{"url":"https://nivawealth.com/firms/raymond-james-and-associates-705","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/705","regulatoryAum":500955604975,"crd":"705","secFileNumber":"801-10418","legalName":"Raymond James & Associates, Inc.","displayName":"Raymond James & Associates","website":"https://www.raymondjames.com","linkedinUrl":"https://www.linkedin.com/company/raymond-james-financial-inc-/","founded":null,"organization":"Florida corporation","fiscalYearEnd":"September","headquarters":{"street":"880 Carillon Parkway","city":"ST. Petersburg","state":"FL","stateName":"Florida","country":"United States","postalCode":"33716"},"tradeNames":["Alex.brown","Asset Management Services","Institutional Fiduciary Solutions","Public Finance Investment Strategies Group"],"registration":{"secApproved":"19 December 1974","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":16780,"advisory":5683,"brokerDealerReps":7870,"insuranceAgents":3858,"promoters":153},"aum":{"discretionary":378677672587,"discretionaryAccounts":985700,"nonDiscretionary":122277932388,"nonDiscretionaryAccounts":157445,"wrapProgram":460164990402,"nonUsClientsPct":1,"nonAumClients":2231},"clientTypes":[{"label":"Individuals (other than HNW)","clients":413527,"regulatoryAum":116073536712},{"label":"High-net-worth individuals","clients":99598,"regulatoryAum":288719868242},{"label":"Banking or thrift institutions","clients":710,"regulatoryAum":1817435656},{"label":"Pension and profit-sharing plans","clients":9726,"regulatoryAum":46100825359},{"label":"Charitable organizations","clients":196,"regulatoryAum":1051997812},{"label":"State or municipal government entities","clients":117,"regulatoryAum":4820937873},{"label":"Insurance companies","clients":385,"regulatoryAum":2348275875},{"label":"Corporations and other businesses","clients":7358,"regulatoryAum":40022727446}],"fees":[],"feeNotes":[],"custodians":[{"name":"Raymond James & Associates, Inc.","shortName":"Raymond James","location":"ST. Petersburg, FL","smaAssets":269781066086},{"name":"Raymond James Trust Company of New Hampshire","shortName":"Raymond James","location":"Portsmouth, NH","smaAssets":188343707503}],"custodyNote":"Raymond James & Associates has custody of $269.78B for 266,517 clients.","otherCustodians":[],"leadership":[{"name":"Tashtego Spring Elwyn","title":"President - Chief Executive Officer Director","crd":"2319098"},{"name":"Shawn Joseph Barko","title":"Chief Compliance Officer","crd":"2690394"},{"name":"Philip Roger Martin","title":"RIA Chief Compliance Officer","crd":"2613565"},{"name":"James Bunn","title":"Director","crd":"3130320"},{"name":"Scott Curtis","title":"Director","crd":"1707935"},{"name":"Allyssa Nicole Deleon","title":"Principal Financial Officer / FINOP","crd":"6902665"},{"name":"Richard Eugene Konefal","title":"Director","crd":"2431960"},{"name":"Keith G Rust","title":"Director, Principal Operations Officer","crd":"5915636"},{"name":"Jonathan Santelli","title":"General Counsel / Secretary","crd":"6306997"},{"name":"James Philip Sickling","title":"Director","crd":"1240810"}],"ownership":[{"label":"Raymond James Financial, Inc.","detail":"Holding company in the 75% or more ownership band and a control person, since February 1972."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":817,"privateResidences":0},"listedOfficeAddresses":27,"officesByState":[{"state":"Alabama","offices":1,"addresses":[{"street":"2900 Highway 280 S","city":"Birmingham"}]},{"state":"California","offices":1,"addresses":[{"street":"9595 Wilshire BLVD","city":"Beverly Hills"}]},{"state":"Florida","offices":8,"addresses":[{"street":"880 Carillon Parkway","city":"ST. Petersburg","headquarters":true},{"street":"200 Central Ave","city":"Saint Petersburg"},{"street":"880 Carillon Pkwy","city":"Saint Petersburg"},{"street":"2333 Ponce De Leon BLVD","city":"Coral Gables"},{"street":"301 East Pine Street","city":"Orlando"},{"street":"2536 Countryside BLVD","city":"Clearwater"},{"street":"1 Town Center Road","city":"Boca Raton"},{"street":"600 Brickell Ave","city":"Miami"}]},{"state":"Georgia","offices":2,"addresses":[{"street":"2400 Lakeview Pkwy","city":"Alpharetta"},{"street":"3050 Peachtree Road NW","city":"Atlanta"}]},{"state":"Idaho","offices":1,"addresses":[{"street":"950 W Bannock ST","city":"Boise"}]},{"state":"Illinois","offices":1,"addresses":[{"street":"120 S Riverside PLZ","city":"Chicago"}]},{"state":"Indiana","offices":2,"addresses":[{"street":"11611 N Meridian ST","city":"Carmel"},{"street":"9910 Dupont Circle DR E","city":"Fort Wayne"}]},{"state":"Kentucky","offices":1,"addresses":[{"street":"4969 US Highway 42","city":"Louisville"}]},{"state":"Michigan","offices":2,"addresses":[{"street":"325 N Old Woodward Ave","city":"Birmingham"},{"street":"100 Crahen Ave Ne","city":"Grand Rapids"}]},{"state":"Missouri","offices":1,"addresses":[{"street":"9900 Clayton Road","city":"ST. Louis"}]},{"state":"New Hampshire","offices":1,"addresses":[{"street":"29 Maplewood Ave","city":"Portsmouth"}]},{"state":"New Jersey","offices":1,"addresses":[{"street":"61 S Paramus RD","city":"Paramus"}]},{"state":"New York","offices":1,"addresses":[{"street":"320 Park Avenue","city":"New York"}]},{"state":"Ohio","offices":1,"addresses":[{"street":"6475 Longshore ST","city":"Dublin"}]},{"state":"Tennessee","offices":1,"addresses":[{"street":"1100 Ridgeway Loop Road","city":"Memphis"}]},{"state":"Texas","offices":2,"addresses":[{"street":"6034 W Courtyard DR","city":"Austin"},{"street":"5847 San Felipe ST","city":"Houston"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"727-567-1000","stateRegisteredReps":5683,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)","Commissions"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients","Pension consulting services","Selection of other advisers (including private fund managers)","Educational seminars/workshops","Other"],"financialPlanningClients":"500","assetMix":[{"label":"Exchange-traded equity securities","percent":47},{"label":"Non-exchange-traded equity securities","percent":7},{"label":"U.S. government/agency bonds","percent":2},{"label":"U.S. state and local bonds","percent":4},{"label":"Investment grade corporate bonds","percent":2},{"label":"Non-investment grade corporate bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":24},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":1},{"label":"Cash and cash equivalents","percent":4},{"label":"Other","percent":8,"detail":"Variable Annuities, Structured Products/Alternative Investments, Retirement Plan Assets"}],"privateFunds":0},"sources":{"adv1FilingDate":"25 September 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/705/PDF/705.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Raymond James & Associates have?","answer":"Raymond James & Associates has 531,617 clients and manages $501 billion for them, as of September 2026. They include 413,527 other individuals, 99,598 high-net-worth individuals and 9,726 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 25 September 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Raymond James & Associates offer?","answer":"Raymond James & Associates provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting, selecting other managers, educational seminars and other activities.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Raymond James & Associates use?","answer":"Raymond James & Associates’ separately managed account assets are held at Raymond James & Associates, Inc. (ST. Petersburg, FL), with $269,781,066,086 and Raymond James Trust Company of New Hampshire (Portsmouth, NH), with $188,343,707,503. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 25 September 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Raymond James & Associates have?","answer":"Raymond James & Associates has 5,683 investment adviser representatives registered with state securities authorities, out of 16,780 employees, and 5,683 perform investment advisory functions. 7,870 are registered representatives of a broker-dealer and 3,858 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 Raymond James & Associates invest in?","answer":"At the end of its last fiscal year, Raymond James & Associates’ separately managed accounts held 47% exchange-traded equities, 24% registered funds (mutual funds, ETFs, BDCs), 8% variable annuities, structured products/alternative investments, retirement plan assets, 7% non-exchange-traded equities, 4% state and local bonds, 4% cash and equivalents, 2% U.S. government and agency bonds, 2% investment grade corporate bonds, 1% high-yield corporate bonds and 1% pooled vehicles (private funds and similar). It advises no private funds of its own.","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 Raymond James & Associates?","answer":"Raymond James & Associates’ direct owner is Raymond James Financial, Inc. (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 25 September 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Raymond James & Associates get paid?","answer":"Raymond James & Associates is paid through a percentage of assets under management, hourly charges, fixed fees and commissions. Its Form ADV lists no performance-based fees 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."}