Hedge Fund Database

MCCARTHY GRITTINGER FINANCIAL GROUP, LLC

Adviser information for MCCARTHY GRITTINGER FINANCIAL GROUP, LLC last updated from Form ADV on March 27th, 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 Wisconsin, United States

Employees

Total Number of Employees 10
Investment Advisory/Research 6
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 6
Licensed Agents of an Insurance Company 0
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 786 $382.4M
Non-Discretionary 2 $7.4M
Total 788 $389.8M

Clients

Type Number RAUM
Individuals 76 $30.9M
HNW Individuals 155 $356.3M
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 0 $0
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 $2.7M
Other 0 $0
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 1-10

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesCLIENT TAX PREP SERVICES
Compensation % of AUM

Identifiers

SEC RIA File Number 801-56927
SEC ERA File Number 801-56927
SEC CIK Numbers 1972750
SEC CRD Numbers 108931
Legal Entity Identifier None

Principal Office

125 SOUTH 84TH STREET
SUITE 130
MILWAUKEE
WI
United States
Monday - Friday, 8:00 A.M.-5:00 P.M.
Tel: 414-475-1369, Fax: 414-475-0613

Websites

www.linkedin.com/company/mccarthy-grittinger-financial-group-llc/ www.mgfin.com/

Chief Compliance Officer

MATT MILER
MANAGING PARTNER
125 SOUTH 84TH STREET
SUITE 130
MILWAUKEE
WI
United States
Tel: 414-475-1369
Fax: 414-475-0613
(Full email address available in API data)

Regulatory Contact

AMY FINLEY
ADVISOR
125 SOUTH 84TH STREET
SUITE 130
MILWAUKEE
WI
United States
Tel: (414) 475-1369
Fax: (414) 475-0613
(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
MILER, MATTHEW, T. Individual – MANAGING PARTNER & CHIEF COMPLIANCE OFFICER 09/2021 50-75%
SCHNEIDER, JACQUELINE, ANN Individual – PARTNER 09/2014 25-50%

No. Employees, Historic

10502020202120222023202420258 on 3/16/20208 on 3/26/20208 on 6/25/20208 on 3/25/20218 on 12/13/20218 on 12/13/20219 on 3/23/20229 on 3/23/202210 on 3/28/202310 on 9/5/202310 on 3/27/2024

RAUM, Historic

500M250M0202020212022202320242025308126735 on 3/16/2020308126735 on 3/26/2020308126735 on 6/25/2020354677186 on 3/25/2021354677186 on 12/13/2021354677186 on 12/13/2021401135914 on 3/23/2022401135914 on 3/23/2022338215708 on 3/28/2023338215708 on 9/5/2023389816442 on 3/27/2024

No. Clients, Historic

3001500202020212022202320242025221 on 3/16/2020221 on 3/26/2020221 on 6/25/2020229 on 3/25/2021229 on 12/13/2021229 on 12/13/2021230 on 3/23/2022230 on 3/23/2022234 on 3/28/2023234 on 9/5/2023233 on 3/27/2024

Holdings

From latest 13F, filed July 29th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ADVANCED MICRO DEVICES INC COM 41K 250 –
ALPHABET INC CAP STK CL A 183 1 –
AMAZON COM INC COM 19K 100 –
APPLE INC COM 316K 2K –
BANK AMERICA CORP COM 11K 270 –
BERKSHIRE HATHAWAY INC DEL CL B NEW 48K 118 –
CNH INDL N V SHS 86K 8K –
DEVON ENERGY CORP NEW COM 1 0 –
DIMENSIONAL ETF TRUST GLOBAL CORE PLUS 22M 422K –
DIMENSIONAL ETF TRUST SHORT DURATION F 27K 581 –
DIMENSIONAL ETF TRUST US CORE EQUITY 2 11M 342K –
DIMENSIONAL ETF TRUST WORLD EX US CORE 7M 262K –
EXACT SCIENCES CORP COM 23K 555 –
FIDELITY COVINGTON TRUST ENHANCED LARGE 18K 633 –
FISERV INC COM 57K 385 –
GARTNER INC COM 348K 776 –
ISHARES TR CORE S&P500 ETF 338K 617 –
ISHARES TR RUS 1000 VAL ETF 108K 618 –
ISHARES TR RUS 2000 VAL ETF 64K 417 –
ISHARES TR RUS MDCP VAL ETF 13K 110 –
ISHARES TR SELECT DIVID ETF 59K 487 –
JOHNSON & JOHNSON COM 7K 50 –
MARATHON PETE CORP COM 13K 75 –
MICROSOFT CORP COM 63K 140 –
OMNICOM GROUP INC COM 179K 2K –
PROCTER AND GAMBLE CO COM 198K 1K –
SALESFORCE INC COM 42K 165 –
SCHWAB STRATEGIC TR 5 10YR CORP BD 69K 2K –
SCHWAB STRATEGIC TR INT-TRM U.S TRES 2M 40K –
SCHWAB STRATEGIC TR US DIVIDEND EQ 26K 330 –
SCHWAB STRATEGIC TR US SML CAP ETF 1M 22K –
SELECT SECTOR SPDR TR ENERGY 23K 256 –
SELECT SECTOR SPDR TR INDL 106K 869 –
SEMPRA COM 30K 388 –
SPDR GOLD TR GOLD SHS 98K 456 –
SPDR INDEX SHS FDS PORTFOLIO DEVLPD 30K 851 –
SPDR S&P 500 ETF TR TR UNIT 73K 134 –
STARBUCKS CORP COM 234 3 –
TESLA INC COM 792 4 –
UNDER ARMOUR INC CL A 101 15 –
UNDER ARMOUR INC CL C 392 60 –
UNITED PARCEL SERVICE INC CL B 125K 917 –
US BANCORP DEL COM NEW 71K 2K –
VANGUARD BD INDEX FDS SHORT TRM BOND 16M 209K –
VANGUARD CHARLOTTE FDS TOTAL INT BD ETF 24M 494K –
VANGUARD INDEX FDS EXTEND MKT ETF 35K 208 –
VANGUARD INDEX FDS GROWTH ETF 2M 6K –
VANGUARD INDEX FDS LARGE CAP ETF 75M 302K –
VANGUARD INDEX FDS MCAP VL IDXVIP 9K 58 –
VANGUARD INDEX FDS MID CAP ETF 915K 4K –
VANGUARD INDEX FDS S&P 500 ETF SHS 334K 667 –
VANGUARD INDEX FDS SM CP VAL ETF 18K 100 –
VANGUARD INDEX FDS SMALL CP ETF 36M 166K –
VANGUARD INDEX FDS TOTAL STK MKT 594K 2K –
VANGUARD INDEX FDS VALUE ETF 2M 12K –
VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 33M 555K –
VANGUARD INTL EQUITY INDEX F FTSE SMCAP ETF 13M 109K –
VANGUARD SCOTTSDALE FDS INTER TERM TREAS 30M 519K –
VANGUARD SCOTTSDALE FDS INT-TERM CORP 33M 408K –
VANGUARD SPECIALIZED FUNDS DIV APP ETF 4M 25K –
VANGUARD STAR FDS VG TL INTL STK F 71K 1K –
VANGUARD WHITEHALL FDS HIGH DIV YLD 341K 3K –
VANGUARD WORLD FD ENERGY ETF 23K 184 –
VANGUARD WORLD FD ESG INTL STK ETF 399K 7K –
WEC ENERGY GROUP INC COM 7K 89 –
XCEL ENERGY INC COM 8K 148 –