R
Randolph & Associates, LLC
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$11,200,000
Clients
45
11% high-net-worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor with up to 2 employees
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
45
HighAverage account size
$248,889
About
Randolph & Associates is an independent registered investment adviser that provides portfolio management and advisory services to individuals, high-net-worth clients, retirement and profit-sharing plans, trusts, estates, IRAs, and business entities. The firm manages client accounts held with third-party custodians and does not act as a custodian itself.
The firm applies fundamental analysis with an emphasis on growth-oriented equity investing and a typical holding horizon of three to five years, preferring individual stocks while using mutual funds, ETFs, or larger cash positions when deemed appropriate. Accounts are managed on a discretionary basis, and the brochure notes that short-term trading and the use of margin have been employed only in special situations.
Distinctive aspects include a stated typical account minimum of $500,000 (the firm indicates it may accept smaller accounts after discussion) and an explicit prohibition on principal or agency cross transactions in its policies. The brochure also discloses a 2010 state disciplinary action for failure to file ADV updates that resulted in a paid fine, and it notes that the firm’s principal has published investment-focused books and developed a related card game.
Client services
Portfolio management
Expertise
Active portfolio management
Fee options
$10,000 - $5,000,000: 2.00% $5,000,001+: 1.75%
Account minimum: $500,000 (typical minimum, but open to discussion and may accept less if elected) Fee-only: Annual fee charged quarterly in advance, generally 2.00% for $10,000 to $5 million, 1.75% for over $5 million; fees may be negotiable.
Main office location
Randolph & Associates, LLC
Las Vegas NV, United States
Number of offices
1
Most active in
Randolph & Associates, LLC has reported serving >5 clients in these states in the last 12 months.
Nevada · Texas
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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