Race Rock Capital LLC

Introductions for emerging and established institutional money managers.

provides introductions for emerging and established institutional money managers.

We are a broker-dealer that makes connections between qualified investors and select managers. We currently have a number of managers under contract but are responsive to investor needs when introducing a manager. Our current managers range in strategy from Long/short equity, Systematic macro and micro traders, CTAs, High Yield, etc.; and ranging in size, from new managers with little or no AUM to multi-billion dollar AUM managers. The managers' underlying characteristic is they all possess a carefully articulated and demonstrable edge.

Member of FINRA, SIPC

FINRA BrokerCheck

Our Philosophy

We are driven by our investors needs. Our primary focus is to expand the bandwidth of these institutional investors by filtering the broad universe of investment strategies to identify unique pedigreed managers with specialized talent. We work on a very targeted basis and only provide introduction between manager and investor if objectives are clearly aligned.

Everyone with whom we do business must treat their family, friends, employees and pets with dignity and respect.

C. Richard Bartels, Jr. CFA, CTA

Managing Director

Richard Bartels is a results-oriented marketing executive with 35+ years of experience in expanding assets for capable focused single strategy managers of hedge and CTA funds.

At Race Rock Capital and predecessor firms, Rich has raised more than $1.5 billion for select managers from institutional sources. Earlier Rich founded Rosenberg Institutional Equity Management with four partners and grew it to $10 billion under management in four years. He negotiated a joint venture with Nomura Securities resulting in the establishment of a series of Luxembourg unit trusts with assets of $3 billion and revenues of $24 million. As head of the Portfolio Rebalancing Desk at Jefferies & Company he increased portfolio-trading revenues by over 150% in one year. While at Batterymarch he assisted in securing and exploiting different alliances to bring in more than $1 billion in emerging market assets in less than fifteen months enabling firm to be sold because of improved bottom line.

Managing Director

Responsible for three major areas including sales and marketing on and off shore for hedge funds, and fund of funds.

Primarily focused on quantitative and systematic equity, futures and fixed income funds.

Chad Bartels

Chad is a Registered Principal of Race Rock Capital and has 15+ years of financial industry experience. Prior to joining RRC, he worked with Woodlawn Advisors, an options boutique in Stamford, CT, where he served as a Director of Equity Derivative Sales. Before Woodlawn, he was a Director of Equity Sales & Trading at Soleil Securities. Chad began his career at Jefferies & Co where he held roles as Equity Sales Trader and Nasdaq Market Maker. He graduated from Babson College in Wellesley, MA with a BS in Economics and was a member of the Men's Varsity Lacrosse team. Chad lives in Darien, CT with his wife and two sons. When not working or spending time with his family he enjoys golf, saltwater fishing and upland bird hunting. Chad holds his Series 3, 7, 24 and 63 registrations.

Frank Casey

Mr. Casey is a 42-year finance veteran, with experience in both alternative investments and hedging corporate/bank risks. Prior to joining Race Rock, Frank was a Managing Partner with PEAQ Capital Strategies, LLC, a systematic quantitative manager of shorter-term counter-trend trading systems. Frank served as the President of the U.S. arm of London-based Close Brothers-Fortune Asset Management. He also helped build Benchmark Plus, a hedge fund of funds, nearly tenfold to $2 billion in assets over 6 years. Mr. Casey also was the covert investigatory member of the group at Rampart Investments that discovered Bernard Madoff’s fraud in early 1999, and is a co-Author of the New York Times bestselling book “No One Would Listen” and the documentary film “Chasing Madoff,” which recount events surrounding the Rampart team’s discovery of the Madoff fraud and efforts to bring Madoff’s crimes to prosecution. In 1982, Frank innovated bank risk management efforts at Prudential Securities, hedging the nascent mortgage-origination/MBS-pipeline risks arena. In 1974, Frank joined Merrill Lynch to serve wealthy investors, innovating equity-option portfolio management. At Merrill he also launched the company’s northeast area corporate risk management initiatives, specializing in equity, oil and metals derivatives. Frank served four years in the US Army and was an Airborne-Ranger Qualified Infantry Captain.

David A, Comstock

David has been in the financial industry for 16 years specializing in 1031 and 1033 exchanges as well as other real estate investments. Additionally, David is a commercial real estate broker as well as developer in Gulfport, Mississippi where he lives with his wife. David holds his Series 7 and 63 registrations with Race Rock.

Alice Lustig

In addition to her role at Race Rock, Alice Lustig is also an Executive Director and Relationship Manager at Institutional Investor. She joined the company in 2015 to help launch a technology-based private investment distribution platform in partnership with Zanbato Securities, to serve Institutional Investor's large global network of investors.

Prior to joining Institutional Investor/Zanbato, Alice was a Director of Capital Introductions in the NYC office of Societe Generale. Her prior roles included senior sales/relationship management roles at SPARX Asset Management, Wyser-Pratte Management, and Institutional Investor in New York and Hong Kong. She began her career in financial services at Nomura Securities, and received degrees from Columbia Business School (MBA) and Georgetown University (BA). Alice holds her Series 3, 7 and 63 registrations at Race Rock Capital.

John McGillian

John has three decades of experience in financial services specializing in alternative asset management. He founded Caxton Symmetry LLC, a hedge fund partnership with Caxton Associates Inc., one of the most successful hedge funds in the world. Throughout the next 20 years he honed his skills in identifying early hedge fund talent; investing on his own behalf and that of his clients, including family office and institutional investors. Over the past 30 years John has acquired extensive investment knowledge and has cultivated an extensive global network of investment managers.

John is a leader in his community and very active in a number of philanthropic endeavors focused on education and the environment. He has served on the boards of Epiphany School in Dorchester MA, Johns Hopkins SAIS (School of Advanced International Studies), the Fishers Island Conservancy and Fishers Island Development Corporation. John has Series 7, 24, 63 and 3 registrations.

Ed Salmon

Before joining RRC, Ed spent more than 30 years as a senior equity sales trader. He covered a variety of Institutional accounts establishing deep revenue generating relationships in the Boston and New York region. Ed holds the series 7 and 63 registrations. He grew up in Boston and enjoys paddle tennis and golf.

Catherine Sheridan

Catherine Sheridan has been in financial markets for over 30 years and joined Race Rock in 2015. She introduces alternative products to institutions that include pensions, foundations and endowments throughout the United States and Canada. She holds Series, 3, 7, 63 and options principal registrations. Prior to institutional sales, Catherine managed proprietary portfolios in convertible, merger and risk arbitrage. Catherine has a B.SC from Georgetown University 1981, Masters from Northwestern University 1984, and a M.SC from the Illinois Institute of Technology 1996.

Todd G. Schwendiman, CHP, CAIA

Todd is the Chief Operating Officer of Technology and Events for BattleFin. Todd joined Race Rock Capital, LLC, a Broker Dealer, as a Registered Representative in February 2017. He has over 25 years of experience in all aspects of the alternative assets business including managing hedge funds, fund of funds, a family office and with a broker dealer. Before BattleFin, from late 2009 – early 2016 Todd was Managing Director of Alternative Asset Investment Management Securities, LLC (Alternative Assets) and was a Registered Principal, AML Compliance Officer and Representative of the firm. He was also the Conference Director for the annual Alternative Asset Summit for 6 years. Before Alternative Assets he spent 7 years from 2002 to 2009 as Senior Advisor/Consultant to a private alternative asset marketing group. For 12 years from 1990 to 2002 he served as Chief Executive Officer of a mid-west family office and asset management business he founded with his father in 1990. As part of his duties he ran the emerging markets portfolio and directly invested in over 32 countries from 1995 - 2002. He is a Chartered Alternative Investment Analyst (CAIA) and a Certified Hedge Fund Professional (CHP) and is FINRA Series 7, 79, 63, 24 and 3 registered. He is active in Rotary and has previously served as Chairman of the Board of his local Junior Achievement organization. He also serves on the Executive Committee of www.TAAAPs.org (The Alliance of Alternative Asset Professionals). He is a graduate of Washington University in St. Louis with a Bachelor of Science in Business Administration - Finance and Economics and has also studied at Oxford University.

Contact Us

Race Rock Capital LLC
One International Place
Suite 1430
Boston, MA 02110
T: (857) 991-1493
F: (781) 240-2597
M: (617) 840-0778

Email: rich@RaceRockCap.Us


Built in 1878, an amazing engineering feat to this day, Race Rock Light is a lighthouse and popular fishing spot marking the division of Long Island Sound and Fishers Island Sound, off the coast of Connecticut.

More images of Race Rock Lighthouse from Google Image Search.