# Paradigm Funds Advisor LLC

> 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.

- CRD: 136481
- Filed as: PARADIGM FUNDS ADVISOR LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Albany, NY
- Filing period: October 2026
- Form ADV filing dated: March 30, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/136481
- AdvisorCensus page: https://advisorcensus.com/firm/paradigm-funds-advisor-llc-albany-ny-136481

## Quick answers

**How is Paradigm Funds Advisor LLC compensated?**
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.

**Where is Paradigm Funds Advisor LLC located?**
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).

**Is Paradigm Funds Advisor LLC registered with the SEC or a state?**
Paradigm Funds Advisor LLC is an SEC-registered investment advisory firm, registered since 2005. Status as filed: Approved. CRD 136481.

**How much does Paradigm Funds Advisor LLC manage?**
Paradigm Funds Advisor LLC reports $305,061,951 in regulatory assets under management in its Form ADV filing dated March 30, 2026 (100% discretionary).

**How have Paradigm Funds Advisor LLC's assets and staff changed since 2021?**
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.

**What types of clients does Paradigm Funds Advisor LLC serve?**
By number of clients on Form ADV Item 5.D: investment companies (3).

**Does Paradigm Funds Advisor LLC report any disciplinary disclosures?**
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

**What changed in Paradigm Funds Advisor LLC's recent Form ADV filings?**
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).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management

### Regulatory assets under management (Item 5.F)
- Total: $305,061,951
- Discretionary: $305,061,951
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Investment companies | 3 | $305,061,951 |

### Advisory services (Item 5.G)
- Portfolio management for investment companies (and business development companies)

### Firm details
- Registered since: 2005 (21 years)
- Employees: 12 total, 7 performing advisory functions
- Wrap fee program participation: No
- Disclosures (Item 11): Reports 1 disclosure item on Form ADV Item 11.

### Item 11 questions answered yes
- 11.E(2): 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?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/136481

### Other offices (Schedule D, Section 1.F), as of the April 2026 filing
- New York, NY

### Websites listed on Form ADV (Item 1.I)
- paradigmcapital.com
- LinkedIn @paradigm-capital-management-inc

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $218,937,930 | 15 | April 29, 2021 |
| October 2022 | $382,159,153 | 12 | March 31, 2022 |
| October 2023 | $255,431,074 | 11 | March 30, 2023 |
| October 2024 | $315,868,096 | 13 | August 7, 2024 |
| October 2025 | $348,657,664 | 12 | July 1, 2025 |
| October 2026 | $305,061,951 | 12 | March 30, 2026 |

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.

## Changes in the filing (last 12 months)

### April 2026
- 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).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Paradigm Funds Advisor LLC (CRD 136481): Form ADV filing data as of October 2026.