Broker-dealer firm · St. Petersburg, FL
Raymond James & Associates, Inc.
SEC-registered investment adviser · CRD 705 · SEC 801-10418
At a glance
Raymond James & Associates, Inc. is an SEC-registered investment adviser based in St. Petersburg, Florida, with $501.0 billion in regulatory assets under management as of its Form ADV filed September 25, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 513,125 individual clients. By Form ADV it is a broker-dealer firm, ranked 8th of 391 broker-dealer firms and 49th of 17,210 SEC-registered advisers by assets.
Main office 727-567-1000raymondjames.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $501B
- Rank among broker-dealer firms
- #8 of 391
- Rank among all SEC RIAs
- #49 of 17,210
- Rank in Florida
- #2 of 1,090
- Individual clients
- 513,125
- High-net-worth clients
- 99,598
- Accounts
- 1,143,145
- Discretionary
- 76% of AUM
- Employees
- 16,780
- Advisory staff
- 5,683
- Offices
- 818
Owners and executives on its Form ADV
- James BunnDirector
- Tashtego Spring ElwynPresident - Chief Executive Officer Director
- Jonathan SantelliGeneral Counsel / Secretary
- Shawn Joseph BarkoChief Compliance Officer
- Scott CurtisDirector
- James Philip SicklingDirector
- Philip Roger MartinRIA Chief Compliance Officer
- Keith G RustDirector, Principal Operations Officer
- Allyssa Nicole DeleonPrincipal Financial Officer / Finop
- Richard Eugene KonefalDirector
Custody and brokerage
Broker-dealer
Hybrid RIA
Raymond James & Associates, Inc. is a hybrid RIA: 7,870 of its employees are also registered representatives of a broker-dealer. It names affiliated broker-dealers: Carillon Fund Distributors, Inc., Greensledge Capital Markets LLC, Raymond James (USA) LTD, Raymond James Financial Services, Inc., Raymond James Investment Services Limited, Raymond James LTD. and Sumridge Partners, LLC.
- Carillon Fund Distributors, Inc. ↗CRD 139749
- Greensledge Capital Markets LLC ↗CRD 151026
- Raymond James (USA) LTD ↗CRD 25853
- Raymond James Financial Services, Inc. ↗CRD 6694
- Raymond James Investment Services Limited
- Raymond James LTD.
- Sumridge Partners, LLC ↗CRD 152437
Its Form ADV brochure (filed September 2026) names Raymond James & Associates and Raymond James Financial Services as the broker-dealer its advisers are registered with.
IAR’s Firm Association Type of Relationship with RJA RJA Your financial advisor is an employee of RJA and generally is both an investment adviser representative and a registered representative of RJA, a dually registered investment adviser
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 99,598 | $289B | 58% |
| Individuals | 413,527 | $116B | 23% |
| Pension and profit sharing plans | 9,726 | $46B | 9% |
| Corporations or other businesses | 7,358 | $40B | 8% |
| State or municipal government entities | 117 | $4.8B | <1% |
| Insurance companies | 385 | $2.3B | <1% |
| Banking or thrift institutions | 710 | $1.8B | <1% |
| Charitable organizations | 196 | $1.1B | <1% |
Disciplinary disclosures
Raymond James & Associates, Inc. answers yes to 161 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for businesses and institutions
- Pension consulting
- Selecting other advisers
- Educational seminars and workshops
- Other services
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
- Commissions
Form ADV and brochures on the SEC’s adviser search ↗raymondjames.com ↗
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The full record on Raymond James & Associates, Inc.
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 28 peers of its type and size
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- Owners and executives, with titles and stakes
- 10 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Raymond James & Associates, Inc. manage?
Raymond James & Associates, Inc. reports $501.0 billion in regulatory assets under management across 1,143,145 accounts, 76% of it on a discretionary basis, on its Form ADV filed September 25, 2026.
What kind of firm is Raymond James & Associates, Inc.?
Raymond James & Associates, Inc. is a broker-dealer firm by its Form ADV answers. The firm is itself registered as a broker-dealer as well as an investment adviser. It reports a bank or thrift among its related persons. A public reporting company controls it.
Who are Raymond James & Associates, Inc.’s clients?
By assets, its largest client types are high-net-worth individuals ($288.7 billion, 99,598 clients); individuals ($116.1 billion, 413,527 clients); pension and profit sharing plans ($46.1 billion, 9,726 clients).
Does Raymond James & Associates, Inc. have any disciplinary history?
Raymond James & Associates, Inc. answers yes to 161 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is Raymond James & Associates, Inc.’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-09-25), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →