DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Randolph Co Inc
Latest filing Mar 11, 2026
First filing on the tape Mar 5, 2012 · 43 filings
SEC status approved since Dec 8, 1986
RAUM
$1.1B
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
16%
$174M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$271M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
43 filings and snapshots on the tape
RAUM$1.1B as of Mar 11, 2026
Mar 5, 2012$486M then
HNW client RAUM$166M as of Mar 11, 2026
Mar 28, 2018$92.5M then
State-registered IARs (5.B.3)4 as of Mar 11, 2026
Mar 5, 20120 then
Employees (5.A)6 as of Mar 11, 2026
Mar 18, 20131 then
Private funds: no history
RAUM +15% over the last fiscal year+13% a year over threeIARs 1 to 4
Practice profile
derived from the filing of Mar 11, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- RAUM per advisor
- $271MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 13derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.9MderivedHNW RAUM over HNW clients
- Average account
- $7.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 78%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +300%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +13%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $911M, 14 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Charitable organizations$846M78%
- High-net-worth individuals$166M15%
- Corporations and businesses$61.8M5.7%
- Individuals$8.3M0.8%
- Individual clients
- 23reported
- HNW clients
- 28reported
- Pension plan clients
- 0reported
- Charitable clients
- 6reported
- Accounts
- 139reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $911M for 14 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.16 fund_share=0.0 institutional_share=0.78 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Carter Fitz Randolph | Cincinnati, Oh | Jan 28, 2010 | 37 y | 0 |
| Andrew Martin Ochoa | Cincinnati, Oh | Dec 13, 2024 | 12 y | 1 |
| Carter Louis Randolph | Cincinnati, Oh | Apr 18, 2025 | 15 y | 2 |
| Patrick GilkeyChartered Financial Analyst | Cincinnati, Oh | Apr 23, 2025 | 10 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount2 left over 36 months
Left, latest
- Garrett Russell Wayne to Wayne Financial LLCFeb 20, 2025 · RIA to a state-registered adviser
- Lucas Henry Woehler to MarinerAug 9, 2024 · RIA to affiliated broker-dealer or bank
- Carter Louis Randolph to Omega Wealth Private Capital LLCAug 17, 2023 · Other
- Ning Liao to UBS Financial Services Inc.Apr 7, 2020 · Other
- Robert Justin Kuhnhein to Legacy Financial Advisors, Inc.Mar 26, 2018 · Other
- Neil Joseph John Hantak to John D. Dovich & Associates, LLCMay 3, 2017 · Other
Joined, latest
- Carter Louis Randolph from Omega Wealth Private Capital LLCApr 18, 2025 · Other
- Andrew Martin Ochoa from Apriem AdvisorsDec 13, 2024 · RIA to RIA
- Ning Liao from Ameriprise Financial Services, LLCAug 14, 2018 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Ann Lindsay Fager · Operations Managercontrolsince 07/2022 · owns less than 5%
- Fitz Carter Randolph · Owner, Presidentcontrolsince 01/2000 · owns 75% or more
- Russell Garrett Wayne · Chief Compliance Officercontrolsince 11/2022 · owns less than 5%
- Randolph Meredith Leslie · Ownersince 01/2000 · owns less than 5%
- Louis Carter Randolph · Ownersince 01/2000 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Cincinnati, Oh · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 2 to 4Jan 28, 2026 to Mar 11, 2026
- Employees · 2 to 6Jan 28, 2026 to Mar 11, 2026
- State-registered IARs · 1 to 4Jan 28, 2026 to Mar 11, 2026
- Accounts · 151 to 139Nov 25, 2025 to Jan 28, 2026
- Corporate clients · 1 to 2Nov 25, 2025 to Jan 28, 2026
- HNW clients · 31 to 28Nov 25, 2025 to Jan 28, 2026
- Individual clients · 14 to 23Nov 25, 2025 to Jan 28, 2026
- Assets in custody · $792M to $911MNov 25, 2025 to Jan 28, 2026
- Discretionary RAUM · $914M to $1.1BNov 25, 2025 to Jan 28, 2026
- HNW RAUM · $197M to $166MNov 25, 2025 to Jan 28, 2026
- Individual RAUM · $6.0M to $8.3MNov 25, 2025 to Jan 28, 2026
- Non-discretionary RAUM · $26.5M to $18.0MNov 25, 2025 to Jan 28, 2026
- RAUM · $941M to $1.1BNov 25, 2025 to Jan 28, 2026
- Financial planning clients · 0 to 0Aug 4, 2025 to Nov 25, 2025
- Accounts · 160 to 151Jan 27, 2025 to Feb 19, 2025
- HNW clients · 27 to 31Jan 27, 2025 to Feb 19, 2025
- Individual clients · 33 to 14Jan 27, 2025 to Feb 19, 2025
- Assets in custody · $676M to $792MJan 27, 2025 to Feb 19, 2025
- State-registered IARs · 2 to 1Jan 27, 2025 to Feb 19, 2025
- Discretionary RAUM · $792M to $914MJan 27, 2025 to Feb 19, 2025
- HNW RAUM · $161M to $197MJan 27, 2025 to Feb 19, 2025
- Individual RAUM · $8.9M to $6.0MJan 27, 2025 to Feb 19, 2025
- Non-discretionary RAUM · $16.4M to $26.5MJan 27, 2025 to Feb 19, 2025
- RAUM · $808M to $941MJan 27, 2025 to Feb 19, 2025
- Advisory employees · 3 to 2Dec 23, 2024 to Jan 27, 2025
- Employees · 3 to 2Dec 23, 2024 to Jan 27, 2025
- State-registered IARs · 3 to 2Dec 23, 2024 to Jan 27, 2025
- Other offices · 0 to 1Dec 23, 2024 to Jan 27, 2025
- Advisory employees · 4 to 3Jun 24, 2024 to Aug 9, 2024
- Employees · 4 to 3Jun 24, 2024 to Aug 9, 2024
- State-registered IARs · 4 to 3Jun 24, 2024 to Aug 9, 2024
- Advisory employees · 3 to 4May 8, 2024 to Jun 24, 2024
- Employees · 3 to 4May 8, 2024 to Jun 24, 2024
- State-registered IARs · 3 to 4May 8, 2024 to Jun 24, 2024
- Advisory employees · 4 to 3Feb 16, 2024 to May 7, 2024
- Employees · 4 to 3Feb 16, 2024 to May 7, 2024
- State-registered IARs · 4 to 3Feb 16, 2024 to May 7, 2024
- Advisory activities · 1 to 2Sep 12, 2023 to Feb 16, 2024
- Corporate clients · 3 to 1Sep 12, 2023 to Feb 16, 2024
- HNW clients · 25 to 27Sep 12, 2023 to Feb 16, 2024
Signals
6 dated events
- Garrett Russell Wayne left Randolph Co Inc for Wayne Financial Llc (registered 2025-04-15)Feb 20, 2025 · Advisor changed firm · fact
- Lucas Henry Woehler left Randolph Co Inc for Mariner (registered 2024-10-07)Aug 9, 2024 · Advisor changed firm · fact
- Carter Louis Randolph left Randolph Co Inc for Omega Wealth Private Capital Llc (registered 2023-09-21)Aug 17, 2023 · Advisor changed firm · fact
- Ann Lindsay Fager (Operations Manager) appeared on Schedule A of Randolph Co IncJul 27, 2023 · Control person joined · fact
- Roseann Higgins (Chief Compliance Officer) no longer on Schedule A of Randolph Co Inc (listed 2022-01-28, absent 2022-10-28)Oct 28, 2022 · Control person left · inference
- Roseann Higgins (Chief Compliance Officer) appeared on Schedule A of Randolph Co IncOct 11, 2021 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/THE-RANDOLPH-COMPANYreportedpublic record, Form ADV, Sep 17, 2026
- Website
- THERANDOLPHCOMPANY.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- (513) 891-7144reportedpublic record, Form ADV, Mar 11, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $271Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026