Stephen C. Carluccio

MAD RIVER INVESTORS

BOSTON, MA 02109

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CRD#: 4754644

Professional summary

Stephen Charles Carluccio, who also goes by Stephen Carluccio, is a registered financial advisor currently at MAD RIVER INVESTORS located in Boston, Massachusetts.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Stephen has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Stephen Carluccio

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Charles Carluccio's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 27, 2026 - Present

MAD RIVER INVESTORS

Office #1: 84 State Street, Suite 1060, Boston, MA 02109

RIA

CRD#: 130585

BOSTON, MA

Past

September 13, 2007 - December 31, 2025

MAD RIVER INVESTORS

RIA

CRD#: 130585

BOSTON, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MAD RIVER INVESTORS

MAD RIVER ADVISORS | MRM-HORIZON ADVISORS, LLC | MAD RIVER INVESTORS

CRD#: 130585 / SEC#: 801-62991

RIA

Registered Investment Advisory firm - (4/22/2004 Approved)

Massachusetts

Registered Investment Advisory firm - (6/23/2004 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Massachusetts
(1/27/2026)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/6/2007

Uniform Investment Adviser Law Examination

Current Firm

MAD RIVER INVESTORS

MAD RIVER ADVISORS | MRM-HORIZON ADVISORS, LLC | MAD RIVER INVESTORS

CRD#: 130585 / SEC#: 801-62991

RIA

Registered Investment Advisory firm - (4/22/2004 Approved)

Massachusetts

Registered Investment Advisory firm - (6/23/2004 Terminated)

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Contact information

Main Address

84 State Street, Suite 1060, Boston, MA 02109

Mailing Address

Phone number

(617) 728-0333

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PARTS 2A AND 2B MARCH 2025 (3/28/2025)

Regulatory assets under management

Total Number of Accounts	187
AUM (Assets Under Management)	$ 338,329,107

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Stephen C. Carluccio

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Charles Carluccio's CRS (Customer Relationship Summary).

Certified licenses

Experience

MAD RIVER INVESTORS

MAD RIVER INVESTORS

Primary Firm SEC Registration

MAD RIVER INVESTORS

State Registrations and Notice Filings

Exams

Series 65

Date: 9/6/2007

Current Firm

MAD RIVER INVESTORS

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MAD RIVER INVESTORS

TRUST BUT VERIFY

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