PARADIGM WEALTH ADVISORY LLC of BRIDGEWATER, NJ is an SEC-registered investment adviser (CRD 283120). Regulatory assets under management: $201.2M.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Charities.
| Name | Role | Location |
|---|---|---|
| David Timothy Provinsal | MANAGING MEMBER; MANAGING PARTNER AND CHIEF COMPLIANCE OFFICER | — |
| WINN CHRISTOPHER EDWARD | MEMBER AND INTERIM CCO | — |
| PROVINSAL DAVID TIMOTHY | MANAGING MEMBER; MANAGING PARTNER AND CHIEF COMPLIANCE OFFICER | — |
| GIEGERICH DAVID PAUL | MANAGING MEMBER; MANAGING PARTNER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2021-09-08 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE DESCRIBED SANCTIONS AND TO THE ENTRY OF FINDINGS. THE FIRM WAS ORDERED TO PAY A CIVIL MONEY PENALTY OF $50,000 AND DISGORGEMENT OF $343,203.04 FOR VIOLATING SECTION 206(2) AND 206(4) AND RULE 206(4)-7 OF THE ADVISERS ACT. | Final | $50K |