Randolph Riley Roark

Employer firm

Vanguard Advisers, Inc. CRD 106715

$345B regulatory AUM 89,430 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (pooled vehicles)
Portfolio management (institutions)
Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers

Vanguard Advisers, Inc.

100 Vanguard Blvd, Malvern, PA 19355 • United States

Current Registrations

Authority	Category	Status	Date
SC	RA	APPROVED	2020-04-29
NC	RA	APPROVED	2011-01-03
TX	RA	APPROVED	2011-01-03

SC RA
APPROVED

Since 2020-04-29
NC RA
APPROVED

Since 2011-01-03
TX RA
APPROVED

Since 2011-01-03

Branch Locations

1030 Admiral Nelson Ct, Charlotte, NC 28262 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
The Vanguard Group, Inc.	Charlotte	NC	04/2004	Present
Vanguard Marketing Corporation	Charlotte	NC	04/2004	Present
Vanguard Advisers, Inc.	Charlotte	NC	01/2011	Present

04/2004 → Present

The Vanguard Group, Inc.

Charlotte, NC
04/2004 → Present

Vanguard Marketing Corporation

Charlotte, NC
01/2011 → Present

Vanguard Advisers, Inc.

Charlotte, NC

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2004-05-18

S63 Uniform Securities Agent State Law Examination

2004-05-18

Designations

Certified Financial Planner

Other Names

Randolph Roark
Riley Roark

View on SEC IAPD