9AT: PARADIGM ASSET MANAGEMENT

PARADIGM ASSET MANAGEMENT

other names

PARADIGM ASSET MANAGEMENT
PARADIGM ASSET MANAGEMENT, L.L.C.
PARADIGM ASSET MANAGEMENT COMPANY, L.L.C.
PARADIGM ASSET MANAGEMENT COMPANY, L.L.C

Adviser Profile

As of Date	03/20/2025
ADV Location	WHITE PLAINS, NY, United States
Adviser Type - Large advisory firm
Number of Employees	5
of those in investment advisory functions	4
Registration	SEC, Approved, 05/17/1995

AUM^*	372,543,618 -4%
of that, discretionary	372,543,618 0%
Private Fund GAV^*	0
Avg Account Size	37,254,362 10%
SMA’s	Yes
Private Funds	0
Contact Info	212 xxxxxxx
Websites

Client Types

- Pension and profit sharing plans
- State or municipal government entities
- Corporations or other businesses not listed above

Advisory Activities

- Portfolio management for businesses

Compensation Arrangments

- A percentage of assets under your management
- Fixed fees (other than subscription fees)

Reported AUM

785M 673M 561M 449M 336M 224M 112M

2015 2016 2017 2018 2019 2020 2021 2022 2023

Discretionary

Non-discretionary

Private Funds

No private funds

Employees

Top Holdings

Stock Ticker	Stock Name	$ Position	% Position	$ Change	# Change
Stck Ticker02079K305	Stock NameALPHABET INC. CL A	$ Position$10,050,430	% Position2.00%	$ Change21.00%	# Change-6.00%
Stck Ticker46625H100	Stock NameJPMORGAN CHASE & CO	$ Position$9,470,368	% Position2.00%	$ Change-4.00%	# Change-6.00%
Stck Ticker67066G104	Stock NameNVIDIA CORP	$ Position$6,969,505	% Position2.00%	$ Change-6.00%	# Change-6.00%
Stck Ticker701094104	Stock NamePARKER HANNIFIN	$ Position$2,724,776	% Position1.00%	$ Change12.00%	# Change-3.00%
Stck Ticker68389X105	Stock NameORACLE SYSTEMS	$ Position$4,785,040	% Position1.00%	$ Change-35.00%	# Change-6.00%
Stck Ticker617446448	Stock NameMORGAN STANLEY	$ Position$3,461,835	% Position1.00%	$ Change5.00%	# Change-6.00%
Stck Ticker65339F101	Stock NameNEXTERA ENERGY INC	$ Position$2,833,884	% Position1.00%	$ Change0.00%	# Change-6.00%
Stck Ticker512807306	Stock NameLAM RESEARCH CORP	$ Position$3,132,594	% Position1.00%	$ Change19.00%	# Change-7.00%
Stck Ticker56585A102	Stock NameMARATHON PETROLEUM CORP	$ Position$2,309,346	% Position1.00%	$ Change-21.00%	# Change-7.00%
Stck Ticker58933Y105	Stock NameMERCK & CO. INC.	$ Position$2,988,121	% Position1.00%	$ Change18.00%	# Change-6.00%

Brochure Summary

Overview

Paradigm Asset Management Company, L.L.C. (“Paradigm”) began providing advisory services in 1988 and was registered under the Investment Advisers Act of 1940 in 1989. The principal owners of Paradigm are James Francis and Gregory Pai. As of February 29, 2024, we managed $386,427,727 of client assets on a discretionary basis. No assets are managed on a non-discretionary basis. We provide discretionary investment advisory services to a variety of institutional clients through separate accounts. Separate account clients select a custodian for their account and we charge a quarterly fee for management of assets. We offer our clients the following domestic and international equity products: Large Capitalization Products: Large Capitalization Value Dynamic Core (formerly, All Capitalization Core) International Products: International Developed Markets Core International Products: World Developed Markets Value International Products: International Developed Markets Value International Products: International Developed Markets Value – ADR ONLY Our equity products are all based on our belief that

valuable information exists in market data primarily derived from the public disclosures of institutional investors’ holdings. We capture and process this information in a proprietary database and use its powerful screening and portfolio construction tools to build portfolios for our clients. We endeavor to create diversified portfolios comprised of highly liquid securities and designed to offer investors favorable reward to risk characteristics. We follow certain self-imposed limitations to minimize concentration in any one security or industry which are designed to reduce risk through diversification. Customized Portfolio Management Services: In most cases, we are capable of offering our clients customized portfolio management services in the following forms: (i) customized portfolios based on our existing products and/or technology; and (ii) existing portfolio products that are modified to comply with the client’s social responsibility guidelines (e.g., tobacco company excluded portfolios) or other investment restrictions. We do not participate in any wrap fee programs.