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Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 10:25 AM ET

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Kevin McCarthy

Named as an officer, director or promoter on SEC Form D filings · Georgia (as filed: 2Q) · Sep 15, 2017 → Sep 15, 2017

1deal (issuers)
$1.9Mreported sold
18investors
1Form D filing
2017year on file
Follow this personLook further ↓PDF

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:39 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

Kevin McCarthy is listed as an executive officer on 1 SEC Form D filing by 1 issuer in Sep 2017: Penobscot Valley, LLC (Orono, ME — tourism and travel services — 2017; $1.9M reported sold to 18 investors).

What this means One deal on file with the SEC, filed Sep 2017. A Form D is the notice a company files after it starts selling a private investment — it is a notice, not an approval.

No other person or management entity is listed on the same filings.

What this means The filings name this person alone — no co-officers, directors or promoters were listed.

Public records searched: federal courts (CourtListener / RECAP), SEC enforcement releases, state securities regulators (AK, AL, AR, AZ, CA, CO, CT, DC, DE, FINRA, FL, GA, HI, ID, IL, KS, KY, LA, MA, MD, ME, MI, MO, MS, MT, NASAA, NC, ND, NH, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VT, WA, WI, WV, WY) — 3 state regulator orders, 1 bankruptcy case matching the name listed in Key records below.

What this means 4 records came back. Each one is listed below with a link to the original document and a line saying why it matched. A name match is not proof it is the same person or company — read the why line and the document. Being sued or named in a release is an accusation, not a finding.

We compared 1 public filing for Kevin McCarthy and found 5 differences: Same name, different state: "Kevin R. McCarthy" (NC) is a separate record; Same name, different state: "Kevin J. McCarthy" (IL) is a separate record; and more below.

What this means These are differences between the sponsor's own SEC filings — both values, dates and sources are listed in Key records, section 4. Most have ordinary explanations; ask the sponsor.

What the community is saying

Community search for Kevin McCarthy has not run yet — it is joining a line of 53,943 names; searches run around the clock at the hosts' allowed rate. Searched so far: 641 names.

Community comments are quoted as written by their authors. Sources searched: Bing (site:reddit.com / site:biggerpockets.com) and Reddit's own search, plus DuckDuckGo/Brave/BiggerPockets search when they are answering.

Key records

Five things investors ask first. Items still in human review are counted, not shown.

1. Lawsuits

None found in sources searched — federal courts (CourtListener / RECAP), checked Oct 24, 2026

What was searched

Sources searched: CourtListener bulk data (RECAP dockets as of 2026-09-30; recall-first rule 10-24) — federal district + bankruptcy courts State courts: not covered (one-tap state court links under Look further). PACER: not searched. · Last checked Oct 24, 2026, 2:39 AM ET.

State courts: not covered (one-tap state court links under Look further). No state offers a lawful automated statewide source PartnerFacts can use today. Texas (re:SearchTX) terms prohibit storing results in a database open to third parties; New York (WebCivil) and Massachusetts (MassCourts) require a browser check that blocks scripted queries; California has no statewide index (58 county portals; Rule of Court 2.503 grants name-based access case by case); Florida, Utah and Illinois offer paid or partial access whose terms for automated use are unverified. Washington (dw.courts.wa.gov; bulk index reports under a JISC data-dissemination agreement), Delaware (CourtConnect; Court of Chancery not included) and Arizona (apps.azcourts.gov/publicaccess, which has an official channel to request high-volume access) are the candidates; PartnerFacts will request written permission before any automated search. Federal courts are searched through CourtListener / RECAP.

2. Regulatory actions

3 state regulator orders

Summary Order WI · Wisconsin Department of Financial Institutions, Division of Securities
Order date Jan 15, 2013 · Regulator: Wisconsin Department of Financial Institutions, Division of Securities · S-225076 (EX) · Parties (regulator's caption): SumariaGlobal LLC; Premchand H Shah; Kevin McCarthy; Matthew Thompson
Outcome: not stated in the index entry we read; see the order. Order / docket ↗ Regulator's list ↗
same full name in the order; 10 people with this name in Form D filings; regulator in WI (not a filing state)
Individuals Barred or Suspended FINRA · Financial Industry Regulatory Authority (FINRA)
Order date not stated in the index entry we read · Regulator: Financial Industry Regulatory Authority (FINRA) · Parties (regulator's caption): Kevin J. McCarthy (Registered Principal, Bow, New Hampshire)
As listed by the regulator: Kevin J. McCarthy (Registered Principal, Bow, New Hampshire) was fined $5,000 and barred from association with any NASD member in any capacity. The sanctions were based on findings that McCarthy forged a payroll check intended for a registered representative at his member firm and converted the funds for his own use and benefit. Order / docket ↗ Regulator's list ↗
same full name in the order; 10 people with this name in Form D filings; nationwide regulator (FINRA) — the state is not a signal
Individuals Whose Registrations Were Revoked For Failure To Pay Fines, Costs And/Or Provide Proof Of Restitution In Connection With Violations FINRA · Financial Industry Regulatory Authority (FINRA)
Order date not stated in the index entry we read · Regulator: Financial Industry Regulatory Authority (FINRA) · Parties (regulator's caption): Kevin M. McCarthy
Outcome: not stated in the index entry we read; see the order. Order / docket ↗ Regulator's list ↗
same full name in the order; 10 people with this name in Form D filings; nationwide regulator (FINRA) — the state is not a signal
What was searched

SEC enforcement searched: SEC litigation releases and administrative proceedings — respondent names in the sec.gov index titles (30,205 releases, 1995-09-19 to 2026-10-23); release text is read only to confirm a candidate. Names that appear only in the body of a release are not found. — Searched SEC litigation releases and administrative proceedings (1995→ / 2007→) (30,205 records as of Oct 24, 2026, 2:50 AM ET) — nothing matched Kevin McCarthy..

State securities regulators: Securities regulators searched (64,910 actions): FINRA (38,350 actions, 1995–2026), NASAA (31 actions, 2000–2026; listing starts 1997), AK Division of Banking and Securities (273 actions, 1971–2025), AL Securities Commission (880 actions, 2001–2026), AR Securities Department (1,305 actions, 1998–2026), AZ Corporation Commission Securities Division (411 actions, 2017–2026), CA DFPI (25 actions, 2007–2024; listing starts 2002 — 16 of 12,159 DFPI respondent pages read so far; sponsor-name matches are read first), CO Division of Securities (731 actions, 2001–2026; older years from the Internet Archive (snapshot of 2026-05-02)), CT Department of Banking Securities Division (940 actions, 2006–2026; older years from the Internet Archive (snapshot of 2026-04-22)), DC DISB Securities Bureau (25 actions, 2012–2026), DE DOJ Investor Protection Unit (257 actions, 1987–2026), FL Office of Financial Regulation (49 actions, 2018–2026), GA Secretary of State Securities Division (65 actions, 2015–2026; listing starts 2012), HI DCCA Securities Enforcement Branch (26 actions, 2012–2026), ID Department of Finance Securities Bureau (663 actions, 1994–2026), IL Secretary of State Securities Department (4,122 actions, 2003–2023), KS Insurance Department Securities Division (58 actions), KY Department of Financial Institutions (342 actions, 2005–2026), LA Office of Financial Institutions Securities Division (13 actions, 2010–2025; listing starts 2008), MA Secretary of the Commonwealth Securities Division (125 actions, 2012–2025; live site blocks automated access — loaded from the Internet Archive snapshot of 2026-02-04), MD Attorney General Securities Division (1,054 actions, 2004–2026), ME Office of Securities (539 actions, 2000–2026), MI LARA Corporations, Securities & Commercial Licensing Bureau (201 actions), MO Secretary of State Securities Division (919 actions, 1998–2026), MS Secretary of State Securities Division (209 actions, 1995–2026), MT Commissioner of Securities and Insurance (597 actions, 2000–2026), NC Secretary of State Securities Division (265 actions, 2004–2024), ND Securities Department (711 actions, 1990–2026; the regulator no longer publishes this list live — loaded from the Internet Archive snapshot of 2026-01-06), NH Bureau of Securities Regulation (402 actions, 2002–2026), NM Regulation and Licensing Department Securities Division (90 actions, 2010–2025), NV Secretary of State Securities Division (118 actions, 2018–2026), NY Attorney General Investor Protection Bureau (44 actions, 2012–2026), OH Division of Securities (327 actions, 1993–2006), OK Department of Securities (2,531 actions, 1998–2026), OR Division of Financial Regulation (589 actions, 1988–2026), PA Department of Banking and Securities (1,448 actions, 2008–2024; the regulator no longer publishes this list live — loaded from the Internet Archive snapshot of 2024-08-09), RI DBR Securities Division (98 actions, 2005–2025), SC Attorney General Securities Division (540 actions, 2006–2026), SD Division of Insurance – Securities Regulation (106 actions, 2017–2026), TN Department of Commerce and Insurance Securities Division (405 actions, 1992–2026), TX State Securities Board (936 actions, 1999–2026), UT Division of Securities (772 actions, 2000–2026; older years from the Internet Archive (snapshot of 2010-05-27)), VT DFR Securities Division (137 actions, 2010–2026), WA DFI (2,039 actions, 2001–2026), WI DFI Division of Securities (1,072 actions, 1998–2026), WV Securities Commission (State Auditor) (64 actions), WY Secretary of State Compliance Division (6 actions, 2016–2024) — last crawled Oct 24, 2026, 8:48 AM ET. No machine-readable public listing today for IA, IN, MN, NE, NJ, VA (see docs/state-regulators.md).

3. Bankruptcies

1 case: 1 closed (disposition not in docket feed)

Kevin W McCarthy closed
United States Bankruptcy Court, D. Maine · No. 11-10147 · Filed Feb 11, 2011 · Closed May 23, 2011
Role of Kevin W McCarthy: Debtor · Outcome: Case closed 2011-05-23 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 211 federal dockets); 10 people with this name in Form D filings; court in the person's filing state (ME)
What was searched

Sources searched: Federal bankruptcy courts via CourtListener / RECAP archive (federal district courts, federal bankruptcy courts). State courts: not covered (one-tap state court links under Look further). PACER: not searched (RECAP only). · Last checked Oct 24, 2026, 2:39 AM ET.

Court records show docket facts only; we never restate allegations as facts. Outcome wording comes from the docket feed; where it does not state a disposition we say so.

State courts: not covered (one-tap state court links under Look further). No state offers a lawful automated statewide source PartnerFacts can use today. Texas (re:SearchTX) terms prohibit storing results in a database open to third parties; New York (WebCivil) and Massachusetts (MassCourts) require a browser check that blocks scripted queries; California has no statewide index (58 county portals; Rule of Court 2.503 grants name-based access case by case); Florida, Utah and Illinois offer paid or partial access whose terms for automated use are unverified. Washington (dw.courts.wa.gov; bulk index reports under a JISC data-dissemination agreement), Delaware (CourtConnect; Court of Chancery not included) and Arizona (apps.azcourts.gov/publicaccess, which has an official channel to request high-volume access) are the candidates; PartnerFacts will request written permission before any automated search. Federal courts are searched through CourtListener / RECAP.

4. Differences between public sources

Comparisons cover issuers and sponsor groups — see the issuer pages under Deals

5 differences found between the filings for Kevin McCarthy (compared 1 filing on Oct 24, 2026)

Note · Jul 12, 2011 – Jun 26, 2026

Same name, different state: "Kevin R. McCarthy" (NC) is a separate record

This page covers filings where the address state is 2Q. A separate record, "Kevin R. McCarthy" with address state NC, is listed on 8 filings — most recently by Kian Equity Partners I, L.P. (Jun 26, 2026). Both records have filings in the same period (Sep 15, 2017).

What this means Two records with one name were active at the same time. That can be one person listing different company addresses, or two different people. We keep them apart until a filing ties them together. Check both pages before you decide.

Kevin R. McCarthy (NC) — PartnerFacts page ↗Form D/A · Jun 26, 2026 ↗Kian Equity Partners I, L.P. — PartnerFacts page ↗Kevin McCarthy (2Q) — this page ↗
Sources
Note · Mar 4, 2011 – Nov 26, 2025

Same name, different state: "Kevin J. McCarthy" (IL) is a separate record

This page covers filings where the address state is 2Q. A separate record, "Kevin J. McCarthy" with address state IL, is listed on 2 filings — most recently by Nuveen Global, LLC (Nov 26, 2025). Both records have filings in the same period (Sep 15, 2017).

What this means Two records with one name were active at the same time. That can be one person listing different company addresses, or two different people. We keep them apart until a filing ties them together. Check both pages before you decide.

Kevin J. McCarthy (IL) — PartnerFacts page ↗Form D · Nov 26, 2025 ↗Nuveen Global, LLC — PartnerFacts page ↗Kevin McCarthy (2Q) — this page ↗
Sources
Note · Jun 19, 2017 – Jun 24, 2020

Same name, different state: "Kevin McCarthy" (GA or UT) is a separate record

This page covers filings where the address state is 2Q. A separate record, "Kevin McCarthy" with address state GA or UT, is listed on 4 filings — most recently by Salty Dot, Inc. (Feb 23, 2021). Both records have filings in the same period (Sep 15, 2017).

What this means Two records with one name were active at the same time. That can be one person listing different company addresses, or two different people. We keep them apart until a filing ties them together. Check both pages before you decide.

Kevin McCarthy (GA,UT) — PartnerFacts page ↗Form D · Feb 23, 2021 ↗Salty Dot, Inc. — PartnerFacts page ↗Kevin McCarthy (2Q) — this page ↗
Sources
Note · Mar 16, 2015

Same name, different state: "Kevin P. McCarthy" (IN) is a separate record

This page covers filings where the address state is 2Q. A separate record, "Kevin P. McCarthy" with address state IN, is listed on 1 filing — most recently by Express Software & Services LLC (Mar 16, 2015). The two records do not overlap in time: this page has one filing dated Sep 15, 2017; the other has one filing dated Mar 16, 2015.

What this means Could be the same person who moved, or two people with the same name. We keep them apart until a filing ties them together. Check both pages before you decide.

Kevin P. McCarthy (IN) — PartnerFacts page ↗Form D · Mar 16, 2015 ↗Express Software & Services LLC — PartnerFacts page ↗Kevin McCarthy (2Q) — this page ↗
Sources
Note · May 10, 2010 – May 31, 2013

Same name, different state: "KEVIN M MCCARTHY" (CT) is a separate record

This page covers filings where the address state is 2Q. A separate record, "KEVIN M MCCARTHY" with address state CT, is listed on 4 filings — most recently by CONNECTICUT ON-LINE COMPUTER CENTER INC (May 31, 2013). The two records do not overlap in time: this page has one filing dated Sep 15, 2017; the other runs May 10, 2010 to May 31, 2013.

What this means Could be the same person who moved, or two people with the same name. We keep them apart until a filing ties them together. Check both pages before you decide.

KEVIN M MCCARTHY (CT) — PartnerFacts page ↗Form D/A · May 31, 2013 ↗CONNECTICUT ON-LINE COMPUTER CENTER INC — PartnerFacts page ↗Kevin McCarthy (2Q) — this page ↗
Sources
What is compared

What is compared: every Form D and D/A we hold for this subject, side by side — filing dates vs. first-sale dates (the 15-day rule), amendment timing on open offerings (the yearly-amendment expectation), amounts sold, investor counts, offering amounts and minimums across amendments, industry and size bands, addresses, how each person's name and role is written, paid sellers' CRD numbers, and (for groups) where the member companies were formed and sit. Everything is as filed by the issuer; the SEC does not check it. Differences are common and usually have ordinary explanations — we show both values, the dates, and the source so you can ask. As of Oct 24, 2026.

5. Money to insiders

None reported on 1 offering — no sales commissions, finder's fees or proceeds to insiders

Per-offering detail
Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
Sep 15, 2017 D
Penobscot Valley, LLC
File 021-294844
$0$0$0
Former trustee is to be reimbursed amounts advanced personally under Trust Agreement. Estimated $304,000. He will receive no compensation.
None listed on this filingEDGAR ↗

Counts come from Form D Items 12–15 on the filings in our index (latest filing per offering; one offering = one SEC file number; an amendment updates its offering rather than adding one). "To insiders" = gross proceeds used for payments to executive officers, directors or promoters. "—" = not reported on that filing. Amounts marked (est.) were reported as estimates. "Paid to sell it" = sales compensation recipients named on that filing (Item 12), each linked to FINRA BrokerCheck when a CRD number is reported.

Counted across every filing this person is listed on (latest filing per offering, per issuer).

Deals 1

Every issuer that named Kevin McCarthy on a Form D, newest first. A Form D is the notice a company files after it starts selling a private investment.

PV
Tourism and Travel Services

Penobscot Valley, LLC

Orono, ME · Sep 15, 2017
  • Sep 15, 2017 · D · $1,900,000 sold of $1,900,000 · 18 investors · min. $50,000 · role: Executive Officer (Preservation Ross LLC defaulted on privately placed bonds. The bondholders exchanged for bonds or LLC units in issuer, Penobscot Valley, LLC.) EDGAR ↗

Raised $1.9M from 18 investors (100% of the $1.9M target) as of the latest filing. Kevin is listed as executive officer.

Latest filing on EDGAR ↗
Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Tourism and Travel Services / 506(b) (64 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.

Other pages with the same name (9)

Separate person records under the same name, not combined with this page. Each line says whether it shares an issuer with this record.

  • Kevin R. McCarthy — NC, 6 issuers, Jul 12, 2011 → Jun 26, 2026 · no shared issuer
  • Kevin McCarthy — NY, CO, 6 issuers, Apr 13, 2009 → Nov 27, 2023 · no shared issuer
  • Kevin J. McCarthy — IL, 2 issuers, Mar 4, 2011 → Nov 26, 2025 · no shared issuer
  • Kevin McCarthy — GA, UT, 2 issuers, Jun 19, 2017 → Jun 24, 2020 · no shared issuer
  • Kevin McCarthy — NC, 2 issuers, Jul 23, 2024 → Jun 11, 2026 · no shared issuer
  • Kevin William McCarthy — CA, 2 issuers, Jul 20, 2026 → Jul 20, 2026 · no shared issuer
  • KEVIN M MCCARTHY — CT, 1 issuer, May 10, 2010 → May 31, 2013 · no shared issuer
  • Kevin P. McCarthy — IN, 1 issuer, Mar 16, 2015 → Mar 16, 2015 · no shared issuer
  • Kevin Michael McCarthy — WA, 1 issuer, Feb 13, 2023 → Jan 19, 2024 · no shared issuer

People around Kevin 0

Officers, directors, promoters and management entities named on the same filings, as of Oct 23, 2026, 5:45 PM ET.

No other person or management entity is named on the same filings.

The team behind the deals

Same business address

1 other issuer file from the same address

A shared address can mean the same team, a shared office building or a registered agent. It is a lead, not a conclusion.

Registrations and other filings

Business registration (state registry / Secretary of State)

Individuals are not matched to business registrations — registries list companies, and a name alone is not enough to tie a person to one. Officers and managers appear by name inside each matched company's record on the issuer pages. Registries searched: AL (Alabama Secretary of State — Business Entity Records (arc-sos.state.al.us), searched by issuer name, data as of Oct 24, 2026); CO (Colorado Secretary of State — Business Entities in Colorado (data.colorado.gov), data as of Oct 23, 2026); CT (Connecticut Secretary of the State — Business Registry (data.ct.gov), data as of Oct 24, 2026); FL (Florida Department of State, Division of Corporations — quarterly corporate data file (Sunbiz), data as of Oct 7, 2026); NY (New York Department of State — Corporations and Other Entities (data.ny.gov: All Filings + Active Corporations), data as of Oct 20, 2026); OR (Oregon Secretary of State — Active Businesses, All (data.oregon.gov), data as of Oct 20, 2026); PA (Pennsylvania Department of State — Registered Businesses, Current (data.pa.gov), data as of Oct 6, 2026); TX (Texas Comptroller — Active Franchise Taxpayers incl. Secretary of State file data (data.texas.gov), data as of Oct 24, 2026). Registries of other states have not been searched: many publish no bulk file and require a CAPTCHA or bot challenge on their search page, which we do not bypass (Delaware, for example, offers no public bulk file).

Adviser registration (Form ADV)

None of the 1 issuer this person is listed on appears in Form ADV (searched 24,962 advisers as of Oct 2, 2026). A person is never an adviser firm; Form ADV is checked for the issuers and the management companies they are listed with.

Other offering types (Regulation A and Regulation Crowdfunding)

Searched SEC Regulation A Data Sets (Forms 1-A, 1-K, 1-Z; 2015 Q2 → 2026 Q3); SEC Crowdfunding Offerings Data Sets (Form C family; 2016 Q2 → 2026 Q3); EDGAR form index for 2026 Q3 → 2026 Q4 (51,358 records as of Oct 23, 2026, 8:41 PM ET) — nothing matched this name.

Property records none — individuals are not matched

Property records are matched to companies only, never to individuals, so none are matched to Kevin McCarthy by design. Searched property records in Hillsborough County FL (Clerk recorded-document index Oct 14, 2026 to Oct 15, 2026 + FL DOR 2026 ownership roll), Miami-Dade County FL (FL DOR 2026 ownership roll), Harris County TX (HCAD 2026 ownership roll), Dallas County TX (DCAD 2026 ownership roll), New York City ACRIS documents and PLUTO ownership rows already retrieved for other issuers, Cook County IL sale and ownership rows already retrieved for other issuers (814,874 records as of Oct 23, 2026, 8:59 PM ET) for the 1 issuer this person is listed on — nothing matched.

Public profiles and social

Websites and social links of the issuers Kevin McCarthy is listed on: none on file. No website or social profile named in Penobscot Valley, LLC's SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #265,947 of 374,652 in line (1,386 issuers searched so far). One-tap searches: Look further ↓

Look further

One-tap searches on sites we do not index ourselves, with the name pre-filled (Orono, ME). Each opens in a new tab; what you find there is not verified by PartnerFacts.

Social and web

LinkedIn people search ↗Instagram ↗X (Twitter) ↗Facebook ↗YouTube ↗Google ↗Google Images ↗Google News ↗Meta Ad Library ↗

Courts

CourtListener / RECAP (federal) ↗PACER case locator (federal, login) ↗Maine state courts — find the court ↗

Securities regulators

SEC EDGAR full-text search ↗SEC action look-up ↗FINRA BrokerCheck ↗SEC IAPD adviser search ↗

Business registries

Maine Secretary of State business search ↗OpenCorporates ↗

Change history

No corrections have been requested for this page.

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