Race Rock Capital LLC

Broker-DealerFINRA Member
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 privately held limited liability company under individual ownership. Public disclosures about the firm are sparse: no descriptive information about its advisory activities, client segments, fee arrangements, or investment process was reported in the source dataset. The firm is listed as "Unclassified" in sector taxonomy, which suggests no clear alignment with standard RIA subcategories in the dataset. Operational attributes captured in the record indicate Race Rock Capital LLC does not act as a capital allocator and is not identified as an active ESG investor. The firm is not flagged as a multi-state adviser, not marked as newly formed, and is not recorded as a pension consultant or a related adviser to another registered entity. Those attributes point to a narrow, potentially locally focused operation, but the lack of further disclosure prevents a fuller assessment of its client focus or service model. FINTRX data does not include AUM, client counts, a fee schedule, or any investment holdings for the firm. Because those core elements are absent, there is no available basis in the record to evaluate investment philosophy, product mix, or target client profile.

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

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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