Risk Paradigm Group, Llc
- Regulatory AUM
- $116M
- Discretionary
- $116M
- Clients
- 3
- Avg AUM / client
- $38.5M
- Accounts
- 488
- Employees
- 7
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 31, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Other investment advisers | 3 | $116M | 100.0% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Employee Benefits Plan Of Whittier Street Health Center Committee, Inc. Whittier Street Health Center Committee, Inc. | 2024 |
People (4)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| David Michael Gatti | Chief Executive Officer, Founding Partner | Sep 2011 (15y) | ≈ 37.5% – 75% via Risk Paradigm Group Holdings, Llc | |
| Dube, Mariann | Chief Administrative Officer | Apr 2013 (13y) | Less than 5% | |
| Mccauley, Robert, Duff | Chief Financial Officer / Chief Compliance Officer | Apr 2013 (13y) | Less than 5% | |
| James Francis Peters | Registered representative | Jul 2016 (10y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Risk Paradigm Group Holdings, Llc | Holding Company | Sep 2011 | A | 75% or more |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- David Michael Gatti: 50% – 75% of Risk Paradigm Group Holdings, Llc × 75% – 100% direct ≈ 37.5% – 75% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (1)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Employee Benefits Plan Of Whittier Street Health Center Committee, Inc. | Whittier Street Health Center Committee, Inc. | 190 | $3.8M | 07/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/31/2026 | 1.18 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: ALLEGATIONS ARE REGARDING THE USE OF PERFORMANCE IN ADVERTISEMENTS, RESULTING FROM THE ADVISOR'S RELIANCE ON INFORMATION PROVIDED BY THEIR SUB-ADVISOR. Status: Final Sanction Detail: $100000 FINE TO BE PAID OVER A SERIES OF INSTALLMENTS Summary: ADVISOR NO LONGER HAS A RELATIONSHIP WITH THAT SUB-ADVISOR AND HAS TAKEN MEASURES INTERNALLY TO PREVENT SUCH AN ISSUE IN THE FUTURE.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- Fidelity Brokerage Services $91.6M (79% of AUM) Mar 2026
- National Financial Services (Fidelity) $78.4M (79% of AUM) Feb 2025
- Charles Schwab & Co. $24.0M (21% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 31, 2026.
View current Form ADV (SEC/IAPD) ↗