Broker-dealer firm · Vancouver, Canada
Raymond James (USA) LTD
SEC-registered investment adviser · CRD 25853 · SEC 801-72137
At a glance
Raymond James (USA) LTD is an SEC-registered investment adviser based in Vancouver, Canada, with $2.0 billion in regulatory assets under management as of its Form ADV filed September 23, 2026. Its largest client group by assets is individuals, and it reports 4,850 individual clients. By Form ADV it is a broker-dealer firm, ranked 133rd of 391 broker-dealer firms and 3,646th of 17,210 SEC-registered advisers by assets.
Main office 877-570-7558rjlu.comAs filed on Form ADV
- Regulatory AUM
- $2.0B
- Rank among broker-dealer firms
- #133 of 391
- Rank among all SEC RIAs
- #3,646 of 17,210
- Individual clients
- 4,850
- High-net-worth clients
- 349
- Accounts
- 4,869
- Discretionary
- 25% of AUM
- Employees
- 175
- Advisory staff
- 145
- Offices
- 77
Owners and executives on its Form ADV
- Steven Robert MarcusDirector, President and Chief Executive Officer
- Christopher John LimChief Financial Officer
- Shawn Joseph BarkoDirector
- Patricia BalezentisDirector
- Sean Patrick BoyleDirector
- Efstratios Michael SerbanosGeneral Counsel
- Harris AyyubSR. Manager & Chief Compliance Officer (acting)
Custody and brokerage
Custodian
Raymond James (USA) LTD’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.
Broker-dealer
Hybrid RIA
Raymond James (USA) LTD is a hybrid RIA: 125 of its employees are also registered representatives of a broker-dealer. It names affiliated broker-dealers: Carillon Fund Distributors, Inc., Cebile Capital LLC, Cebile Capital LLP, Raymond James & Associates, Inc., Raymond James Asset Management International S.A., Raymond James Corporate Finance Gmbh, Raymond James Euro Equities SAS, Raymond James Financial International, LTD, Raymond James Financial Services Advisors, Inc, Raymond James Financial Services, Inc., Raymond James Global Securities LTD, Raymond James Investment Services LTD. and Raymond James LTD.
- Carillon Fund Distributors, Inc. ↗CRD 139749
- Cebile Capital LLC ↗CRD 292240
- Cebile Capital LLP
- Raymond James & Associates, Inc. ↗CRD 705
- Raymond James Asset Management International S.A.
- Raymond James Corporate Finance Gmbh
- Raymond James Euro Equities SAS
- Raymond James Financial International, LTD
- Raymond James Financial Services Advisors, Inc ↗CRD 149018
- Raymond James Financial Services, Inc. ↗CRD 6694
- Raymond James Global Securities LTD
- Raymond James Investment Services LTD.
- Raymond James LTD
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Individuals | 4,501 | $1.1B | 53% |
| High-net-worth individuals | 349 | $878M | 44% |
| Corporations or other businesses | 9 | $58M | 3% |
| Pension and profit sharing plans | 5 | $2M | <1% |
Disciplinary disclosures
Raymond James (USA) LTD answers yes to 6 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
- Selecting other advisers
- Periodicals or newsletters
How it’s paid
- A percentage of assets under management
Form ADV and brochures on the SEC’s adviser search ↗rjlu.com ↗
AtlasMembers
The full record on Raymond James (USA) LTD
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 99 peers of its type and size
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- Owners and executives, with titles and stakes
- 7 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
- 2Locked
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 (USA) LTD manage?
Raymond James (USA) LTD reports $2.0 billion in regulatory assets under management across 4,869 accounts, 25% of it on a discretionary basis, on its Form ADV filed September 23, 2026.
What kind of firm is Raymond James (USA) LTD?
Raymond James (USA) LTD 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 (USA) LTD’s clients?
By assets, its largest client types are individuals ($1.1 billion, 4,501 clients); high-net-worth individuals ($878 million, 349 clients); corporations or other businesses ($58 million, 9 clients).
Does Raymond James (USA) LTD have any disciplinary history?
Raymond James (USA) LTD answers yes to 6 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 (USA) LTD’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 (2026-09-23), 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 →