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CFP
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CFP

Randolph Roark

Vanguard Advisers, INC.
22 Years of Experience
Charlotte, NC
2 DisclosuresBroker
View SEC Summary
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Randolph Roark is a CFP-designated registered investment advisor at Vanguard Advisers, INC., based in Charlotte, NC, with 22 years of industry experience. Randolph is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 791,528 clients with $340B in assets under management.

Vanguard Advisers, INC.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
2433 advisors
IM Fee
Planning only
Assets Under Management
$344.6B

Fee Structure

Minimum Investment:None
Investment management only (planning not offered)
  • Retirement plan consultation and financial plan (New model) — $250 for the consultation and plan, unless a lower fee was agreed upon with your plan sponsor.
  • Retirement plan consultation and financial plan (Legacy model for accounts $50,000 to $500,000) — $250, unless you qualify for a fee waiver (waivers apply if you have over $500,000 in total Vanguard assets or are over age 55).
  • Retirement plan consultation and financial plan (Legacy model for accounts under $50,000) — $1,000, unless you qualify for a fee waiver.
One-Time Plan:$250 - $1,000
View Full SEC Brochure

Location

1030 Admiral Nelson Ct, Charlotte, NC, 28262

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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
April 2026
Closed-No Action
Customer Dispute
July 2015
Closed-No Action
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Randolph is an employee of The Vanguard Group, Inc.

Employment History
Current Registrations
Vanguard Advisers, INC.
January 2011 - Present · 15 yrs 9 mos
Vanguard Marketing Corporation
May 2004 - Present · 22 yrs 5 mos
Vanguard Marketing CorporationBroker
May 2004 - Present · 22 yrs 5 mos
State Registrations3 states
NCSCTX
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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