{
  "crd_number": 136481,
  "slug": "paradigm-funds-advisor-llc-albany-ny-136481",
  "primary_business_name": "PARADIGM FUNDS ADVISOR LLC",
  "legal_name": "PARADIGM FUNDS ADVISOR LLC",
  "dbas": [],
  "city": "Albany",
  "state": "NY",
  "country": "United States",
  "cbsa_code": "10580",
  "metro": {
    "cbsa_code": "10580",
    "common_name": "Albany",
    "msa_name": "Albany-Schenectady-Troy, NY",
    "path": "/advisors/ny/albany"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2005-08-19",
  "years_registered": 21,
  "period": "2026-10-01",
  "filing_date": "2026-03-30",
  "carried_forward": false,
  "raum_total": 305061951.0,
  "raum_discretionary": 305061951.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "100m_500m",
  "raum_band_label": "$100 million to $500 million",
  "total_employees": 12,
  "advisory_employees": 7,
  "client_count_bucket": null,
  "clients_by_type": {
    "investment_companies": {
      "raum": 305061951.0,
      "count": 3
    }
  },
  "compensation_types": [
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "portfolio_management_investment_companies"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 1,
  "states_registered": [],
  "websites": [
    "https://linkedin.com/company/paradigm-capital-management-inc",
    "https://paradigmcapital.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/136481",
  "disclosure_items": [
    {
      "item": "11.E(2)",
      "question": "Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?"
    }
  ],
  "city_as_filed": "ALBANY",
  "url": "https://advisorcensus.com/firm/paradigm-funds-advisor-llc-albany-ny-136481",
  "display_name": "Paradigm Funds Advisor LLC",
  "summary": "Paradigm Funds Advisor LLC is an SEC-registered investment advisory firm in Albany, NY, registered since 2005, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 30, 2026.",
  "citation": "AdvisorCensus. Paradigm Funds Advisor LLC (CRD 136481): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management"
  ],
  "advisory_activity_labels": [
    "Portfolio management for investment companies (and business development companies)"
  ],
  "quick_answers": [
    {
      "q": "How is Paradigm Funds Advisor LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Paradigm Funds Advisor LLC reports these compensation arrangements: a percentage of assets under its management. The amounts are in Item 5 of its Form ADV Part 2A brochure."
    },
    {
      "q": "Where is Paradigm Funds Advisor LLC located?",
      "a": "Paradigm Funds Advisor LLC's principal office is in Albany, NY, according to its Form ADV; the April 2026 filing also lists 1 other office (Schedule D, Section 1.F)."
    },
    {
      "q": "Is Paradigm Funds Advisor LLC registered with the SEC or a state?",
      "a": "Paradigm Funds Advisor LLC is an SEC-registered investment advisory firm, registered since 2005. Status as filed: Approved. CRD 136481."
    },
    {
      "q": "How much does Paradigm Funds Advisor LLC manage?",
      "a": "Paradigm Funds Advisor LLC reports $305,061,951 in regulatory assets under management in its Form ADV filing dated March 30, 2026 (100% discretionary)."
    },
    {
      "q": "How have Paradigm Funds Advisor LLC's assets and staff changed since 2021?",
      "a": "In the Form ADV data for Paradigm Funds Advisor LLC: Regulatory assets under management: $218,937,930 in the October 2021 data and $305,061,951 in the October 2026 data, up 39%. Total employees: 15 in October 2021 and 12 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Paradigm Funds Advisor LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: investment companies (3)."
    },
    {
      "q": "Does Paradigm Funds Advisor LLC report any disciplinary disclosures?",
      "a": "Reports 1 disclosure item on Form ADV Item 11: yes answers to 11.E(2) (self-regulatory organization's finding of a rule violation). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/136481"
    },
    {
      "q": "What changed in Paradigm Funds Advisor LLC's recent Form ADV filings?",
      "a": "In the April 2026 filing data: Item 11 disclosure answers changed: 1 yes answer, previously 2 (now no: 11.E(4)). Regulatory assets under management went from $348,657,664 to $305,061,951 (-13%). Updated its list of owners and control persons (Schedule A)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 218937930.0,
      "total_employees": 15,
      "filing_date": "2021-04-29"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 382159153.0,
      "total_employees": 12,
      "filing_date": "2022-03-31"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 255431074.0,
      "total_employees": 11,
      "filing_date": "2023-03-30"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 315868096.0,
      "total_employees": 13,
      "filing_date": "2024-08-07"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 348657664.0,
      "total_employees": 12,
      "filing_date": "2025-07-01"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 305061951.0,
      "total_employees": 12,
      "filing_date": "2026-03-30"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Item 11 disclosure answers changed: 1 yes answer, previously 2 (now no: 11.E(4)).",
        "Regulatory assets under management went from $348,657,664 to $305,061,951 (-13%).",
        "Updated its list of owners and control persons (Schedule A)."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [],
  "custodians_note": null,
  "markdown_url": "https://advisorcensus.com/firm/paradigm-funds-advisor-llc-albany-ny-136481.md",
  "clients": [
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": 3,
      "fewer_than_5": false,
      "raum": 305061951.0
    }
  ],
  "disclosure_line": "Reports 1 disclosure item on Form ADV Item 11.",
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/136481",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}