{ "crd_number": 174904, "slug": "raymond-james-investment-management-st-petersburg-fl-174904", "primary_business_name": "RAYMOND JAMES INVESTMENT MANAGEMENT", "legal_name": "CARILLON TOWER ADVISERS, INC.", "dbas": [ "RAYMOND JAMES INVESTMENT MANAGEMENT" ], "city": "St Petersburg", "state": "FL", "country": "United States", "cbsa_code": "45300", "metro": { "cbsa_code": "45300", "common_name": "Tampa", "msa_name": "Tampa-St. Petersburg-Clearwater, FL", "path": "/advisors/fl/tampa" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2015-07-06", "years_registered": 11, "period": "2026-10-01", "filing_date": "2026-05-26", "carried_forward": false, "raum_total": 16864326714.0, "raum_discretionary": 16864326714.0, "raum_non_discretionary": 0.0, "raum_band": "over_5b", "raum_band_label": "Over $5 billion", "total_employees": 175, "advisory_employees": 5, "client_count_bucket": "fewer_than_5_in_some_types", "clients_by_type": { "individuals": { "raum": 294291.0, "count": 1, "fewer_than_5": true }, "investment_companies": { "raum": 16863353533.0, "count": 1 }, "high_net_worth_individuals": { "raum": 316503.0, "count": 1, "fewer_than_5": true }, "pooled_investment_vehicles": { "raum": 362387.0, "count": 2 } }, "compensation_types": [ "percentage_of_aum", "performance_based" ], "advisory_activities": [ "portfolio_management_individuals", "portfolio_management_investment_companies", "portfolio_management_pooled_vehicles" ], "wrap_fee_participant": false, "disclosure_yes_count": 6, "states_registered": [ "AK", "AL", "AR", "AZ", "CA", "CO", "CT", "DC", "DE", "FL", "GA", "HI", "IA", "ID", "IL", "IN", "KS", "KY", "LA", "MA", "MD", "ME", "MI", "MN", "MO", "MS", "MT", "NC", "ND", "NE", "NH", "NJ", "NM", "NV", "NY", "OH", "OK", "OR", "PA", "PR", "RI", "SC", "SD", "TN", "TX", "UT", "VA", "VT", "WA", "WI", "WV", "WY" ], "websites": [ "https://carillontower.com", "https://cougarglobal.com", "https://eagleasset.com", "https://linkedin.com/COMPANY/CARILLONTOWER", "https://reamsasset.com", "https://scoutinv.com", "https://twitter.com/CARILLON_TOWER" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/174904", "disclosure_items": [ { "item": "11.C(1)", "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate made a false statement or omission?" }, { "item": "11.C(2)", "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?" }, { "item": "11.C(4)", "question": "Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?" }, { "item": "11.C(5)", "question": "Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?" }, { "item": "11.D(2)", "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?" }, { "item": "11.E(2)", "question": "Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?" } ], "city_as_filed": "ST PETERSBURG", "url": "https://advisorcensus.com/firm/raymond-james-investment-management-st-petersburg-fl-174904", "display_name": "Raymond James Investment Management", "summary": "Raymond James Investment Management is an SEC-registered investment advisory firm in St Petersburg, FL, registered since 2015, reporting over $5 billion in regulatory assets under management in its Form ADV filing dated May 26, 2026.", "citation": "AdvisorCensus. Raymond James Investment Management (CRD 174904): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Performance-based fees" ], "advisory_activity_labels": [ "Portfolio management for individuals and/or small businesses", "Portfolio management for investment companies (and business development companies)", "Portfolio management for pooled investment vehicles (other than investment companies)" ], "quick_answers": [ { "q": "How is Raymond James Investment Management compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Raymond James Investment Management reports these compensation arrangements: a percentage of assets under its management; performance-based fees. The amounts are in Item 5 of its Form ADV Part 2A brochure." }, { "q": "Where is Raymond James Investment Management located?", "a": "Raymond James Investment Management's principal office is in St Petersburg, FL, according to its Form ADV; the June 2026 filing also lists 2 other offices (Schedule D, Section 1.F)." }, { "q": "Is Raymond James Investment Management registered with the SEC or a state?", "a": "Raymond James Investment Management is an SEC-registered investment advisory firm, registered since 2015. Status as filed: Approved. CRD 174904." }, { "q": "How much does Raymond James Investment Management manage?", "a": "Raymond James Investment Management reports $16,864,326,714 in regulatory assets under management in its Form ADV filing dated May 26, 2026 (100% discretionary)." }, { "q": "How have Raymond James Investment Management's assets and staff changed since 2021?", "a": "In the Form ADV data for Raymond James Investment Management: Regulatory assets under management: $17,299,143,362 in the October 2021 data and $16,864,326,714 in the October 2026 data, down 3%. Total employees: 130 in October 2021 and 175 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Raymond James Investment Management serve?", "a": "By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (2); individuals (other than high net worth individuals) (1); high net worth individuals (1)." }, { "q": "Does Raymond James Investment Management report any disciplinary disclosures?", "a": "Reports 6 disclosure items on Form ADV Item 11: yes answers to 11.C(1) (SEC or CFTC finding of a false statement or omission), 11.C(2) (SEC or CFTC finding of a violation), 11.C(4) (SEC or CFTC order), 11.C(5) (SEC or CFTC civil money penalty or cease-and-desist order), 11.D(2) (another regulator's finding of a violation), and 11.E(2) (self-regulatory organization's finding of a rule violation). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/174904" }, { "q": "What changed in Raymond James Investment Management's recent Form ADV filings?", "a": "In the January 2026 filing data: Employees performing advisory functions went from 2 to 5. Updated its list of owners and control persons (Schedule A)." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 17299143362.0, "total_employees": 130, "filing_date": "2021-09-09" }, { "period": "2022-10-01", "regulatory_assets_under_management": 20770162158.0, "total_employees": 171, "filing_date": "2022-09-30" }, { "period": "2023-10-01", "regulatory_assets_under_management": 15356334967.0, "total_employees": 171, "filing_date": "2022-12-06" }, { "period": "2024-10-01", "regulatory_assets_under_management": 15583226400.0, "total_employees": 173, "filing_date": "2024-06-25" }, { "period": "2025-10-01", "regulatory_assets_under_management": 16378977378.0, "total_employees": 173, "filing_date": "2024-12-11" }, { "period": "2026-10-01", "regulatory_assets_under_management": 16864326714.0, "total_employees": 175, "filing_date": "2026-05-26" } ], "recent_changes": [ { "period": "2026-01-01", "period_label": "January 2026", "notes": [ "Employees performing advisory functions went from 2 to 5.", "Updated its list of owners and control persons (Schedule A)." ] } ], "fees_from_brochure": null, "custodians": [], "custodians_note": null, "markdown_url": "https://advisorcensus.com/firm/raymond-james-investment-management-st-petersburg-fl-174904.md", "clients": [ { "type": "individuals", "label": "Individuals (other than high net worth individuals)", "count": 1, "fewer_than_5": true, "raum": 294291.0 }, { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 1, "fewer_than_5": true, "raum": 316503.0 }, { "type": "investment_companies", "label": "Investment companies", "count": 1, "fewer_than_5": false, "raum": 16863353533.0 }, { "type": "pooled_investment_vehicles", "label": "Pooled investment vehicles (other than investment companies and business development companies)", "count": 2, "fewer_than_5": false, "raum": 362387.0 } ], "disclosure_line": "Reports 6 disclosure items on Form ADV Item 11.", "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/174904", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }