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.

SEC-registered adviser

Raymond James Investment Management

Asset manager (funds and pooled vehicles)St Petersburg, FloridaCRD 174904SEC 801-100356websiteIAPD
Legal name Carillon Tower Advisers, Inc.
Latest filing May 26, 2026
First filing on the tape Jun 3, 2015 · 29 filings
SEC status approved since Jul 6, 2015
RAUM
$17B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$610,794 individuals and HNW
Advisors
30
registered through the firm on IAPD
RAUM per advisor
$562M
derived; firm RAUM over IAPD count
Employees
175
5 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
2
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$17B as of May 26, 2026
Dec 4, 2015$11.8M then
HNW client RAUM$316,503 as of May 26, 2026
Dec 8, 2021$216,332 then
State-registered IARs (5.B.3)11 as of May 26, 2026
Dec 4, 20151 then
Employees (5.A)175 as of May 26, 2026
Dec 4, 2015180 then
Private funds2 as of May 26, 2026
Nov 1, 20171 then
RAUM +8.2% over the last fiscal year-6.7% a year over threeIARs 11 to 11offices 1 to 2
Practice profile
derived from the filing of May 26, 2026; every figure names its basis
Archetypes, each a printed rule
  • Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
RAUM per advisor
$562MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
0derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$316,503derivedHNW RAUM over HNW clients
Average account
$3.4BderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
5.8derivedItem 5.A over advisors
Advisors per office
10.0derived3 offices incl. principal (1.F.5)
RAUM growth, one year
+5.1%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
Custody
$362,387, 2 clientsreportedItem 9.A
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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$17B100%
  • Pooled investment vehicles$362,3870.0%
  • High-net-worth individuals$316,5030.0%
  • Individuals$294,2910.0%
Individual clients
1reported
HNW clients
1reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
5reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$362,387 for 2 clientsreported
Compensation
% of AUM, performancereported
Class basis
private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=80.0derived
Advisors registered through the firm
30 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Dana Reed CunninghamKansas City, MoMay 22, 201820 y1
Justyna Zuzanna BarczynskaJupiter, Fl Jun 14, 201823 y1
Adrian Oliver SchultesNew York, NyJun 26, 201821 y1
Joseph TierneyMinneapolis, MnNov 5, 201814 y1
Nolan James MahaneySt. Petersburg, FlFeb 22, 201912 y0
Amanda Jean PolandSt Petersburg, Fl Sep 22, 202012 y0
Jason Charles JacksonSt Petersburg, Fl Oct 2, 202022 y1
Steven SingletonSt Petersburg, Fl Oct 29, 202032 y4
Richard Joel PooleSt Petersburg, FlFeb 12, 202114 y2
Crystal Janear FowlerSt Petersburg, FlMar 8, 202112 y0
Joseph Wilfred RogersSt Petersburg, FlOct 10, 202310 y0
Brandon Michael CastleSt Petersburg, FlApr 3, 202512 y0
John BabnikSt Petersburg, Fl Apr 25, 202534 y8
Thomas CattolicoSt Petersburg, FlApr 30, 202510 y1
Matthew David KienzlerSt Petersburg, FlJun 6, 202514 y1
Hunter J SwansonSt Petersburg, Fl Aug 13, 202513 y1
Hannah Meghan ArcherSan Francisco, Ca Sep 8, 202511 y1
Andrew Wyatt TraversSt Petersburg, FlSep 18, 202510 y0
Matthew Benjamin CalosPelham, Nh Oct 17, 202511 y2
Joseph Jones Del GuercioSt Petersburg, FlFeb 24, 202612 y0
Dale Waymon StoverGermantown, Tn Feb 27, 202624 y1
Piotr E FelusiakSt Petersburg, FlMar 4, 202610 y2
Sheila Leigh KingChartered Financial AnalystSt Petersburg, FlMar 4, 202639 y1
Lucas IacovinoSt Petersburg, FlMar 13, 202611 y1
Annette Persaud-JairamSt Petersburg, FlApr 30, 202622 y1
Trevor BurlisonCertified Financial PlannerSt Petersburg, Fl Jun 8, 202611 y4
Dennis GeelanSaint Augustine, Fl Jun 29, 202613 y2
Gordon Westcott PriceApex, Nc Jul 8, 202621 y6
Jose VargasSt Petersburg, Fl Jul 10, 202610 y1
Alexander Gregory RebaSt Petersburg, FlJul 29, 202611 y1
Advisor movement
4 left, 7 joined in 12 months
net +3 in 12 months1 left in 90 days3 joined in 90 daysdeparture rate 13% of current headcount6 left over 36 months
Left, latest
Joined, latest
Every departureEvery arrival
Private funds
2 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
Carillon Tower Advisers Series Hedge Fund LLC - All Canada SeriesHedge Fund$145M11Jan 4, 2024
Carillon Tower Series Hedge Fund LLCHedge Fund$523,70529Nov 1, 2017
Owners and control persons
Schedule A and B, latest filing
  • Alan Thomas James · Directorcontrol
    since 08/2021 · owns less than 5%
  • Daniel Robert Kendall · President, Directorcontrol
    since 06/2021 · owns less than 5%
  • Edward Rick IV · Directorcontrol
    since 07/2019 · owns less than 5%
  • Daniel Damian Sousa · Directorcontrol
    since 01/2018 · owns less than 5%
  • Lavelle Susan Walzer · Directorcontrol
    since 01/2018 · owns less than 5%
  • Christian Eric Wilwant · Chief Operating Officer, Directorcontrol
    since 06/2015 · owns less than 5%
Entity owners
  • Raymond James Financial, Inc. · Shareholder
    direct · owns 75% or more · public reporting company
Related persons
Schedule D 7.A
Advisers that list Raymond James Investment Management as a related person
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
St Petersburg, Fl · principal27134
Castle Pines, Co000
Offices
Schedule D 1.F, the 25 largest
  • Parker, CO3 employees
  • New York, NY1 employees
What changed
consecutive filings, newest first
  • Advisory employees · 2 to 5
    Dec 11, 2024 to Dec 12, 2025
  • BD registered reps · 81 to 80
    Dec 11, 2024 to Dec 12, 2025
  • HNW clients · unset to 1.0
    Dec 11, 2024 to Dec 12, 2025
  • Individual clients · unset to 1.0
    Dec 11, 2024 to Dec 12, 2025
  • Assets in custody · $146M to $362,387
    Dec 11, 2024 to Dec 12, 2025
  • Employees · 173 to 175
    Dec 11, 2024 to Dec 12, 2025
  • Insurance-licensed employees · 2 to 0
    Dec 11, 2024 to Dec 12, 2025
  • Financial planning clients · 0 to 0
    Dec 11, 2024 to Dec 12, 2025
  • Private funds · 3 to 2
    Dec 11, 2024 to Dec 12, 2025
  • Discretionary RAUM · $16B to $17B
    Dec 11, 2024 to Dec 12, 2025
  • HNW RAUM · $683,652 to $316,503
    Dec 11, 2024 to Dec 12, 2025
  • Individual RAUM · unset to 294291.0
    Dec 11, 2024 to Dec 12, 2025
  • Pooled vehicle RAUM · $164M to $362,387
    Dec 11, 2024 to Dec 12, 2025
  • RAUM · $16B to $17B
    Dec 11, 2024 to Dec 12, 2025
  • Assets in custody · $143M to $146M
    Jun 25, 2024 to Dec 11, 2024
  • Discretionary RAUM · $16B to $16B
    Jun 25, 2024 to Dec 11, 2024
  • HNW RAUM · $520,690 to $683,652
    Jun 25, 2024 to Dec 11, 2024
  • Pooled vehicle RAUM · $143M to $164M
    Jun 25, 2024 to Dec 11, 2024
  • RAUM · $16B to $16B
    Jun 25, 2024 to Dec 11, 2024
  • Other offices · 1 to 2
    Jan 19, 2024 to Jun 25, 2024
  • Assets in custody · unset to 142832327.0
    Dec 8, 2023 to Jan 4, 2024
  • Custody of client assets · false to true
    Dec 8, 2023 to Jan 4, 2024
  • Private funds · 1 to 3
    Dec 8, 2023 to Jan 4, 2024
  • Accounts · 6 to 5
    Dec 6, 2022 to Dec 8, 2023
  • BD registered reps · 79 to 81
    Dec 6, 2022 to Dec 8, 2023
  • Employees · 171 to 173
    Dec 6, 2022 to Dec 8, 2023
  • Discretionary RAUM · $15B to $16B
    Dec 6, 2022 to Dec 8, 2023
  • HNW RAUM · $745,685 to $520,690
    Dec 6, 2022 to Dec 8, 2023
  • Pooled vehicle RAUM · $134M to $143M
    Dec 6, 2022 to Dec 8, 2023
  • RAUM · $15B to $16B
    Dec 6, 2022 to Dec 8, 2023
  • Accounts · 5 to 6
    Sep 30, 2022 to Dec 6, 2022
  • BD registered reps · 84 to 79
    Sep 30, 2022 to Dec 6, 2022
  • Business name · CARILLON TOWER ADVISERS, INC. to RAYMOND JAMES INVESTMENT MANAGEMENT
    Sep 30, 2022 to Dec 6, 2022
  • HNW clients · 1.0 to unset
    Sep 30, 2022 to Dec 6, 2022
  • Pooled vehicle clients · 3 to 2
    Sep 30, 2022 to Dec 6, 2022
  • Discretionary RAUM · $21B to $15B
    Sep 30, 2022 to Dec 6, 2022
  • HNW RAUM · $216,332 to $745,685
    Sep 30, 2022 to Dec 6, 2022
  • Pooled vehicle RAUM · $186M to $134M
    Sep 30, 2022 to Dec 6, 2022
  • RAUM · $21B to $15B
    Sep 30, 2022 to Dec 6, 2022
  • Accounts · 4 to 5
    Sep 9, 2021 to Dec 8, 2021
Signals
14 dated events
  • Casey John Hendrickson left Raymond James Investment Management for Fisher Investments (registered 2026-07-15)
    Jul 13, 2026 · Advisor changed firm · fact
  • David T. Kuzia left Raymond James Investment Management for William Blair & Company L.L.C. (registered 2026-06-24)
    Jun 10, 2026 · Advisor changed firm · fact
  • Kenneth Troy Evans left Raymond James Investment Management for Neuberger Berman Bd Llc (registered 2026-01-14)
    Jan 6, 2026 · Advisor changed firm · fact
  • Ryan Poul Wilson left Raymond James Investment Management for Neuberger Berman Bd Llc (registered 2025-12-03)
    Dec 2, 2025 · Advisor changed firm · fact
  • Nathaniel Jacob Gozlan left Raymond James Investment Management for Capital Client Group, Inc. (registered 2024-07-31)
    Jul 1, 2024 · Advisor changed firm · fact
  • Taylor Scott Smith left Raymond James Investment Management for Stancorp Investment Advisers, Inc. (registered 2023-02-20)
    Dec 31, 2022 · Advisor changed firm · fact
  • Raymond James Investment Management reported RAUM $15.4B, down 26% from $20.8B (2022-09-30 to 2022-12-06)
    Dec 6, 2022 · RAUM change · derived
  • Alan Thomas James (Director) appeared on Schedule A of Raymond James Investment Management
    Sep 9, 2021 · Control person joined · fact
  • Cooper James Abbott (Chairman, President, Director) no longer on Schedule A of Raymond James Investment Management (listed 2020-12-03, absent 2021-07-27)
    Jul 27, 2021 · Control person left · inference
  • Daniel Robert Kendall (Chairman, President, Director) appeared on Schedule A of Raymond James Investment Management
    Jul 27, 2021 · Control person joined · fact
  • Wolfe Courtland James (Executive Vice President, Director) no longer on Schedule A of Raymond James Investment Management (listed 2019-12-04, absent 2020-12-03)
    Dec 3, 2020 · Control person left · inference
  • Edward Rick Iv (Director) appeared on Schedule A of Raymond James Investment Management
    Dec 4, 2019 · Control person joined · fact
  • Raymond James Investment Management reported 12 state-registered advisory representatives, up from 1 (2018-02-13 to 2018-11-29)
    Nov 29, 2018 · Advisor headcount change · derived
  • Carillon Tower Advisers, Inc. filed its initial SEC registration (Form ADV)
    Jun 3, 2015 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
How to reach
public business contact points only, each with its source
Firm profile
LINKEDIN.COM/COMPANY/CARILLONTOWERreportedpublic record, Form ADV, Sep 17, 2026
Website
SCOUTINV.COMreportedpublic record, Form ADV, Sep 17, 2026
Principal office phone
800-521-1195reportedpublic record, Form ADV, May 26, 2026
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
Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
RAUM per advisor
$562Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026