RAYMOND JAMES & ASSOCIATES, INC.

Company Profile

As of Date 09/25/2026
ADV Location United States, FL
Websites
AUM* 890,998,469,504 42%
of that, discretionary 550,421,687,027 50%
Number of Employees 26,455 39%
of those in investment advisory functions 11,707 6%
Private Fund GAV* 0
Avg Account Size 395,823 113%
High Net Worth 18.36% 42%
SMA’s Yes
Private Funds 0

Adviser Type

- Large advisory firm

Client Types

- Individuals (other than high net worth individuals)
- High net worth individuals
- Banking or thrift institutions
- Pension and profit sharing plans
- Charitable organizations
- State or municipal government entities
- Insurance companies
- Corporations or other businesses not listed above

Advisory Activities

- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses
- Pension consulting services
- Selection of other advisers
- Educational seminars/workshops

Compensation Arrangments

- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Commissions

Disclosure Reporting

11.C(1) SEC/CFTC found false statement
11.C(2) SEC/CFTC found violation
11.C(4) SEC/CFTC order in investment-related activity
11.C(5) SEC/CFTC civil penalty / cease and desist
11.D(1) Other regulator found dishonest/unethical
11.D(2) Other regulator found violation
11.D(4) Other regulator order (past 10 yrs)
11.D(5) Other regulator denied/suspended/revoked license
11.E(1) SRO found false statement
11.E(2) SRO found rule violation
11.E(4) SRO disciplined (expelled/suspended/barred)
11.G Currently subject to regulatory proceeding
View 110 DRP Records

Recent News

Reported AUM

550B 472B 393B 315B 236B 157B 79B
2015 2016 2017 2018 2019 2020 2021 2022 2023 2024 2025 2026
Discretionary
Non-discretionary

Private Funds

Employees

Form ADV-E Surprise Examination Reports

Accounting Firm Name Filing Date Form ADV-E
Accounting Firm Name KPMG LLP Filing Date08/20/2026 Form ADV-E View Report
Accounting Firm Name KPMG LLP Filing Date09/12/2025 Form ADV-E View Report
Accounting Firm Name KPMG Filing Date08/21/2024 Form ADV-E View Report
Accounting Firm Name KPMG LLP Filing Date09/27/2023 Form ADV-E View Report

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