SourcingSourcing

MCCARTHY ASSET MANAGEMENT, INC.

A67
CRD 118285·SEC 801-60897·REDWOOD SHORES, CA
AUM
$422.4M
$100M-$500M
Est. Revenue
$4.2M
@ 1% on AUM
Est. EBITDA
$1.3M
@ 30% margin
Est. Deal Value
$10.1M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
MCCARTHY ASSET MANAGEMENT, INC.
CRD
118285
SEC file #
801-60897
EIN
721589298
DBA names
—

Economics

AUM
$422.4M
AUM band
$100M-$500M
AUM trajectory
'20'26
$248.5M → $422.4M▲ +70%
Client mix
Individuals High Net Worth169
Individuals Other49

Operations

Employees (total)
4
Advisory staff (per ADV)
2
Advisory staff (5-yr trend)
'20'26
2 advisors → 2 advisors▬ 0%
Primary office
REDWOOD SHORES CA
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Financial planningPortfolio mgmt — individuals
Fee basis
% of AUMHourly charges

Filings

Latest ADV filing
03/11/2026
ADV-W filed at
—
Website
mamportfolios.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
MCCARTHY, STEPHEN, PETER
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
1
Control Persons
MCCARTHY, STEPHEN, PETER
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
MAMPORTFOLIOS.COM
Rdap Domain Creation Date
2003-06-20T20:25:04Z
Rdap Firm Age Years
23
Rdap Firm Age Band
20+y
Rdap Registrar
Network Solutions, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0001843169
Edgar Registered
Yes
Edgar Filing Count
23
Edgar First Filing Date
2021-02-01
Edgar Last Filing Date
2026-02-03
Edgar 13f Count
21
Edgar 13f Latest AUM Estimate
Filing Date2026-02-03
Accession0001843169-26-000001

Compliance & brand

Firm Registration Status
active

All other collected signals (17)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
1
Bc Firm Active IA Count
3
Bc Firm IAR Count
3
Custodian Candidates
Full
Charles Schwab6
E*trade4
Edgar Addresses
Mailing
3 LAGOON DRIVESUITE 155REDWOOD SHORES, CA 94065
Business
3 LAGOON DRIVESUITE 155REDWOOD SHORES, CA 94065
Edgar EIN
721589298
Edgar Recent Filings
13F-HR2026-02-03 · 0001843169-26-000001
13F-HR2025-10-23 · 0001843169-25-000003
Firm Has Custody
No
Mailing Office Differs
No
Rdap Domain Expiration Date
2029-06-20T20:25:04Z
Rdap Domain Last Changed
2025-07-11T07:33:51Z
Rdap Nameservers
Ns1.bdm.microsoftonline.comNs2.bdm.microsoftonline.comNs3.bdm.microsoftonline.comNs4.bdm.microsoftonline.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Transfer Prohibited
Top Owner CRD
1542963
Trust Company Affiliate
No

People (2)

2
MCCARTHY, STEPHEN, PETER
IAR · Direct Owner · 87.5%
1542963
Ryan Stephen McCarthy
IAR
7342714