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 & Associates, Inc.
Latest filing Sep 14, 2026
First filing on the tape Dec 23, 2011 · 112 filings
SEC status approved since Dec 19, 1974
RAUM
$501B
reported, Item 5.F
Discretionary
76%
of RAUM
Private clients
81%
$405B individuals and HNW
Advisors
5,787
registered through the firm on IAPD
RAUM per advisor
$86.6M
derived; firm RAUM over IAPD count
Employees
16,780
5,683 advisory (5.B.1)
Offices
817
beyond the principal office
Private funds
0
reported on Schedule D
History
112 filings and snapshots on the tape
RAUM$501B as of Jun 26, 2026
Dec 23, 2011$33B then
HNW client RAUM$289B as of Jun 26, 2026
Dec 26, 2017$66B then
State-registered IARs (5.B.3)5,683 as of Jun 26, 2026
Dec 19, 20122,000 then
Employees (5.A)16,780 as of Jun 26, 2026
Dec 19, 201210,400 then
Private funds1 as of Dec 21, 2021
Dec 20, 20191 then
RAUM +15% over the last fiscal year+18% a year over threeIARs 5,537 to 5,683offices 635 to 817
Practice profile
derived from the filing of Sep 14, 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)
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $86.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 89derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $438,226derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 76%derivedof RAUM
- Institutional
- 11%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.9derivedItem 5.A over advisors
- Advisors per office
- 7.1derived818 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +2.6%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.0%derived
- Compensation
- percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminars, otherreportedItem 5.G
- Financial planning clients
- 500reportedItem 5.H
- Wrap fee program
- $460BreportedItem 5.I
- Custody
- $270B, 266,517 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
- is a broker-dealer (6.A.1)
- is an insurance broker or agent (6.A.6)
- 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)
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- the adviser acts as qualified custodian (9.D.1)
- a related person acts as qualified custodian (9.D.2)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$289B58%
- Individuals$116B23%
- Pension and profit-sharing plans$46B9.2%
- Corporations and businesses$40B8.0%
- State and municipal entities$4.8B1.0%
- Insurance companies$2.3B0.5%
- Banks and thrifts$1.8B0.4%
- Charitable organizations$1.1B0.2%
- Individual clients
- 413,527reported
- HNW clients
- 99,598reported
- Pension plan clients
- 9,726reported
- Charitable clients
- 196reported
- Accounts
- 1,143,145reported
- Financial planning clients
- 500reported
- Wrap fee programs
- $97B sponsored, $0 managedreported
- Custody of client assets
- $270B for 266,517 clientsreported
- Compensation
- % of AUM, fixed, hourly, commissionsreported
- Class basis
- curated national broker-dealer listderived
Advisors registered through the firm
5,572 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Dennis William Zank | St. Petersburg, Fl | Jul 11, 1983 | 47 y | 0 |
| Francis Stanley Godbold | St. Petersburg, Fl | Jul 11, 1983 | 54 y | 0 |
| Margaret Chow StarnerCertified Financial Planner | Coral Gables, Fl | Jul 11, 1983 | 45 y | 0 |
| Bruce Jay Rhodes | Boca Raton, Fl | Jul 11, 1983 | 48 y | 0 |
| Jeffrey Paul Julien | St. Petersburg, Fl | Feb 7, 1986 | 43 y | 0 |
| Prescott Alan BarkowCertified Financial Planner | Miami, Fl | Jul 2, 1987 | 39 y | 0 |
| Holly Sharon Price | Murphy, Nc | Jul 17, 1987 | 45 y | 0 |
| Lewis Mark Carron | Tampa, Fl | Jan 29, 1990 | 43 y | 0 |
| Grayson Heard Holly | Vero Beach, Fl | Jan 15, 1991 | 42 y | 0 |
| Jeffrey Kirk Hearn | St. Petersburg, Fl | Feb 8, 1991 | 42 y | 0 |
| Debra Dawson Stephens | Daytona Beach, Fl | Sep 10, 1991 | 35 y | 0 |
| Alan Todd Patten | Oviedo, Fl | Mar 23, 1993 | 33 y | 0 |
| Ozgur Karaosmanoglu | Chevy Chase, Md | Apr 13, 1993 | 39 y | 0 |
| Thomas Scott Thornton | St. Petersburg, Fl | Jun 15, 1993 | 35 y | 0 |
| Ross David Preville | St. Petersburg, Fl | Sep 9, 1993 | 33 y | 0 |
| Tobin Kirk Hom | Clearwater, Fl | Nov 30, 1993 | 32 y | 0 |
| William Bartley HoytCertified Financial Planner | St. Petersburg, Fl | Dec 16, 1993 | 32 y | 0 |
| Robert Marvin Fierman | Marietta, Ga | Jan 7, 1994 | 43 y | 0 |
| Bruce Goodwin Crawford | Houston, Tx | Oct 7, 1994 | 31 y | 0 |
| Raymond Ernest Lee | Galveston, Tx | Nov 15, 1994 | 46 y | 0 |
| Robert Morris Kurtz | Houston, Tx | Jan 9, 1995 | 39 y | 0 |
| Robert Brian Mcpherson | Alexandria, Va | Feb 7, 1995 | 43 y | 0 |
| Gary B Grisham | Weaverville, Nc | Feb 10, 1995 | 45 y | 0 |
| Joseph John Shemenski | Houston, Tx | Mar 3, 1995 | 45 y | 0 |
| Gene Alexander Melamud | Clearwater, Fl | Mar 16, 1995 | 31 y | 0 |
| Charles Thomas Zimmerman | Houston, Tx | Sep 14, 1995 | 33 y | 0 |
| John Morrison Connally | Houston, Tx | Oct 6, 1995 | 44 y | 0 |
| Brent Eric Peoples | Melbourne, Fl | Nov 10, 1995 | 37 y | 0 |
| Mark Gregory ThompsonCertified Financial Planner | Melbourne, Fl | Nov 10, 1995 | 39 y | 0 |
| William Bruce Body | Lakewood Ranch, Fl | Nov 28, 1995 | 39 y | 0 |
| Barbara B Corrao | Fort Lauderdale, Fl | Jun 3, 1996 | 30 y | 0 |
| John Michael Splain | Washington, Dc | Jun 6, 1996 | 39 y | 0 |
| Nancy Hand Weingard | Boca Raton, Fl | Jun 18, 1996 | 30 y | 0 |
| Mark William Wardzinski | Washington, Dc | Jun 28, 1996 | 33 y | 0 |
| Loren Cary Sydney | Boca Raton, Fl | Jul 5, 1996 | 38 y | 0 |
| Dennis Wayne Briggs | Clearwater, Fl | Sep 18, 1996 | 44 y | 0 |
| Brian Blair Rockwell | Trinity, Fl | Oct 30, 1996 | 33 y | 0 |
| David Ward Fenstermaker | Petoskey, Mi | Oct 31, 1996 | 40 y | 0 |
| Philip L Evans | Houston, Tx | Feb 27, 1997 | 39 y | 0 |
| David Booty Doherty | Houston, Tx | Apr 28, 1997 | 29 y | 0 |
Advisor movement
233 left, 392 joined in 12 months
net +159 in 12 months45 left in 90 days107 joined in 90 daysdeparture rate 4.0% of current headcount653 left over 36 months
Left, latest
- William Cleaver to Morgan StanleySep 9, 2026 · Affiliated broker-dealer or bank to wirehouse
- Thomas C O'Neill to Steward Partners Investment Advisory, LLCSep 9, 2026 · Affiliated broker-dealer or bank to another
- Evan S Brooks to Stifel, Nicolaus & Company, IncorporatedSep 9, 2026 · Affiliated broker-dealer or bank to another
- Jessica C Deluca to Steward Partners Investment Advisory, LLCSep 9, 2026 · Affiliated broker-dealer or bank to another
- Thomas Carl O'Neill to Steward Partners Investment Advisory, LLCSep 9, 2026 · Affiliated broker-dealer or bank to another
- Jose Rene Velez to Raymond James Financial Services Advisors, IncAug 31, 2026 · Affiliated broker-dealer or bank to another
- Robert Liddy Zolper to RBC Capital Markets, LLCAug 26, 2026 · Affiliated broker-dealer or bank to another
- William Joshua Parsons to Capital Investment Advisory Services, LLCAug 25, 2026 · Affiliated broker-dealer or bank to another
- Jose F Zuleta to J.P. Morgan Securities LLCAug 25, 2026 · Affiliated broker-dealer or bank to wirehouse
- Ryan P Jordan to LPL Financial LLCAug 25, 2026 · Affiliated broker-dealer or bank to another
- David Thomas Curley to Stifel, Nicolaus & Company, IncorporatedAug 24, 2026 · Affiliated broker-dealer or bank to another
- Timothy Martin to J.P. Morgan Securities LLCAug 21, 2026 · Affiliated broker-dealer or bank to wirehouse
- Daniel Luis Valente to Janney Montgomery Scott LLCAug 17, 2026 · Affiliated broker-dealer or bank to another
- Jack Boyland to Cerity Partners LLCAug 6, 2026 · Affiliated broker-dealer or bank to independent RIA
- Bradley Gilbert Gray to The Ameriflex GroupAug 4, 2026 · Affiliated broker-dealer or bank to another
Joined, latest
- Maria C Schnirman from Merrill Lynch, Pierce, Fenner & Smith IncorporatedSep 16, 2026 · Wirehouse to affiliated broker-dealer or bank
- Caroline D Wilson from Strategic Advisers LLCSep 14, 2026 · Affiliated broker-dealer or bank to another
- Timothy Preston Kirkham from Cetera Investment Advisers LLCSep 14, 2026 · Affiliated broker-dealer or bank to another
- Brandon Joseph Cordiano from Morgan StanleySep 11, 2026 · Wirehouse to affiliated broker-dealer or bank
- Michael A. Eldridge from Equitable Advisors, LLCSep 10, 2026 · Affiliated broker-dealer or bank to another
- Matthew C Strickland from Raymond James Financial Services Advisors, IncSep 10, 2026 · Affiliated broker-dealer or bank to another
- David B Walker from Merrill Lynch, Pierce, Fenner & Smith IncorporatedSep 8, 2026 · Wirehouse to affiliated broker-dealer or bank
- John Ramsdell Lucas from UBS Financial Services Inc.Sep 3, 2026 · Wirehouse to affiliated broker-dealer or bank
- Jason Stephen Cheu from UBS Financial Services Inc.Sep 3, 2026 · Wirehouse to affiliated broker-dealer or bank
- Stephanie Wai Yi Wong from UBS Financial Services Inc.Sep 3, 2026 · Wirehouse to affiliated broker-dealer or bank
- Leo Kleban from Frazier Financial Advisors, LLCSep 3, 2026 · RIA to affiliated broker-dealer or bank
- Jason Martin Schlesinger from UBS Financial Services Inc.Sep 3, 2026 · Wirehouse to affiliated broker-dealer or bank
- Naveed Lalani from UBS Financial Services Inc.Sep 3, 2026 · Wirehouse to affiliated broker-dealer or bank
- Michael John Wiley from Morgan StanleySep 1, 2026 · Wirehouse to affiliated broker-dealer or bank
- Tod Andrew Drury from LPL Financial LLCSep 1, 2026 · Affiliated broker-dealer or bank to another
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for Steward Partners Investment Advisory, LLCSep 9, 2026 · Mount Laurel, Nj
- 2 left for J.P. Morgan Securities LLCAug 21, 2026 · Boca Raton, Fl
- 2 left for Janney Montgomery Scott LLCJul 16, 2026 · Coral Gables, Fl
- 4 left for Morgan StanleyJun 29, 2026 · Coral Gables, Fl
- 2 left for Raymond James Financial Services Advisors, IncJun 26, 2026 · St Petersburg, Fl
- 9 left for Raymond James Financial Services Advisors, IncJun 26, 2026 · Atlanta, Ga
- 2 left for UBS Financial Services Inc.May 15, 2026 · Washington, Dc
- 4 left for Concurrent Investment Advisors, LLCMay 11, 2026 · Houston, Tx
- 3 joined from UBS Financial Services Inc.Sep 11, 2026 · Mill Valley, Ca
- 3 joined from Stifel, Nicolaus & Company, IncorporatedSep 2, 2026 · Bellevue, Wa
- 4 joined from Dmkc Advisory Services, LLCAug 31, 2026 · Des Moines, Ia
- 2 joined from UBS Financial Services Inc.Aug 27, 2026 · Pepper Pike, Oh
- 2 joined from UBS Financial Services Inc.Aug 25, 2026 · Livonia, Mi
- 2 joined from Morgan StanleyAug 24, 2026 · Indianapolis, In
- 3 joined from Ameriprise Financial Services, LLCAug 21, 2026 · Kaysville, Ut
- 3 joined from Wells Fargo AdvisorsAug 11, 2026 · Westlake, Oh
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Morgan Keegan Private Equity Fund Of Fund II Holdings, LPno longer reported | Private Equity Fund | $17.8M | 200 | Dec 20, 2019 |
Owners and control persons
Schedule A and B, latest filing
- Suzanne Elizabeth Auletta · Directorcontrolsince 08/2021 · owns less than 5%
- Shawn Joseph Barko · Chief Compliance Officercontrolsince 12/2017 · owns less than 5%
- James Edward Bunn · Directorcontrolsince 03/2019 · owns less than 5%
- Scott Curtis · Directorcontrolsince 03/2019 · owns less than 5%
- Tashtego Spring Elwyn · President - Chief Executive Officer Directorcontrolsince 02/2014 · owns less than 5%
- Kim Rachelle Jenson · Chief Operating Officercontrolsince 07/2017 · owns less than 5%
- Marshall Farrokh Ollia · Principal Financial Officer / Finop, Chief Financial Officer, Director, Treasurercontrolsince 04/2018 · owns less than 5%
- Keith G Rust · Director, Principal Operations Officercontrolsince 10/2021 · owns less than 5%
- James Philip Sickling · Directorcontrolsince 03/2019 · owns less than 5%
- Vincent John Campagnoli · Chief Information Officersince 06/2016 · owns less than 5%
- Philip Roger Martin · Ria Chief Compliance Officersince 12/2019 · owns less than 5%
- Jonathan Santelli · General Counsel / Secretarysince 05/2016 · owns less than 5%
Entity owners
- Raymond James Financial, Inc. · Holding Companydirect · owns 75% or more · 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
- Chartwell Investment Partners, LLCinvestment advisernRAUM $13B
- Clarivest Asset Management LLCinvestment advisernRAUM $3.0B
- Cougar Global Investmentsinvestment advisernRAUM $1.5B
- Eagle Asset Management Incinvestment advisernRAUM $61B
- Raymond James (USA) Ltdbroker-dealerinvestment advisernRAUM $2.0B
- Raymond James Affordable Housing Investmentsn
- Raymond James Asset Management International S.A.investment advisern
- Raymond James Bankn
- Raymond James Euro Equities Sasbroker-dealern
- Raymond James Financial Planning Limitedreal estaten
- Raymond James Financial Services Advisors, Incinvestment advisernRAUM $390B
- Raymond James Financial Services, Inc.broker-dealercustodiann
- Raymond James Insurance Group, Inc.real estaten
- Raymond James Investment Services Limitedbroker-dealern
- Raymond James Ltd.broker-dealerinvestment advisern
- Raymond James Trust (Canada)n
- Raymond James Trust Company Of New Hampshirecustodiann
- Raymond James Trust, N.A.custodiann
- Scout Investments, Inc.investment advisernRAUM $37B
- Sumridge Partners, LLCbroker-dealern
- Tristate Capital Bankn
Advisers that list Raymond James & Associates, Inc. as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| St Petersburg, Fl | 887 | 107 | 25 | 1 | |
| Memphis, Tn | 154 | 4 | 4 | ||
| New York, Ny | 148 | 8 | 2 | ||
| Atlanta, Ga | 107 | 14 | 9 | 1 | |
| Houston, Tx | 100 | 7 | 5 | 1 | |
| Coral Gables, Fl | 97 | 9 | 6 | 2 | |
| Tampa, Fl | 96 | 13 | 3 | ||
| Chicago, Il | 84 | 6 | 6 | 1 | |
| Miami, Fl | 82 | 7 | 5 | ||
| Boca Raton, Fl | 73 | 7 | 3 | 1 | |
| St Louis, Mo | 71 | 9 | 2 | ||
| Dallas, Tx | 67 | 6 | 1 | ||
| Birmingham, Mi | 65 | 11 | 3 | ||
| Louisville, Ky | 60 | 6 | 1 | ||
| Denver, Co | 56 | 7 | 1 | ||
| Birmingham, Al | 55 | 6 | 3 | ||
| Beverly Hills, Ca | 55 | 10 | 1 | 1 | |
| Nashville, Tn | 55 | 3 | 0 | ||
| Scottsdale, Az | 51 | 4 | 1 | ||
| Jacksonville, Fl | 51 | 4 | 3 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Coral Gables, FL84 employees
- Memphis, TN74 employees
- St. Louis, MO65 employees
- Boca Raton, FL58 employees
- New York, NY57 employees
- Louisville, KY56 employees
- Houston, TX55 employees
- Birmingham, MI51 employees
- Atlanta, GA51 employees
- Miami, FL51 employees
- Birmingham, AL48 employees
- Beverly Hills, CA47 employees
- Chicago, IL46 employees
- Nashville, TN39 employees
- Saint Petersburg, FL38 employees
- Farmington Hills, MI36 employees
- Carmel, IN35 employees
- New York, NY35 employees
- Ponte Vedra Beach, FL35 employees
- Orlando, FL32 employees
- Newport Beach, CA31 employees
- Jacksonville, FL29 employees
- Scottsdale, AZ29 employees
- Fort Worth, TX28 employees
- Saint Petersburg, FL27 employees
What changed
consecutive filings, newest first
- Financial planning clients · More than 500 to More than 500Jun 26, 2026 to Sep 14, 2026
- Succession · false to unsetJun 26, 2026 to Sep 14, 2026
- Accounts · 1,070,028 to 1,143,145Oct 31, 2025 to Dec 23, 2025
- Advisory employees · 5,537 to 5,683Oct 31, 2025 to Dec 23, 2025
- BD registered reps · 7,766 to 7,870Oct 31, 2025 to Dec 23, 2025
- Charity clients · 207 to 196Oct 31, 2025 to Dec 23, 2025
- Corporate clients · 6,883 to 7,358Oct 31, 2025 to Dec 23, 2025
- HNW clients · 85,994 to 99,598Oct 31, 2025 to Dec 23, 2025
- Individual clients · 402,895 to 413,527Oct 31, 2025 to Dec 23, 2025
- Pension plan clients · 10,124 to 9,726Oct 31, 2025 to Dec 23, 2025
- Assets in custody · $233B to $270BOct 31, 2025 to Dec 23, 2025
- Employees · 13,966 to 16,780Oct 31, 2025 to Dec 23, 2025
- Financial planning clients · 251-500 to More than 500Oct 31, 2025 to Dec 23, 2025
- State-registered IARs · 5,537 to 5,683Oct 31, 2025 to Dec 23, 2025
- Other offices · 635 to 817Oct 31, 2025 to Dec 23, 2025
- Discretionary RAUM · $328B to $379BOct 31, 2025 to Dec 23, 2025
- HNW RAUM · $242B to $289BOct 31, 2025 to Dec 23, 2025
- Individual RAUM · $110B to $116BOct 31, 2025 to Dec 23, 2025
- Non-discretionary RAUM · $106B to $122BOct 31, 2025 to Dec 23, 2025
- Pension RAUM · $40B to $46BOct 31, 2025 to Dec 23, 2025
- RAUM · $434B to $501BOct 31, 2025 to Dec 23, 2025
- Wrap assets (sponsor) · $84B to $97BOct 31, 2025 to Dec 23, 2025
- Financial planning clients · 251-500 to 251-500Jun 30, 2025 to Jul 16, 2025
- Accounts · 992,551 to 1,070,028Nov 22, 2024 to Dec 20, 2024
- Advisory employees · 5,254 to 5,537Nov 22, 2024 to Dec 20, 2024
- BD registered reps · 7,177 to 7,766Nov 22, 2024 to Dec 20, 2024
- Charity clients · 218 to 207Nov 22, 2024 to Dec 20, 2024
- Corporate clients · 6,546 to 6,883Nov 22, 2024 to Dec 20, 2024
- HNW clients · 63,518 to 85,994Nov 22, 2024 to Dec 20, 2024
- Individual clients · 399,810 to 402,895Nov 22, 2024 to Dec 20, 2024
- Pension plan clients · 9,140 to 10,124Nov 22, 2024 to Dec 20, 2024
- Assets in custody · $183B to $233BNov 22, 2024 to Dec 20, 2024
- Employees · 12,793 to 13,966Nov 22, 2024 to Dec 20, 2024
- Financial planning clients · More than 500 to 251-500Nov 22, 2024 to Dec 20, 2024
- State-registered IARs · 5,254 to 5,537Nov 22, 2024 to Dec 20, 2024
- Discretionary RAUM · $250B to $328BNov 22, 2024 to Dec 20, 2024
- HNW RAUM · $169B to $242BNov 22, 2024 to Dec 20, 2024
- Individual RAUM · $100B to $110BNov 22, 2024 to Dec 20, 2024
- Non-discretionary RAUM · $100B to $106BNov 22, 2024 to Dec 20, 2024
- Pension RAUM · $30B to $40BNov 22, 2024 to Dec 20, 2024
Signals
60 dated events
- Stacey Lee Bendfelt no longer holds an investment adviser registration (last listed at Raymond James & Associates, Inc. on the 2026-09-16 feed)Sep 16, 2026 · Advisor registration ended · derived
- Maria C Schnirman registered as an investment adviser representative at Raymond James & Associates, Inc.Sep 16, 2026 · Advisor registered · fact
- Madison L Wood registered as an investment adviser representative at Raymond James & Associates, Inc.Sep 16, 2026 · Advisor registered · fact
- Joseph Earl Andrews added a TX registration at Raymond James & Associates, Inc.Sep 16, 2026 · New state registration · fact
- Joshua T Mocilan no longer holds an investment adviser registration (last listed at Raymond James & Associates, Inc. on the 2026-09-15 feed)Sep 15, 2026 · Advisor registration ended · derived
- Melissa A Stacy registered as an investment adviser representative at Raymond James & Associates, Inc.Sep 15, 2026 · Advisor registered · fact
- Drake A Bayard registered as an investment adviser representative at Raymond James & Associates, Inc.Sep 15, 2026 · Advisor registered · fact
- Philip Austin Jordan added a TX registration at Raymond James & Associates, Inc.Sep 15, 2026 · New state registration · fact
- David Eugene Williams added a TX registration at Raymond James & Associates, Inc.Sep 15, 2026 · New state registration · fact
- Baltasar Ruiz no longer holds an investment adviser registration (last listed at Raymond James & Associates, Inc. on the 2026-09-14 feed)Sep 14, 2026 · Advisor registration ended · derived
- Chad Kimble no longer holds an investment adviser registration (last listed at Raymond James & Associates, Inc. on the 2026-09-14 feed)Sep 14, 2026 · Advisor registration ended · derived
- Erin Shalia Maria Mouratoff no longer holds an investment adviser registration (last listed at Raymond James & Associates, Inc. on the 2026-09-14 feed)Sep 14, 2026 · Advisor registration ended · derived
- Staci Pollock no longer holds an investment adviser registration (last listed at Raymond James & Associates, Inc. on the 2026-09-14 feed)Sep 14, 2026 · Advisor registration ended · derived
- Lamont Nicholas Corprew no longer holds an investment adviser registration (last listed at Raymond James & Associates, Inc. on the 2026-09-14 feed)Sep 14, 2026 · Advisor registration ended · derived
- Caroline D Wilson registered as an investment adviser representative at Raymond James & Associates, Inc.Sep 14, 2026 · Advisor registered · fact
- 3 advisors left UBS Financial Services Inc. (Mill Valley, CA) for Raymond James & Associates, Inc. on the same daySep 11, 2026 · Team lift-out · derived
- Evan S Brooks left Raymond James & Associates, Inc. for Stifel, Nicolaus & Company, Incorporated (registered 2026-09-08)Sep 9, 2026 · Advisor changed firm · fact
- Jessica C Deluca left Raymond James & Associates, Inc. for Steward Partners Investment Advisory, Llc (registered 2026-09-09)Sep 9, 2026 · Advisor changed firm · fact
- Thomas Carl O'Neill left Raymond James & Associates, Inc. for Steward Partners Investment Advisory, Llc (registered 2026-09-10)Sep 9, 2026 · Advisor changed firm · fact
- William Cleaver left Raymond James & Associates, Inc. for Morgan Stanley (registered 2026-09-04)Sep 9, 2026 · Advisor changed firm · fact
- Thomas C O'Neill left Raymond James & Associates, Inc. for Steward Partners Investment Advisory, Llc (registered 2026-09-09)Sep 9, 2026 · Advisor changed firm · fact
- 3 advisors left Raymond James & Associates, Inc. (Mount Laurel, NJ) for Steward Partners Investment Advisory, LLC on the same daySep 9, 2026 · Team lift-out · derived
- 3 advisors left Stifel, Nicolaus & Company, Incorporated (Bellevue, WA) for Raymond James & Associates, Inc. on the same daySep 2, 2026 · Team lift-out · derived
- Jose Rene Velez left Raymond James & Associates, Inc. for Raymond James Financial Services Advisors, Inc (registered 2026-09-01)Aug 31, 2026 · Advisor changed firm · fact
- 4 advisors left Dmkc Advisory Services, LLC (Des Moines, IA) for Raymond James & Associates, Inc. on the same dayAug 31, 2026 · Team lift-out · derived
- 2 advisors left UBS Financial Services Inc. (Pepper Pike, OH) for Raymond James & Associates, Inc. on the same dayAug 27, 2026 · Team lift-out · derived
- Robert Liddy Zolper left Raymond James & Associates, Inc. for Rbc Capital Markets, Llc (registered 2026-09-02)Aug 26, 2026 · Advisor changed firm · fact
- Ryan P Jordan left Raymond James & Associates, Inc. for Lpl Financial Llc (registered 2026-08-24)Aug 25, 2026 · Advisor changed firm · fact
- William Joshua Parsons left Raymond James & Associates, Inc. for Capital Investment Advisory Services, Llc (registered 2026-08-25)Aug 25, 2026 · Advisor changed firm · fact
- Jose F Zuleta left Raymond James & Associates, Inc. for J.P. Morgan Securities Llc (registered 2026-09-09)Aug 25, 2026 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
- Raymond James & Associates, Inc. · Independent Sponsorsshared crd · intermediary
- Raymond James & Associates, Inc. · Private Equityshared crd · organization
- Raymond James & Associates, Inc. · Venture Capitalshared crd · org
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/RAYMOND-JAMES-FINANCIAL-INC-reportedpublic record, Form ADV, Sep 17, 2026
- Website
- ALEXBROWN.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 727-567-1000reportedpublic record, Form ADV, Sep 14, 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
- National broker-dealer RIAderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $86.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
Raymond James & Associates, Inc. is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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