DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Former SEC-registered adviser
Raymond James Investment Counsel Ltd.
Latest filing Dec 22, 2023
First filing on the tape Dec 15, 2011 · 40 filings
RAUM
$27.7M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
70%
$19.3M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
16
13 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
40 filings and snapshots on the tape
RAUM$27.7M as of Dec 22, 2023
Dec 15, 2011$59.5M then
HNW client RAUM$12.4M as of Dec 22, 2023
Dec 22, 2017$12.3M then
State-registered IARs (5.B.3)5 as of Dec 22, 2023
Dec 12, 20120 then
Employees (5.A)16 as of Dec 22, 2023
Dec 12, 20126 then
Private funds: no history
RAUM -97% over the last fiscal year-66% a year over threeIARs 3 to 5offices 3 to 4
Practice profile
derived from the filing of Dec 22, 2023; every figure names its basis
- RAUM per advisor
- $5.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 9derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $727,222derivedHNW RAUM over HNW clients
- Average account
- $277,011derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 30%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.2derivedItem 5.A over advisors
- Advisors per office
- 1.0derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- -97%derivedbetween the last two annual amendments
- Advisor growth, one year
- +67%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -97%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, publicationsreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- a related person acts as qualified custodian (9.D.2)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$12.4M45%
- Charitable organizations$8.4M30%
- Individuals$6.9M25%
- Individual clients
- 27reported
- HNW clients
- 17reported
- Pension plan clients
- n/areported
- Charitable clients
- 2reported
- Accounts
- 100reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- John Charles Beal to Raymond James (USA) LtdJan 26, 2024 · RIA to affiliated broker-dealer or bank
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Arthur William Lloyd Costley · Directorcontrolsince 08/2016 · owns less than 5%
- Robert Scott Hudson · Directorcontrolsince 10/2022 · owns less than 5%
- G Genie Lam · Chief Financial Officercontrolsince 10/2022 · owns less than 5%
- Evan Timothy Price · Directorcontrolsince 04/2004 · owns less than 5%
- Adrian Weiss · Chief Compliance Officercontrolsince 12/2022 · owns less than 5%
- Edward David Tasker · Presidentsince 07/2021 · owns less than 5%
Entity owners
- Raymond James Ltd. · Shareholderdirect · owns 75% or more
- Raymond James Financial Inc. · Shareholderindirect · owns 75% or more of Raymond James Ltd. · public reporting company
Related persons
Schedule D 7.A
- Carillon Fund Distributors, Inc.broker-dealern
- Raymond James Investment Managementinvestment advisernRAUM $17B
- Cebile Capital LLCbroker-dealern
- Cebile Capital Llpbroker-dealern
- Clarivest Asset Management LLCinvestment advisernRAUM $3.0B
- Cougar Global Investmentsinvestment advisernRAUM $1.5B
- Eagle Asset Management Incinvestment advisernRAUM $61B
- Eb Management LLCinvestment advisern
- Raymond James (USA) Ltdbroker-dealerinvestment advisernRAUM $2.0B
- Raymond James & Associates, Inc.broker-dealerinvestment advisernRAUM $501B
- Raymond James Asset Management International S.A.investment advisern
- Raymond James Corporate Finance Gmbhbroker-dealerinvestment advisern
- Raymond James Euro Equities Sasbroker-dealern
- Raymond James Financial International, Ltdbroker-dealern
- Raymond James Financial Planningreal estaten
- Raymond James Financial Services Advisors, Incbroker-dealerinvestment advisernRAUM $390B
- Raymond James Financial Services, Inc.broker-dealern
- Raymond James Global Securities Ltdbroker-dealern
- Raymond James Investment Services Ltd.broker-dealern
- Raymond James Ltd.broker-dealercustodiany
- Raymond James Trust (Canada)n
- Raymond James Trust Quebecn
- Raymond James Trust, N.An
- Scout Investments, Inc.investment advisernRAUM $37B
Advisers that list Raymond James Investment Counsel Ltd. as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Oakville, Ontario | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Toronto, Canada2 employees
- Montreal, Canada1 employees
- Montreal, Quebec, Canada1 employees
- Oakville, Canada1 employees
What changed
consecutive filings, newest first
- Accounts · 4,188 to 100Aug 25, 2023 to Dec 22, 2023
- Advisory activities · 5 to 4Aug 25, 2023 to Dec 22, 2023
- Charity clients · 7 to 2Aug 25, 2023 to Dec 22, 2023
- Corporate clients · 100.0 to unsetAug 25, 2023 to Dec 22, 2023
- HNW clients · 288 to 17Aug 25, 2023 to Dec 22, 2023
- Individual clients · 1,237 to 27Aug 25, 2023 to Dec 22, 2023
- Pooled vehicle clients · 5.0 to unsetAug 25, 2023 to Dec 22, 2023
- Assets in custody · 927492712.0 to unsetAug 25, 2023 to Dec 22, 2023
- Custody of client assets · true to falseAug 25, 2023 to Dec 22, 2023
- State-registered IARs · 3 to 5Aug 25, 2023 to Dec 22, 2023
- Other offices · 3 to 4Aug 25, 2023 to Dec 22, 2023
- Discretionary RAUM · $998M to $27.7MAug 25, 2023 to Dec 22, 2023
- HNW RAUM · $188M to $12.4MAug 25, 2023 to Dec 22, 2023
- Individual RAUM · $196M to $6.9MAug 25, 2023 to Dec 22, 2023
- Pooled vehicle RAUM · 407220629.0 to unsetAug 25, 2023 to Dec 22, 2023
- RAUM · $998M to $27.7MAug 25, 2023 to Dec 22, 2023
- Accounts · 3,124 to 4,188Aug 31, 2022 to Dec 22, 2022
- Advisory employees · 10 to 13Aug 31, 2022 to Dec 22, 2022
- Advisory activities · 3 to 5Aug 31, 2022 to Dec 22, 2022
- Charity clients · 6 to 7Aug 31, 2022 to Dec 22, 2022
- Corporate clients · 68 to 100Aug 31, 2022 to Dec 22, 2022
- HNW clients · 40 to 288Aug 31, 2022 to Dec 22, 2022
- Individual clients · 726 to 1,237Aug 31, 2022 to Dec 22, 2022
- Pooled vehicle clients · 6 to 5Aug 31, 2022 to Dec 22, 2022
- Assets in custody · $897M to $927MAug 31, 2022 to Dec 22, 2022
- Employees · 14 to 16Aug 31, 2022 to Dec 22, 2022
- Other offices · 2 to 3Aug 31, 2022 to Dec 22, 2022
- Discretionary RAUM · $980M to $998MAug 31, 2022 to Dec 22, 2022
- HNW RAUM · $55.7M to $188MAug 31, 2022 to Dec 22, 2022
- Individual RAUM · $239M to $196MAug 31, 2022 to Dec 22, 2022
- Pooled vehicle RAUM · $475M to $407MAug 31, 2022 to Dec 22, 2022
- RAUM · $980M to $998MAug 31, 2022 to Dec 22, 2022
- Accounts · 1,557 to 3,124Dec 21, 2021 to Dec 22, 2021
- Advisory employees · 5 to 10Dec 21, 2021 to Dec 22, 2021
- Advisory activities · 2 to 3Dec 21, 2021 to Dec 22, 2021
- Charity clients · 3 to 6Dec 21, 2021 to Dec 22, 2021
- Corporate clients · 55 to 68Dec 21, 2021 to Dec 22, 2021
- HNW clients · 117 to 40Dec 21, 2021 to Dec 22, 2021
- Individual clients · 272 to 726Dec 21, 2021 to Dec 22, 2021
- Pooled vehicle clients · 5 to 6Dec 21, 2021 to Dec 22, 2021
Signals
11 dated events
- John Charles Beal left Raymond James Investment Counsel Ltd. for Raymond James (Usa) Ltd (registered 2024-01-29)Jan 26, 2024 · Advisor changed firm · fact
- Raymond James Investment Counsel Ltd. reported RAUM $27.7M, down 97% from $998.5M (2023-08-25 to 2023-12-22)Dec 22, 2023 · RAUM change · derived
- Robert Scott Hudson (Director) appeared on Schedule A of Raymond James Investment Counsel Ltd.Dec 22, 2022 · Control person joined · fact
- G Genie Lam (Chief Financial Officer) appeared on Schedule A of Raymond James Investment Counsel Ltd.Dec 22, 2022 · Control person joined · fact
- Adrian Weiss (Chief Compliance Officer) appeared on Schedule A of Raymond James Investment Counsel Ltd.Dec 22, 2022 · Control person joined · fact
- Dixon Paul Allison (Director) no longer on Schedule A of Raymond James Investment Counsel Ltd. (listed 2022-08-31, absent 2022-12-22)Dec 22, 2022 · Control person left · inference
- Pauline Anne Meyer (Chief Financial Officer) no longer on Schedule A of Raymond James Investment Counsel Ltd. (listed 2022-08-31, absent 2022-12-22)Dec 22, 2022 · Control person left · inference
- Raymond James Investment Counsel Ltd. reported RAUM $980.1M, up 39% from $704.3M (2021-12-21 to 2021-12-22)Dec 22, 2021 · RAUM change · derived
- Bruce David Burnes (Ceo) no longer on Schedule A of Raymond James Investment Counsel Ltd. (listed 2021-12-21, absent 2021-12-22)Dec 22, 2021 · Control person left · inference
- Raymond James Investment Counsel Ltd. reported RAUM $704.3M, up 129% from $307.4M (2020-09-25 to 2020-12-24)Dec 24, 2020 · RAUM change · derived
- Raymond James Investment Counsel Ltd. reported RAUM $307.4M, up 162% from $117.5M (2018-12-19 to 2019-12-20)Dec 20, 2019 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026