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 is listed as SEC-registered since 2010. The ownership is recorded as individual rather than institutional or corporate. FINTRX classifies the firm as "Unclassified" and provides minimal detail about its advisory activities, fee structure, client types, or business lines. The record flags a number of negative indicators about the firm's profile: it is not identified as a capital allocator, not an active ESG investor, not a multi-state adviser, not newly formed, not a pension consultant, and not a related adviser. Beyond corporate form, registration year, and owner type, the firm has not provided substantive disclosures about its investment focus, client base, or service offerings.

Assets & Accounts

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

  • Charles Bartels

    Charles Bartels

    PrincipalCRD 3207740

  • Kimberly Neely

    Kimberly Neely

    FinOpCRD 2045019

Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

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