{"url":"https://nivawealth.com/firms/raymond-james-financial-services-advisors-149018","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/149018","regulatoryAum":390042864529,"crd":"149018","secFileNumber":"801-69815","legalName":"Raymond James Financial Services Advisors, Inc","displayName":"Raymond James Financial Services Advisors","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":"Saint Petersburg","state":"FL","stateName":"Florida","country":"United States","postalCode":"33716"},"tradeNames":[],"registration":{"secApproved":"23 December 2008","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":9675,"advisory":6024,"brokerDealerReps":6490,"insuranceAgents":5253,"promoters":106},"aum":{"discretionary":171744014440,"discretionaryAccounts":457420,"nonDiscretionary":218298850089,"nonDiscretionaryAccounts":650440,"wrapProgram":273438529056,"nonUsClientsPct":0,"nonAumClients":5542},"clientTypes":[{"label":"Individuals (other than HNW)","clients":402577,"regulatoryAum":115333079354},{"label":"High-net-worth individuals","clients":91402,"regulatoryAum":230845182534},{"label":"Banking or thrift institutions","clients":203,"regulatoryAum":313793463},{"label":"Pension and profit-sharing plans","clients":8500,"regulatoryAum":26968117165},{"label":"Charitable organizations","clients":107,"regulatoryAum":343815870},{"label":"State or municipal government entities","clients":22,"regulatoryAum":95404875},{"label":"Insurance companies","clients":74,"regulatoryAum":687998143},{"label":"Corporations and other businesses","clients":5554,"regulatoryAum":15455473125}],"fees":[{"service":"Investment advisory services","basis":"Percentage of assets; negotiable, billed in advance or in arrears.","range":"Up to 2.25% a year"}],"feeNotes":[],"custodians":[{"name":"Raymond James & Associates, Inc.","shortName":"Raymond James","location":"ST. Petersburg, FL","smaAssets":180868220923},{"name":"Raymond James Trust Company of New Hampshire","shortName":"Raymond James","location":"Portsmouth, NH","smaAssets":184714592906}],"custodyNote":"Raymond James Financial Services Advisors has custody of $365.58B for 501,563 clients.","otherCustodians":[],"leadership":[{"name":"Tashtego Spring Elwyn","title":"Director; Chairman of the Board; President; Chief Executive Officer","crd":"2319098"},{"name":"Kirk Bell","title":"Director; President, Icd","crd":"3256377"},{"name":"Ronice Barlow","title":"Chief Operating Officer","crd":"2317475"},{"name":"Philip Roger Martin","title":"RIA Chief Compliance Officer","crd":"2613565"},{"name":"Douglas Brigman","title":"Director","crd":"5562521"},{"name":"Scott Curtis","title":"Director","crd":"1707935"},{"name":"William Geis","title":"Director","crd":"2171250"},{"name":"Brock Guice","title":"Secretary","crd":"2898784"},{"name":"Stephen Kruchten","title":"Director","crd":"1645287"},{"name":"Keith G Rust","title":"Director","crd":"5915636"},{"name":"Jonathan Santelli","title":"General Counsel","crd":"6306997"},{"name":"Andrew Zolper","title":"Director","crd":"5304616"}],"ownership":[{"label":"Raymond James Financial, Inc.","detail":"Corporation in the 75% or more ownership band and a control person, since September 1973."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":3629,"privateResidences":0},"listedOfficeAddresses":26,"officesByState":[{"state":"Arizona","offices":2,"addresses":[{"street":"14350 N 87th ST","city":"Scottsdale"},{"street":"148 N 48th ST","city":"Phoenix"}]},{"state":"California","offices":2,"addresses":[{"street":"1011 Sunset BLVD","city":"Rocklin"},{"street":"2633 Camino Ramon","city":"San Ramon"}]},{"state":"Florida","offices":3,"addresses":[{"street":"880 Carillon Parkway","city":"Saint Petersburg","headquarters":true},{"street":"720 Rugby ST","city":"Orlando"},{"street":"1560 Orange Avenue","city":"Winter Park"}]},{"state":"Georgia","offices":1,"addresses":[{"street":"1360 Caduceus Way","city":"Watkinsville"}]},{"state":"Hawaii","offices":1,"addresses":[{"street":"999 Bishop Street","city":"Honolulu"}]},{"state":"Minnesota","offices":1,"addresses":[{"street":"7924 Highway 7","city":"Saint Louis Park"}]},{"state":"Mississippi","offices":1,"addresses":[{"street":"223 Key DR","city":"Madison"}]},{"state":"Nebraska","offices":1,"addresses":[{"street":"14010 FNB Pkwy","city":"Omaha"}]},{"state":"New Jersey","offices":1,"addresses":[{"street":"67 E Park PL","city":"Morristown"}]},{"state":"North Carolina","offices":1,"addresses":[{"street":"2828 Pickett RD","city":"Durham"}]},{"state":"Pennsylvania","offices":1,"addresses":[{"street":"1 Penn SQ","city":"Lancaster"}]},{"state":"South Carolina","offices":1,"addresses":[{"street":"135 S. Dargan Street","city":"Florence"}]},{"state":"Tennessee","offices":2,"addresses":[{"street":"615 Memorial BLVD","city":"Murfreesboro"},{"street":"21 Platform Way S.","city":"Nashville"}]},{"state":"Texas","offices":2,"addresses":[{"street":"15000 W Interstate 10","city":"San Antonio"},{"street":"204 N Penelope Street","city":"Belton"}]},{"state":"Utah","offices":1,"addresses":[{"street":"1371 E 2100 S","city":"Salt Lake City"}]},{"state":"Virginia","offices":2,"addresses":[{"street":"5806 Harbour View BLVD","city":"Suffolk"},{"street":"4300 Cox Road","city":"Glen Allen"}]},{"state":"Washington","offices":2,"addresses":[{"street":"11400 Se 8th Street","city":"Bellevue"},{"street":"1301 A ST","city":"Tacoma"}]},{"state":"West Virginia","offices":1,"addresses":[{"street":"1101 Rosemar RD","city":"Parkersburg"}]}],"minimumAccount":0,"brochureServices":["business succession planning","education planning","estate planning","insurance"],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"727-567-3020","stateRegisteredReps":6024,"otherAdviserReps":78,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)","Commissions","Other"],"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":"3000","assetMix":[{"label":"Exchange-traded equity securities","percent":36},{"label":"Non-exchange-traded equity securities","percent":10},{"label":"U.S. government/agency bonds","percent":1},{"label":"U.S. state and local bonds","percent":2},{"label":"Investment grade corporate bonds","percent":1},{"label":"Non-investment grade corporate bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":36},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":1},{"label":"Cash and cash equivalents","percent":5},{"label":"Other","percent":7,"detail":"Variable Annuities, Structured Products/Alternative Investments"}],"privateFunds":0},"sources":{"adv1FilingDate":"21 September 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/149018/PDF/149018.pdf","brochureDate":"14 September 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1057717","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Raymond James Financial Services Advisors have?","answer":"Raymond James Financial Services Advisors has 508,439 clients and manages $390 billion for them, as of September 2026. They include 402,577 other individuals, 91,402 high-net-worth individuals and 8,500 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 21 September 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Raymond James Financial Services Advisors offer?","answer":"Raymond James Financial Services Advisors provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting, selecting other managers, educational seminars and other activities. Its services also include business succession planning, education planning, estate planning and insurance.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Raymond James Financial Services Advisors charge?","answer":"Raymond James Financial Services Advisors charges up to 2.25% a year for investment advisory services.","source":"Part 2A brochure, Item 5","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Raymond James Financial Services Advisors use?","answer":"Raymond James Financial Services Advisors’ separately managed account assets are held at Raymond James Trust Company of New Hampshire (Portsmouth, NH), with $184,714,592,906 and Raymond James & Associates, Inc. (ST. Petersburg, FL), with $180,868,220,923. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 21 September 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Raymond James Financial Services Advisors have?","answer":"Raymond James Financial Services Advisors has 6,024 investment adviser representatives registered with state securities authorities, out of 9,675 employees, and 6,024 perform investment advisory functions. 6,490 are registered representatives of a broker-dealer and 5,253 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 Financial Services Advisors invest in?","answer":"At the end of its last fiscal year, Raymond James Financial Services Advisors’ separately managed accounts held 36% exchange-traded equities, 36% registered funds (mutual funds, ETFs, BDCs), 10% non-exchange-traded equities, 7% variable annuities, structured products/alternative investments, 5% cash and equivalents, 2% state and local bonds, 1% U.S. government and agency bonds, 1% 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":"Does Raymond James Financial Services Advisors have a minimum investment?","answer":"No, Raymond James Financial Services Advisors has no minimum account size.","source":"Part 2A brochure, Items 5 and 7","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Who owns Raymond James Financial Services Advisors?","answer":"Raymond James Financial Services Advisors’ direct owner is Raymond James Financial, Inc. (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 21 September 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Raymond James Financial Services Advisors get paid?","answer":"Raymond James Financial Services Advisors is paid through a percentage of assets under management, hourly charges, fixed fees, commissions and other arrangements. 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."}