SourcingSourcing

MCCARTHY & COX RETIREMENT & ESTATE SPECIALISTS LLC

C41
CRD 328478·SEC 801-128995·MARYSVILLE, OH
AUM
$112.8M
$100M-$500M
Est. Revenue
$1.1M
@ 1% on AUM
Est. EBITDA
$339K
@ 30% margin
Est. Deal Value
$2.7M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
MCCARTHY & COX RETIREMENT & ESTATE SPECIALISTS LLC
CRD
328478
SEC file #
801-128995
EIN
—
DBA names
—

Economics

AUM
$112.8M
AUM band
$100M-$500M
AUM trajectory
'25'26
$641.8M → $112.8M▼ -82%
Client mix
Investment Companies1

Operations

Employees (total)
20
Advisory staff (per ADV)
2
Advisory staff (5-yr trend)
'25'26
8 advisors → 2 advisors▼ -75%
Primary office
MARYSVILLE OH
Branches
—

Custodian & Brokerage

Primary custodian
E*Tradelow confidence
Services offered
Financial planningPortfolio mgmt — individualsPortfolio mgmt — investment companiesPublication of periodicals
Fee basis
% of AUMHourly chargesFixed feesOther Compensation

Filings

Latest ADV filing
03/31/2026
ADV-W filed at
—
Website
mccarthyandcox.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
COX, JAMES, B
Top Owner Pct
62.5
Top Owner Entity Kind
I
Owner Count
6
Control Persons
COX, JAMES, B
COLLINS, MEGAN, MCCARTHY
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
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
MCCARTHYANDCOX.COM
Rdap Domain Creation Date
2006-12-01T19:29:26Z
Rdap Firm Age Years
20
Rdap Firm Age Band
20+y
Rdap Registrar
GoDaddy.com, LLC

Retirement-plan book (Form 5500) ★

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

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Local market & wealth

Rank targets by how wealthy the local market is

Soi High Wealth Score
0.2912
Soi Zip Pct 200k Plus
0.0566
Soi Zip Returns 200k Plus
1,020
Soi Zip Total AGI
1,471,018
Fdic Zip Total Deposits
13,019,776,000
Fdic Zip Branch Count
269
Fdic Zip Top Banks
The Huntington National Bank
The Richwood Banking Company

Compliance & brand

Firm Registration Status
active

All other collected signals (24)

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

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
8
Bc Firm IAR Count
8
Custodian Candidates
Full
E*trade4
Fdic Zip Branches Raw
American Community Bank, National AssociationMarysville, OH
The Delaware County Bank and Trust CompanyMarysville, OH
Fdic Zip HHI
1415.48
Fdic Zip Top Bank Share Pct
23.94
Fdic Zip Year
2025
Firm Has Custody
No
Mailing Office Differs
No
Rdap Domain Expiration Date
2034-12-01T19:29:26Z
Rdap Domain Last Changed
2026-01-14T19:31:40Z
Rdap Nameservers
Ns45.domaincontrol.comNs46.domaincontrol.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Delete ProhibitedClient Renew ProhibitedClient Transfer ProhibitedClient Update Prohibited
Soi Year
2022
Soi Zip Distribution
Stub 1
AGI45,212
Returns3,810
Stub 2
AGI142,790
Returns3,800
Stub 3
AGI178,728
Returns2,890
Soi Zip Total Business Income
36,884
Soi Zip Total Cap Gains
36,263
Soi Zip Total Dividends
12,531
Soi Zip Total Returns
18,030
Top Owner CRD
4650773
Trust Company Affiliate
No

People (8)

8
COX, JAMES, B
IAR · Direct Owner · 62.5%
4650773
MICKELSON, RYAN, EDWIN
IAR · Direct Owner · 17.5%
5127583
COLLINS, MEGAN, MCCARTHY
IAR · Direct Owner · 17.5%
5160839
FINNEY, MARK, ROBERT
IAR · Direct Owner · 17.5%
5036101
DALTON, TONY, EDWARD
IAR · Executive Officer · 2.5%
2295472
BEAN, WESLEY, WAYNE
IAR · Executive Officer · 2.5%
2795480
Quinn Mickelson
IAR
6958547
Jonathan Wade Lawrence
IAR
6950177