9AT: PARADIGM ASSET MANAGEMENT

PARADIGM ASSET MANAGEMENT

other names

About Paradigm Established in 1990, PARADIGM ASSET MANAGEMENT has been an innovator of quantitative equity strategies built specifically for institutional investors. The firm's investments discipline provides an optimal combination of market information with technology to build structured risk-controlled portfolios. Utilizing a proprietary research database, models, and procedures, Paradigm is able to dynamically identify and forecast the key drivers of a styles performance. Advanced Quantitative portfolio construction and trading techniques facilitate the capturing of these insights in order to achieve consistent and reliable performance in a variety of market conditions. A radical change in a way of thinking, a sudden re-orientation which remakes an entire discipline. Technology frequently exists for many years before individuals begin to use it, simply because it takes vision, commitment and courage to break free from established methods.

Revenue	$51.0 m
Headquarters	445 Hamilton Ave Ste 1203, White Plains, NY 10601

Adviser Profile

As of Date	03/29/2024
Adviser Type - Large advisory firm
Number of Employees	5
of those in investment advisory functions	4
Registration	SEC, Approved, 05/17/1995

AUM^*	386,427,727 3.39%
of that, discretionary	386,427,727 3.39%
Private Fund GAV^*	0
Avg Account Size	38,642,773 13.73%
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

Discretionary

Non-discretionary

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

2015 2016 2017 2018 2019 2020 2021 2022 2023

Private Funds

No private funds

Employees

Top Holdings

Stock Ticker	Stock Name	$ Position	% Position	$ Change	# Change
Stck Ticker46625H100	Stock NameJPMORGAN CHASE & CO	$ Position$6,805,607	% Position2.00%	$ Change-29.00%	# Change-38.00%
Stck Ticker504922105	Stock NameLABCORP HOLDINGS	$ Position$2,041,177	% Position1.00%	$ Change1723.00%	# Change1677.00%
Stck Ticker26875P101	Stock NameEOG RESOURCES INC.	$ Position$2,145,150	% Position1.00%	$ Change-8.00%	# Change-8.00%
Stck Ticker548661107	Stock NameLOWES COS INC.	$ Position$2,202,196	% Position1.00%	$ Change40.00%	# Change53.00%
Stck Ticker58933Y105	Stock NameMERCK & CO. INC.	$ Position$3,410,970	% Position1.00%	$ Change5.00%	# Change20.00%
Stck Ticker594918104	Stock NameMICROSOFT CORP.	$ Position$3,098,025	% Position1.00%	$ Change-44.00%	# Change-42.00%
Stck Ticker617446448	Stock NameMORGAN STANLEY	$ Position$2,916,704	% Position1.00%	$ Change10.00%	# Change-9.00%
Stck Ticker67066G104	Stock NameNVIDIA CORP	$ Position$3,299,505	% Position1.00%	$ Change-60.00%	# Change-64.00%
Stck Ticker30231G102	Stock NameEXXON MOBIL CORP.	$ Position$2,608,572	% Position1.00%	$ Change13.00%	# Change23.00%
Stck Ticker006175203	Stock NameDBS GROUP HOLDINGS LTD	$ Position$1,983,777	% Position1.00%	$ Change	# Change

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.