Overview
The Randolph Company (“RCO”) is an investment advisory firm organized in 1996 that offers portfolio
management to individuals, high net worth individuals and families, trusts, foundations and business entities.
Carter F. Randolph has been an investment consultant for over 30 years, possesses a Ph.D. in Finance and has
been the principal owner and President of RCO since 1996.
RCO’s primary objective is to provide discretionary portfolio management to help clients pursue their unique
goals, needs and risk tolerances. RCO invests primarily in equities, and depending upon clients’ needs, RCO
may also invest accounts in exchange- traded funds (“ETFs”), mutual funds, bonds and/or other asset classes
that have the potential to benefit the portfolio.
RCO offers ongoing portfolio management services based on the individual goals, objectives, time horizon, and
risk tolerance of each client. Portfolio management services include, but are not limited to, the following: regular
portfolio monitoring, investment strategy, asset allocation, risk tolerance, personal investment policy and asset
selection. RCO seeks to provide that investment decisions are made in accordance with the fiduciary duties owed
to its accounts and without consideration of RCO’s economic, investment or other financial interests.
Clients may impose restrictions on investing in certain types of securities by written notice to RCO.
From time-to-time RCO may provide initial and/or ongoing
financial planning and other financial consulting
services, as and when requested by the client. If and when RCO agrees to provide these services, it is at no
additional cost to the client.
When we provide investment advice to you regarding your retirement plan account or individual retirement
account, we are fiduciaries within the meaning of Title I of the Employee Retirement Income Security Act and/or
the Internal Revenue Code, as applicable, which are laws governing retirement accounts. The way we make
money creates some conflicts with your interests, so we operate under a special rule that requires us to act in your
best interest and not put our interest ahead of yours.
Under this special rule’s provisions, we must:
• Meet a professional standard of care when making investment recommendations (give prudent advice);
• Never put our financial interests ahead of yours when making recommendations (give loyal advice);
• Avoid misleading statements about conflicts of interest, fees, and investments;
• Follow policies and procedures designed to ensure that we give advice that is in your best interest;
• Charge no more than is reasonable for our services; and
• Give you basic information about conflicts of interest.
As of December 31, 2023, RCO managed on a discretionary basis $792,025,787 of client assets and maintained
non-discretionary client assets totaling $16,362,822.
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