MCCARTHY & COX RETIREMENT & ESTATE SPECIALISTS LLC
Adviser information for MCCARTHY & COX RETIREMENT & ESTATE SPECIALISTS LLC last updated from Form ADV on March 1st, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Ohio, United States |
Employees
| Total Number of Employees | 20 |
|---|---|
| Investment Advisory/Research | 8 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 8 |
| Licensed Agents of an Insurance Company | 10 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 2,004 | $571.4M |
| Non-Discretionary | 0 | $0 |
| Total | 2,004 | $571.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 792 | $337.0M |
| HNW Individuals | 146 | $231.2M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 2 | $875,574 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 5 | $2.3M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 36 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1000 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPublication of periodicals or newslettersEducational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-128995 |
|---|---|
| SEC ERA File Number | 801-128995 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 328478 |
| Legal Entity Identifier | None |
Principal Office
127 W. 5TH STREETMARYSVILLE
OH
United States
Monday - Friday, 8:00 AM - 5:00 PM
Tel: 937-644-0351, Fax: 937-644-0356
Chief Compliance Officer
MARK FINNEY
ADVISOR
127 WEST 5TH STREET
MARYSVILLE
OH
United States
Tel:
(937) 644-0351
Fax:
(937) 644-0356
M***@*****************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| DALTON, TONY, EDWARD | Individual | – | CHIEF OPERATING OFFICER | 10/2023 | < 5% |
| COX, JAMES, B | Individual | – | CHIEF EXECUTIVE OFFICER | 10/2023 | 50-75% |
| COLLINS, MEGAN, MCCARTHY | Individual | – | ADVISOR | 10/2023 | 10-25% |
| FINNEY, MARK, ROBERT | Individual | – | CHIEF COMPLIANCE OFFICER | 10/2023 | 10-25% |
| BEAN, WESLEY, WAYNE | Individual | – | CHIEF INVESTMENT OFFICER | 10/2023 | < 5% |