Mcgrath & Associates, Inc.
- Regulatory AUM
- $156M
- Discretionary
- $156M
- Clients
- 268
- Avg AUM / client
- $582K
- Accounts
- 701
- Employees
- 3
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Apr 02, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 225 | $67.5M | 43.3% |
| High net worth individuals | 43 | $88.4M | 56.7% |
People (3)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Susan Lee Mcgrath | President/ Chief Compliance Officer | CFP | Apr 2002 (24y) | 75% or more |
| Johnson, Nicole, A. | Secretary | Jul 2011 (15y) | Less than 5% | |
| Robert Edward Baschnagel | Financial Advisor | CFP | May 2014 (12y) | 10% – 25% |
Undisclosed: 0% – 15% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 04/02/2026 | 954 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: DURING A ROUTINE REGULATORY EXAMINATION, THE NORTH CAROLINA SECURITIES DIVISION DETERMINED THAT ONE OF THE FIRM'S REPRESENTATIVE'S, ALTHOUGH FULLY QUALIFIED, HAD NOT BEEN PROPERLY REGISTERED. ONE OF THE FORMS REQUIRED HAD BEEN COMPLETED AND SUBMITTED, BUT FAILED TO UPLOAD ONTO THEIR SYSTEM DURING THE ONLINE REGISTRATION PROCESS DUE TO A COMPUTER ERROR. THE ERROR WAS UNINTENTIONAL, NOT NOTED AT THE TIME AND WAS IMMEDIATELY CORRECTED ONCE THE FIRM WAS NOTIFIED. Status: Final Sanction Detail: $2,500 FINE PAID ON JANUARY 22, 2015 Summary: MATTER HAS BEEN FULLY RESOLVED BY PAYMENT OF THE FINE AND REGISTRATION OF THE INDIVIDUAL AS AN IAR IN THE STATE OF NORTH CAROLINA. THE FIRM AGREED TO ENSURE COMPLETE AND PROPER FILINGS FOR THEIR REPRESENTATIVES IN THE FUTURE AND AGREED TO CONTRIBUTE $2,500 TO THE STATE'S INVESTOR PROTECTION EDUCATION TRUST FUND.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
- • Hourly charges
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
Custody
Reported custodians
- Charles Schwab & Co. $156M (100% of AUM) Apr 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Apr 02, 2026.
View current Form ADV (SEC/IAPD) ↗