. Its website is rpgassetmanagement.com.