AdvisorRanked
92
Clean

PARADIGM FUNDS ADVISOR LLC

9 ELK STREET, ALBANY, NY 12207
Fiduciaryfee-onlySEC Registered
518-431-3500 HTTP://PARADIGMCAPITAL.COM/ CRD #136481
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$305M
Assets Managed
7
Clients
12
Employees
21
Years Active
since 2005

Compensation Model

% of Assets (AUM)
Hourly Fees
Fixed / Flat Fees
Commissions
Performance Fees

Compensation type disclosed on SEC Form ADV Item 5C. Filed 46111. Specific fee percentages are available in this firm's Form ADV Part 2A brochure at adviserinfo.sec.gov.

Conflict of Interest Analysis

Broker-Dealer Affiliated: No

No broker-dealer affiliation. Lower risk of commission-driven advice.

Insurance Licensed: No

Not insurance licensed. Cannot sell you annuity or insurance products directly.

Custody of Client Assets: No

Assets held at an independent custodian (e.g., Schwab, Fidelity, TD Ameritrade). This is the standard, lower-risk arrangement.

Proprietary Products: No

Uses only third-party investment products. No proprietary product conflicts.

Regulatory & Disciplinary History

complaint46111

1 customer complaint(s)/arbitration(s) disclosed on Form ADV Item 11.

Resolved

Total complaints on record: 1

Complaint ratio: 14.29 per 100 clients

Industry average is approximately 0.15 complaints per 100 clients. A ratio above 0.30 is considered elevated.

Firm Details

Legal NamePARADIGM FUNDS ADVISOR LLC
CRD Number#136481
SEC RegisteredYes
Registration Date2005-08-19
States RegisteredNY
Assets Under Management$305M
Number of Clients7
Employees12
Compensation Typefee-only
Last ADV Filing46111

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Frequently Asked Questions

Is PARADIGM FUNDS ADVISOR LLC a fiduciary?

Yes. PARADIGM FUNDS ADVISOR LLC is a registered investment adviser (RIA) with the SEC, which means they are legally required to act as a fiduciary — putting your interests ahead of their own.

How does PARADIGM FUNDS ADVISOR LLC charge clients?

PARADIGM FUNDS ADVISOR LLC uses a fee-only compensation model. Full fee details are in their Form ADV Part 2A brochure at adviserinfo.sec.gov.

Does PARADIGM FUNDS ADVISOR LLC have any complaints?

Yes. PARADIGM FUNDS ADVISOR LLC has 1 complaint(s) on record. Their complaint ratio is 14.29 per 100 clients (industry average: ~0.15).

How does PARADIGM FUNDS ADVISOR LLC compare to other advisors in ALBANY?

PARADIGM FUNDS ADVISOR LLC has a Red Flag Score of 92/100. There are 15 registered advisory firms in ALBANY. Use our city page to compare firms side by side.

Where does this data come from?

All information is sourced from SEC Form ADV public filings (mandatory regulatory disclosures) and FINRA BrokerCheck records. Last updated: 2026-06-24. We do not accept payment from financial advisors.

Data source: SEC Form ADV (Parts 1 and 2A) filed with the Investment Adviser Registration Depository (IARD). Filing date: 46111. Last data refresh: 2026-06-24. AdvisorRanked does not verify the accuracy of SEC filings. This is not financial advice.