Race Rock Capital LLC

Broker-DealerFINRA MemberEst. 2010
Total AUM
Advisory reps
4
Avg account
$0

Firm details

Headquarters
Winchester, Massachusetts
CRD number
153363
Registered since
December 3, 2010

Firm profile

FINTRX

Overview

Race Rock Capital LLC is organized as a limited liability company and has been SEC-registered since 2010. The firm is owned by an individual and is categorized as "unclassified" in the available dataset. Publicly disclosed metadata indicates it does not operate as a capital allocator, does not position itself as an active ESG investor, and is not registered as a multi-state adviser, pension consultant, or related adviser. Disclosure about the firm’s business model, client segments, fee schedule, or advisory activities is minimal in the source data, so there is limited ability to characterize its client-facing services or investment strategy beyond the registration and classification markers noted above.

Assets & Accounts

Investments & Alternatives

Location & Offices

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Owners & executives

1 of 1
  • Charles Bartels

    Charles Bartels

    Principal And Chief Compliance OfficerCRD 1817969

Contacts

3 of 3
  • Catherine Sheridan

    Catherine Sheridan

    Registered Broker/DealerCRD 1203915

  • Kimberly Neely

    Kimberly Neely

    FinOpCRD 2045019

  • Charles Bartels

    Charles Bartels

    PrincipalCRD 3207740

Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

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Recent filings

FINTRX

Awards

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Location

Primary office

Winchester, MA

Middlesex

Location

Winchester, MA

Headquartered in Winchester, MA, anchoring the Boston-Worcester-Providence, MA-RI-NH-CT metro in the Northeast.

Metro area
Boston-Worcester-Providence, MA-RI-NH-CT
Region
Northeast
County
Middlesex
Address
7 Wainwright Rd
Time zone
ET (UTC-5)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth