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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

MCCARTHY CAPITAL CORPORATION

CRD 125181

OMAHA, NE

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:7719ed6f-9559-1dee-e479-3c4f9642fbb4

Data as of Mar 30, 2016 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:57 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 1
Observed: Mar 29, 2012 to Mar 30, 2016
8 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

Mccarthy Capital Corporation

Private equity manager · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $588MItem 5.F on the latest filing (2016-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $588M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 1
Advisory employees: 1
Accounts: 6
Private funds: 4Schedule D 7.B(1)
Private fund GAV: $170Mgross asset value as reported per fund; never fund size
Custody, client assets: $588M
SEC number: 801-62250
CRD: 125181
Filings on the tape: 8
First filed: Mar 29, 2012
Latest filed: Mar 30, 2016
Organised: Corporation, Nebraska

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
DUFFY, PATRICK, JOSEPH	MANAGING PARTNER	Na	yes	01/2012	May 18, 2012	Mar 30, 2016
EMMERT, ROBERT, YOUNGS	MANAGING PARTNER	Na	yes	01/2012	May 18, 2012	Mar 30, 2016
MCCARTHY GROUP, LLC	PARENT LIMITED LIABILITY COMPANY	E	yes	01/2007	Mar 29, 2012	Mar 30, 2016
MCCARTHY, MICHAEL, ROBERT	Founder	Na	yes	01/2004	Mar 29, 2012	Mar 30, 2016
MGI HOLDINGS, INC.	PARENT CORPORATION	E	yes	01/2007	Oct 23, 2012	Mar 30, 2016
SWANGER, MICHELLE, MARIE	ASSISTANT SECRETARY & TREASURER	Na	yes	05/2006	May 18, 2012	Mar 30, 2016
MERCER, TERI, LYNN	CHIEF COMPLIANCE OFFICER	Na	no	06/2005	Mar 29, 2012	Mar 30, 2016

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
MCCARTHY PARTNERS MANAGEMENT, LLC	n/a	Asset manager	$3.8B	N	no	n/a
FULCRUM GP, LLC	n/a	n/a	n/a	N	yes	n/a
FULCRUM IV GP, LLC	n/a	n/a	n/a	N	yes	n/a
MCCARTHY GROUP, LLC	n/a	n/a	n/a	Y	yes	n/a
MGI HOLDINGS, INC.	n/a	n/a	n/a	Y	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Wellesley	Ma	United States	n/a	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 30, 2016	$588M	$588M	1	1	n/a	4	$170M
2014	Mar 31, 2015	$857M	$857M	1	1	n/a	4	$447M
2013	Mar 31, 2014	$759M	$759M	1	1	n/a	4	$457M
2012	Apr 1, 2013	$651M	$651M	1	1	n/a	4	$401M
2011	Mar 29, 2012	$1.0B	$593M	n/a	n/a	n/a	4	$393M

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2015	$588M	$857M	-31.5%	$651M	-3.4%	1	1	n/a	n/a

Relationships

Affiliated with (1)

→ M-ONE CAPITALRegistered adviserother investment adviser
factForm ADV

Controls (6)

← MCCARTHY, MICHAEL, ROBERTOwnerFOUNDER, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV
← EMMERT, ROBERT, YOUNGSOwnerMANAGING PARTNER, ownership code NA, individual
May 18, 2012 to presentfactForm ADV
← SWANGER, MICHELLE, MARIEOwnerASSISTANT SECRETARY & TREASURER, ownership code NA, individual
May 18, 2012 to presentfactForm ADV
← DUFFY, PATRICK, JOSEPHOwnerMANAGING PARTNER, ownership code NA, individual
May 18, 2012 to presentfactForm ADV
← MCCARTHY GROUP, LLCOwnerPARENT LIMITED LIABILITY COMPANY, ownership code E, domestic entity
Mar 29, 2012 to presentfactForm ADV
← MGI HOLDINGS, INC.OwnerPARENT CORPORATION, ownership code E, domestic entity
Oct 23, 2012 to presentfactForm ADV

Owns (1)

← MERCER, TERI, LYNNOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7719ed6f-9559-1dee-e479-3c4f9642fbb4
First observed: Mar 29, 2012
Last observed: Mar 30, 2016 127 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

MCCARTHY CAPITAL CORPORATION

CRD 125181

OMAHA, NE

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:7719ed6f-9559-1dee-e479-3c4f9642fbb4

Data as of Mar 30, 2016 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:57 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

DUFFY, PATRICK, JOSEPH

MANAGING PARTNER

yes

01/2012

May 18, 2012

Mar 30, 2016

EMMERT, ROBERT, YOUNGS

MANAGING PARTNER

yes

01/2012

May 18, 2012

Mar 30, 2016

MCCARTHY GROUP, LLC

PARENT LIMITED LIABILITY COMPANY

yes

01/2007

Mar 29, 2012

Mar 30, 2016

MCCARTHY, MICHAEL, ROBERT

Founder

yes

01/2004

Mar 29, 2012

Mar 30, 2016

MGI HOLDINGS, INC.

PARENT CORPORATION

yes

01/2007

Oct 23, 2012

Mar 30, 2016

SWANGER, MICHELLE, MARIE

ASSISTANT SECRETARY & TREASURER

yes

05/2006

May 18, 2012

Mar 30, 2016

MERCER, TERI, LYNN

CHIEF COMPLIANCE OFFICER

06/2005

Mar 29, 2012

Mar 30, 2016

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

MCCARTHY PARTNERS MANAGEMENT, LLC

n/a

Asset manager

$3.8B

n/a

FULCRUM GP, LLC

n/a

yes

n/a

FULCRUM IV GP, LLC

n/a

yes

n/a

MCCARTHY GROUP, LLC

n/a

yes

n/a

MGI HOLDINGS, INC.

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Wellesley

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2015

Mar 30, 2016

$588M

n/a

$170M

2014

Mar 31, 2015

$857M

n/a

$447M

2013

Mar 31, 2014

$759M

n/a

$457M

2012

Apr 1, 2013

$651M

n/a

$401M

2011

Mar 29, 2012

$1.0B

$593M

n/a

$393M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2015

$588M

$857M

-31.5%

$651M

-3.4%

n/a