MCCARTHY ASSET MANAGEMENT, INC.

Advisory Business

Type of Organization	Corporation
Fiscal Year End	DECEMBER
Legal Location	California, United States

Employees

Total Number of Employees	4
Investment Advisory/Research	2
Registered Broker-Dealer Representatives	0
Registered State Investment Advisers	2
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	732	$366.2M
Non-Discretionary	0	$0
Total	732	$366.2M

Clients

Type	Number	RAUM
Individuals	62	$36.7M
HNW Individuals	159	$329.5M
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	0	$0
Other	0	$0

Type	Number
No. of Non-RAUM Clients	0
No. of Non-U.S. Clients	1
No. of Financial Planning Clients	51-100

Services

Advisory Services	Financial planningPortfolio management for individuals and/or small businesses
Compensation	% of AUMHourly charges

Identifiers

SEC RIA File Number	801-60897
SEC ERA File Number	801-60897
SEC CIK Numbers	1843169
SEC CRD Numbers	118285
Legal Entity Identifier	None

Principal Office

3 LAGOON DRIVE, SUITE 155
REDWOOD SHORES
CA
United States

Websites

Chief Compliance Officer

No. Employees, Historic

RAUM, Historic

No. Clients, Historic