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SEC-registered adviser
M••••••• W••••• • T•• A•••••••
Legal name W••••• A•••••••• L••
Latest filing Feb 17, 2026
First filing on the tape May 1, 2024 · 3 filings
SEC status approved since May 31, 2024
RAUM
$202M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$202M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$67.3M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$202M as of Feb 17, 2026
Feb 10, 2025$153M then
HNW client RAUM$134M as of Feb 17, 2026
Feb 10, 2025$91.5M then
State-registered IARs (5.B.3)3 as of Feb 17, 2026
Feb 10, 20253 then
Employees (5.A)4 as of Feb 17, 2026
Feb 10, 20254 then
Private funds: no history
RAUM +32% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Feb 17, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $67.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 91derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $238,257derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +32%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.1%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $43.0M, 183 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$134M66%
- Individuals$68.4M34%
- Individual clients
- 221reported
- HNW clients
- 51reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 848reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $43.0M for 183 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••••• F•••• M•••••••Certified Financial Planner | Springboro, Oh | Jul 18, 2005 | 26 y | 2 |
| C•••••••• A• G••••••Certified Financial Planner | Springboro, Oh | Feb 21, 2008 | 20 y | 0 |
| J•••••• S••••• M••••••• | Springboro, Oh | Feb 14, 2024 | 12 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- J••••••• F•••• M••••••• from E•• F•••••••• A•••••••Jul 18, 2005 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••••• J•••••••• F•••• · President & Chief Compliance Officercontrolsince 06/2004 · owns 75% or more
Related persons
Schedule D 7.A
- M••••••• T•• S•••••••• L••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Springboro, Oh · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 813 to 848Feb 10, 2025 to Feb 17, 2026
- HNW clients · 46 to 51Feb 10, 2025 to Feb 17, 2026
- Individual clients · 229 to 221Feb 10, 2025 to Feb 17, 2026
- Assets in custody · $69.0M to $43.0MFeb 10, 2025 to Feb 17, 2026
- Discretionary RAUM · $153M to $202MFeb 10, 2025 to Feb 17, 2026
- HNW RAUM · $91.5M to $134MFeb 10, 2025 to Feb 17, 2026
- Individual RAUM · $61.5M to $68.4MFeb 10, 2025 to Feb 17, 2026
- RAUM · $153M to $202MFeb 10, 2025 to Feb 17, 2026
- Accounts · 689 to 813May 1, 2024 to Feb 10, 2025
- HNW clients · 32 to 46May 1, 2024 to Feb 10, 2025
- Individual clients · 209 to 229May 1, 2024 to Feb 10, 2025
- Assets in custody · $62.6M to $69.0MMay 1, 2024 to Feb 10, 2025
- Employees · 3 to 4May 1, 2024 to Feb 10, 2025
- Financial planning clients · unset to May 1, 2024 to Feb 10, 2025
- Discretionary RAUM · $133M to $153MMay 1, 2024 to Feb 10, 2025
- HNW RAUM · $67.5M to $91.5MMay 1, 2024 to Feb 10, 2025
- Individual RAUM · $65.7M to $61.5MMay 1, 2024 to Feb 10, 2025
- RAUM · $133M to $153MMay 1, 2024 to Feb 10, 2025
Signals
1 dated events
- M••••••• W••••• • T•• A••••••• filed its initial SEC registration (Form ADV)May 1, 2024 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- j••••@m•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- j••••@m•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- c••••••@m•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 937-748-4765reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 937-748-9239reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/mccarthy-wealth-and-tax-advisors/aboutreportedpublic record, Form ADV, Sep 21, 2026
- Website
- M•••••••WEALTH.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 937-748-4765reportedpublic record, Form ADV, Feb 17, 2026
- Team page
- m•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $67.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026