{"url":"https://nivawealth.com/firms/carillon-tower-advisers-174904","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/174904","regulatoryAum":16864326714,"crd":"174904","secFileNumber":"801-100356","legalName":"Carillon Tower Advisers, Inc.","displayName":"Carillon Tower Advisers","website":"https://www.carillontower.com","linkedinUrl":"https://www.linkedin.com/company/carillontower","founded":null,"organization":"Florida corporation","fiscalYearEnd":"September","headquarters":{"street":"780 Carillon Parkway","city":"ST Petersburg","state":"FL","stateName":"Florida","country":"United States","postalCode":"33716"},"tradeNames":["Raymond James Investment Management"],"registration":{"secApproved":"6 July 2015","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":175,"advisory":5,"brokerDealerReps":80,"insuranceAgents":0,"promoters":3},"aum":{"discretionary":16864326714,"discretionaryAccounts":5,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":1,"regulatoryAum":294291},{"label":"High-net-worth individuals","clients":1,"regulatoryAum":316503},{"label":"Investment companies","clients":1,"regulatoryAum":16863353533},{"label":"Pooled investment vehicles","clients":2,"regulatoryAum":362387}],"fees":[],"feeNotes":[],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[],"custodyNote":"Carillon Tower Advisers has custody of $362K for 2 clients.","otherCustodians":[],"leadership":[{"name":"Susan Walzer","title":"Carillon Funds President","crd":"2976646"},{"name":"Eric Wilwant","title":"Chief Operating Officer, Director","crd":"2256062"},{"name":"Damian Sousa","title":"Chief Compliance Officer","crd":"2061882"},{"name":"Thomas James","title":"Director","crd":"257119"},{"name":"Edward Rick IV","title":"Director","crd":"2536413"},{"name":"Damian Sousa","title":"Director","crd":"2061882"},{"name":"Susan Walzer","title":"Director","crd":"2976646"}],"ownership":[{"label":"Raymond James Financial, Inc.","detail":"Shareholder in the 75% or more ownership band and a control person, since December 2014."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":2,"privateResidences":0},"listedOfficeAddresses":3,"officesByState":[{"state":"Colorado","offices":1,"addresses":[{"street":"10233 South Parker Road","city":"Parker"}]},{"state":"Florida","offices":1,"addresses":[{"street":"780 Carillon Parkway","city":"ST Petersburg","headquarters":true}]},{"state":"New York","offices":1,"addresses":[{"street":"320 Park Ave","city":"New York"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"800-521-1195","stateRegisteredReps":11,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Performance-based fees"],"activities":["Portfolio management for individuals and/or small businesses","Portfolio management for investment companies","Portfolio management for pooled investment vehicles (other than investment companies)"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":99},{"label":"Cash and cash equivalents","percent":1}],"privateFunds":2},"sources":{"adv1FilingDate":"26 May 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/174904/PDF/174904.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Carillon Tower Advisers have?","answer":"Carillon Tower Advisers has 5 clients and manages $16.9 billion for them, as of May 2026. They include 2 pooled investment vehicles, 1 other individuals and 1 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 26 May 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Carillon Tower Advisers offer?","answer":"Carillon Tower Advisers provides portfolio management for individuals and small businesses, portfolio management for investment companies and portfolio management for pooled vehicles.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How many financial advisors does Carillon Tower Advisers have?","answer":"Carillon Tower Advisers has 11 investment adviser representatives registered with state securities authorities, out of 175 employees, and 5 perform investment advisory functions. 80 are registered representatives of a broker-dealer and 0 are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Carillon Tower Advisers invest in?","answer":"At the end of its last fiscal year, Carillon Tower Advisers’ separately managed accounts held 99% exchange-traded equities and 1% cash and equivalents. It advises 2 private funds.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Carillon Tower Advisers?","answer":"Carillon Tower Advisers’ direct owner is Raymond James Financial, Inc. (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 26 May 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Carillon Tower Advisers get paid?","answer":"Carillon Tower Advisers is paid through a percentage of assets under management and performance-based fees. Its Form ADV lists no commissions among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva Wealth is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}