RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC.

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Raymond James Financial Services Advisors is based out of St. Petersburg. Raymond James Financial Services Advisors is a large advisory firm with 189787 clients and discretionary assets under management (AUM) of $59,236,683,085 (Form ADV from 2018-04-01). Their last reported 13F filing for Q3 2019 included $27,561,648,000 in managed 13F securities and a top 10 holdings concentration of 15.21%. Raymond James Financial Services Advisors's largest holding is iShares Edge MSCI Min Vol USA ETF with shares held of 9,276,370. Whalewisdom has at least 44 13F filings

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09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $27.562 Billion
  • Prior Market Value $26.055 Billion
  • New Purchases156 stocks
  • Additional Purchases1376 stocks
  • Sold out of191 stocks
  • Reduced holdings in1159 stocks
  • Top 10 Holdings % 15.21 %
  • Turnover % [1]:12.41%
  • Turnover Alt % [2]: 8.59 %
  • Time Held Top20:10.00 quarters
  • Time Held Top10:7.10 quarters
  • Time Held All:13.13 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-11-14

Performance for Q3 2019: 7.24%
Performance Last 4 Quarters: 0.0%
Performance Metrics
Stats are not available for the latest quarter

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13F Filings Available:
  • 2019-09-30 - 13F-HR (Subscription required)
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)
  • 2016-09-30 - 13F-HR (Subscription required)
  • 2016-06-30 - 13F-HR (Subscription required)
  • 2016-03-31 - 13F-HR/A (Subscription required)
  • 2016-03-31 - 13F-HR (Subscription required)
  • 2015-12-31 - 13F-HR (Subscription required)
  • 2015-09-30 - 13F-HR (Subscription required)
  • 2015-06-30 - 13F-HR (Subscription required)
  • 2015-03-31 - 13F-HR (Subscription required)
  • 2014-12-31 - 13F-HR (Subscription required)
  • 2014-09-30 - 13F-HR (Subscription required)
  • 2014-06-30 - 13F-HR (Subscription required)
  • 2014-03-31 - 13F-HR (Subscription required)
  • 2013-12-31 - 13F-HR (Subscription required)
  • 2013-09-30 - 13F-HR (Subscription required)
  • 2013-06-30 - 13F-HR (Subscription required)
  • 2013-03-31 - 13F-HR (Subscription required)
  • 2012-12-31 - 13F-HR (Subscription required)
  • 2012-09-30 - 13F-HR (Subscription required)
  • 2012-06-30 - 13F-HR (Subscription required)
  • 2012-03-31 - 13F-HR (Subscription required)
  • 2011-12-31 - 13F-HR (Subscription required)
  • 2011-09-30 - 13F-HR (Subscription required)
  • 2011-06-30 - 13F-HR (Subscription required)
  • 2011-03-31 - 13F-HR (Subscription required)
  • 2010-12-31 - 13F-HR (Subscription required)
  • 2010-09-30 - 13F-HR (Subscription required)
  • 2010-06-30 - 13F-HR (Subscription required)
  • 2010-03-31 - 13F-HR (Subscription required)
  • 2009-12-31 - 13F-HR (Subscription required)
  • 2009-09-30 - 13F-HR (Subscription required)
  • 2009-06-30 - 13F-HR (Subscription required)
  • 2009-03-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
880 CARILLON PARKWAY
SAINT PETERSBURG FL    33716
Country: United States

Business Phone: 727-567-3020
Fax: 727-567-8765
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Corporation
Organized in: FL
Number of employees: 6224
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Hourly charges,Fixed fees,Commissions,PER PARTICIPANT (ERISA)
Amount of client funds and securities:
Total Number of Clients: 189787
Amount of client funds and securities by related persons: 103,640,000,000
Total Number of clients from related persons: 189785
Disclosures: 11.C (1),11.C (2),11.C (4),11.C (5),11.D (1),11.D (2),11.D (4),11.E (1),11.E (2),11.G
Data above was derived from SEC filings.

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RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

ownership team - last updated 2019-06-26
Name Title Start Date Direct/Indirect % Ownership
RAYMOND JAMES FINANCIAL, INC. CORPORATION 09/01/1973 Direct 75% or more
Fund Name Position direct/indirect start date end date
RAYMOND JAMES & ASSOCIATES, INC. HOLDING COMPANY direct 1972-02-01
RAYMOND JAMES FINANCIAL SERVICES, INC. CORPORATION direct 1973-09-01
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC CORPORATION direct 1973-09-01
HERITAGE ASSET MANAGEMENT INC SHAREHOLDER direct 1984-07-01
EAGLE ASSET MANAGEMENT INC SHAREHOLDER direct 1984-07-01
EAGLE BOSTON INVESTMENT MANAGMENT, INC. PARENT OF EAGLE indirect 1984-07-01
RAYMOND JAMES (USA) LTD SHAREHOLDER indirect 2001-01-01
MACDOUGALL INVESTMENT COUNSEL, INC. SHAREHOLDER indirect 2001-01-01
HOWE BARNES CAPITAL MANAGEMENT, INC. SOLE OWNER indirect 2011-04-01
MORGAN KEEGAN & COMPANY, INC. PARENT direct 2012-04-01
MORGAN KEEGAN FUND MANAGEMENT, INC. INDIRECT OWNER indirect 2012-04-01
CLARIVEST ASSET MANAGEMENT LLC SHAREHOLDER indirect 2012-12-01
CARILLON TOWER ADVISERS, INC. SHAREHOLDER direct 2014-12-01
COUGAR GLOBAL INVESTMENTS LIMITED SHAREHOLDER direct 2015-04-01
HAAS, MARY, ELIZABETH CORPORATE SECRETARY 05/01/1981 Direct less than 5%
Fund Name Position direct/indirect start date end date
RAYMOND JAMES FINANCIAL SERVICES, INC. CORPORATE SECRETARY direct 1981-05-01
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC CORPORATE SECRETARY direct 1981-05-01
TREMAINE, THOMAS, ROBERT DIRECTOR 11/01/2002 Direct less than 5%
Fund Name Position direct/indirect start date end date
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC DIRECTOR direct 2002-11-01
RAYMOND JAMES FINANCIAL SERVICES, INC. DIRECTOR direct 2002-11-01
RAYMOND JAMES & ASSOCIATES, INC. EXECUTIVE VICE PRESIDENT, DIRECTOR, CHIEF OPERATIONS OFFICER direct 2004-05-01
RAYMOND JAMES & ASSOCIATES, INC. SR VICE PRESIDENT OPERATIONS & ADMINISTRATION direct 1998-11-01 2002-01-02
RAYMOND JAMES & ASSOCIATES, INC. EXECUTIVE VICE PRESIDENT, DIRECTOR direct 2004-01-01 2004-05-27
RAYMOND JAMES & ASSOCIATES, INC. EXECUTIVE VICE PRESIDENT, DIRECTOR,CHIEF OPERATIONS OFFICER direct 2004-05-01 2005-01-25
RAYMOND JAMES & ASSOCIATES, INC. EXECUTIVE VICE PRESIDENT, DIRECTOR direct 2004-05-01 2012-11-07
CURTIS, SCOTT PRESIDENT, DIRECTOR 01/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC PRESIDENT direct 2012-01-01
CAMPAGNOLI, VINCENT, JOHN DIRECTOR 02/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
RAYMOND JAMES & ASSOCIATES, INC. CHIEF INFORMATION OFFICER direct 2016-06-01
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC DIRECTOR direct 2014-02-01
GEIS, WILLIAM, CHRISTIAN DIRECTOR 05/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC DIRECTOR direct 2014-05-01
SANTELLI, JONATHAN GENERAL COUNSEL 05/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
RAYMOND JAMES & ASSOCIATES, INC. CHIEF LEGAL OFFICER / SECRETARY direct 2016-05-01
FIRST REPUBLIC SECURITIES COMPANY, LLC DIRECTOR direct 2014-01-01
FIRST REPUBLIC INVESTMENT MANAGEMENT, INC. DEPUTY GENERAL COUNSEL direct 2013-10-01
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC CHIEF LEGAL OFFICER direct 2016-05-01
KILLGOAR, TIMOTHY, ROBERT DIRECTOR 05/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC DIRECTOR direct 2017-05-01
THURSTON, CHRISTOPHER, S CHIEF COMPLIANCE OFFICER 02/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
JANNEY MONTGOMERY SCOTT LLC INVESTMENT ADVISOR CCO direct 2015-09-01
JANNEY CAPITAL MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2015-08-01
PERRY, JODI, LYNN DIRECTOR 02/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC DIRECTOR direct 2019-02-01
SHOUKRY, PAUL, MARONE TREASURER 02/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
RAYMOND JAMES & ASSOCIATES, INC. TREASURER direct 2018-04-01
JAMES, THOMAS, ALAN DIRECTOR, CHAIRMAN RAYMOND JAMES FINANCIAL, INC. 12/01/1970 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
RAYMOND JAMES FINANCIAL SERVICES, INC. DIRECTOR, CHAIRMAN & CEO indirect 1970-12-01
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC DIRECTOR, CHAIRMAN indirect 1970-12-01
EAGLE ASSET MANAGEMENT INC CHAIRMAN CEO indirect 1971-01-01
RAYMOND JAMES & ASSOCIATES, INC. DIRECTOR/CHAIRMAN OF THE BOARD direct 1972-01-01
EAGLE ASSET MANAGEMENT INC CHAIRMAN OF BOARD direct 1984-07-01
HERITAGE ASSET MANAGEMENT INC CHAIRMAN OF THE BOARD indirect 1985-06-01
HERITAGE ASSET MANAGEMENT INC NONE direct 1985-06-01 2004-12-09
AWAD ASSET MANAGEMENT, INC. DIRECTOR direct 2004-08-01 2007-08-01
AWAD ASSET MANAGEMENT, INC. CHAIRMAN, CEO indirect 1971-01-01 2010-03-31
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC DIRECTOR, CHAIRMAN & CEO indirect 1970-12-01 2010-12-22
RAYMOND JAMES & ASSOCIATES, INC. CHIEF EXECUTIVE OFFICER/DIRECTOR/CHAIRMAN OF THE BOARD direct 1972-01-01 2011-12-23
RAYMOND JAMES & ASSOCIATES, INC. CHIEF EXECUTIVE OFFICER/DIRECTOR/CHAIRMAN OF THE BOARD indirect 1970-12-01 2012-05-25

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

ownership team - last updated 2019-01-04
Name Title Start Date Direct/Indirect % Ownership
RAYMOND JAMES FINANCIAL, INC. CORPORATION 09/01/1973 Direct 75% or more
Fund Name Position direct/indirect start date end date
RAYMOND JAMES & ASSOCIATES, INC. HOLDING COMPANY direct 1972-02-01
RAYMOND JAMES FINANCIAL SERVICES, INC. CORPORATION direct 1973-09-01
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC CORPORATION direct 1973-09-01
HERITAGE ASSET MANAGEMENT INC SHAREHOLDER direct 1984-07-01
EAGLE ASSET MANAGEMENT INC SHAREHOLDER direct 1984-07-01
EAGLE BOSTON INVESTMENT MANAGMENT, INC. PARENT OF EAGLE indirect 1984-07-01
RAYMOND JAMES (USA) LTD SHAREHOLDER indirect 2001-01-01
MACDOUGALL INVESTMENT COUNSEL, INC. SHAREHOLDER indirect 2001-01-01
HOWE BARNES CAPITAL MANAGEMENT, INC. SOLE OWNER indirect 2011-04-01
MORGAN KEEGAN & COMPANY, INC. PARENT direct 2012-04-01
MORGAN KEEGAN FUND MANAGEMENT, INC. INDIRECT OWNER indirect 2012-04-01
CLARIVEST ASSET MANAGEMENT LLC SHAREHOLDER indirect 2012-12-01
CARILLON TOWER ADVISERS, INC. SHAREHOLDER direct 2014-12-01
COUGAR GLOBAL INVESTMENTS LIMITED SHAREHOLDER direct 2015-04-01
HAAS, MARY, ELIZABETH CORPORATE SECRETARY 05/01/1981 Direct less than 5%
Fund Name Position direct/indirect start date end date
RAYMOND JAMES FINANCIAL SERVICES, INC. CORPORATE SECRETARY direct 1981-05-01
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC CORPORATE SECRETARY direct 1981-05-01
TREMAINE, THOMAS, ROBERT DIRECTOR 11/01/2002 Direct less than 5%
Fund Name Position direct/indirect start date end date
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC DIRECTOR direct 2002-11-01
RAYMOND JAMES FINANCIAL SERVICES, INC. DIRECTOR direct 2002-11-01
RAYMOND JAMES & ASSOCIATES, INC. EXECUTIVE VICE PRESIDENT, DIRECTOR, CHIEF OPERATIONS OFFICER direct 2004-05-01
RAYMOND JAMES & ASSOCIATES, INC. SR VICE PRESIDENT OPERATIONS & ADMINISTRATION direct 1998-11-01 2002-01-02
RAYMOND JAMES & ASSOCIATES, INC. EXECUTIVE VICE PRESIDENT, DIRECTOR direct 2004-01-01 2004-05-27
RAYMOND JAMES & ASSOCIATES, INC. EXECUTIVE VICE PRESIDENT, DIRECTOR,CHIEF OPERATIONS OFFICER direct 2004-05-01 2005-01-25
RAYMOND JAMES & ASSOCIATES, INC. EXECUTIVE VICE PRESIDENT, DIRECTOR direct 2004-05-01 2012-11-07
FRANZ, RICHARD, BONAFIELD TREASURER; CHIEF FINANCIAL OFFICER 11/01/2002 Direct less than 5%
Fund Name Position direct/indirect start date end date
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC TREASURER; CHIEF FINANCIAL OFFICER direct 2002-11-01
RAYMOND JAMES FINANCIAL SERVICES, INC. TREASURER; CHIEF FINANCIAL OFFICER direct 2002-11-01
RAYMOND JAMES & ASSOCIATES, INC. CHIEF FINANCIAL OFFICER/TREASURER direct 2004-01-01
HOWE BARNES CAPITAL MANAGEMENT, INC. TREASURER / SENIOR VICE PRESIDENT direct 2011-05-01
RAYMOND JAMES & ASSOCIATES, INC. VICE PRESIDENT/TREASURER direct 1998-11-01 2002-01-02
RAYMOND JAMES & ASSOCIATES, INC. CHIEF FINANCIAL OFFICER direct 2003-10-01 2004-01-02
RAYMOND JAMES FINANCIAL SERVICES, INC. TREASURER direct 2002-11-01 2005-01-03
CURTIS, SCOTT, ALAN PRESIDENT 01/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC PRESIDENT direct 2012-01-01
SOCHINSKY, MARK, ALLEN ROSFP 04/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC ROSFP direct 2013-04-01
CAMPAGNOLI, VINCENT, JOHN DIRECTOR 02/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
RAYMOND JAMES & ASSOCIATES, INC. CHIEF INFORMATION OFFICER direct 2016-06-01
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC DIRECTOR direct 2014-02-01
GEIS, WILLIAM, CHRISTIAN DIRECTOR 05/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC DIRECTOR direct 2014-05-01
SANTELLI, JONATHAN CHIEF LEGAL OFFICER 05/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
RAYMOND JAMES & ASSOCIATES, INC. CHIEF LEGAL OFFICER / SECRETARY direct 2016-05-01
FIRST REPUBLIC SECURITIES COMPANY, LLC DIRECTOR direct 2014-01-01
FIRST REPUBLIC INVESTMENT MANAGEMENT, INC. DEPUTY GENERAL COUNSEL direct 2013-10-01
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC CHIEF LEGAL OFFICER direct 2016-05-01
KILLGOAR, TIMOTHY, ROBERT DIRECTOR 05/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC DIRECTOR direct 2017-05-01
THURSTON, CHRISTOPHER, S CHIEF COMPLIANCE OFFICER 02/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
JANNEY MONTGOMERY SCOTT LLC INVESTMENT ADVISOR CCO direct 2015-09-01
JANNEY CAPITAL MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2015-08-01
JAMES, THOMAS, ALAN DIRECTOR, CHAIRMAN RAYMOND JAMES FINANCIAL, INC. 12/01/1970 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
RAYMOND JAMES FINANCIAL SERVICES, INC. DIRECTOR, CHAIRMAN & CEO indirect 1970-12-01
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC DIRECTOR, CHAIRMAN indirect 1970-12-01
EAGLE ASSET MANAGEMENT INC CHAIRMAN CEO indirect 1971-01-01
RAYMOND JAMES & ASSOCIATES, INC. DIRECTOR/CHAIRMAN OF THE BOARD direct 1972-01-01
EAGLE ASSET MANAGEMENT INC CHAIRMAN OF BOARD direct 1984-07-01
HERITAGE ASSET MANAGEMENT INC CHAIRMAN OF THE BOARD indirect 1985-06-01
HERITAGE ASSET MANAGEMENT INC NONE direct 1985-06-01 2004-12-09
AWAD ASSET MANAGEMENT, INC. DIRECTOR direct 2004-08-01 2007-08-01
AWAD ASSET MANAGEMENT, INC. CHAIRMAN, CEO indirect 1971-01-01 2010-03-31
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC DIRECTOR, CHAIRMAN & CEO indirect 1970-12-01 2010-12-22
RAYMOND JAMES & ASSOCIATES, INC. CHIEF EXECUTIVE OFFICER/DIRECTOR/CHAIRMAN OF THE BOARD direct 1972-01-01 2011-12-23
RAYMOND JAMES & ASSOCIATES, INC. CHIEF EXECUTIVE OFFICER/DIRECTOR/CHAIRMAN OF THE BOARD indirect 1970-12-01 2012-05-25

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

ownership team - last updated 2018-12-21
Name Title Start Date Direct/Indirect % Ownership
RAYMOND JAMES FINANCIAL, INC. CORPORATION 09/01/1973 Direct 75% or more
Fund Name Position direct/indirect start date end date
RAYMOND JAMES & ASSOCIATES, INC. HOLDING COMPANY direct 1972-02-01
RAYMOND JAMES FINANCIAL SERVICES, INC. CORPORATION direct 1973-09-01
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC CORPORATION direct 1973-09-01
HERITAGE ASSET MANAGEMENT INC SHAREHOLDER direct 1984-07-01
EAGLE ASSET MANAGEMENT INC SHAREHOLDER direct 1984-07-01
EAGLE BOSTON INVESTMENT MANAGMENT, INC. PARENT OF EAGLE indirect 1984-07-01
RAYMOND JAMES (USA) LTD SHAREHOLDER indirect 2001-01-01
MACDOUGALL INVESTMENT COUNSEL, INC. SHAREHOLDER indirect 2001-01-01
HOWE BARNES CAPITAL MANAGEMENT, INC. SOLE OWNER indirect 2011-04-01
MORGAN KEEGAN & COMPANY, INC. PARENT direct 2012-04-01
MORGAN KEEGAN FUND MANAGEMENT, INC. INDIRECT OWNER indirect 2012-04-01
CLARIVEST ASSET MANAGEMENT LLC SHAREHOLDER indirect 2012-12-01
CARILLON TOWER ADVISERS, INC. SHAREHOLDER direct 2014-12-01
COUGAR GLOBAL INVESTMENTS LIMITED SHAREHOLDER direct 2015-04-01
HAAS, MARY, ELIZABETH CORPORATE SECRETARY 05/01/1981 Direct less than 5%
Fund Name Position direct/indirect start date end date
RAYMOND JAMES FINANCIAL SERVICES, INC. CORPORATE SECRETARY direct 1981-05-01
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC CORPORATE SECRETARY direct 1981-05-01
TREMAINE, THOMAS, ROBERT DIRECTOR 11/01/2002 Direct less than 5%
Fund Name Position direct/indirect start date end date
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC DIRECTOR direct 2002-11-01
RAYMOND JAMES FINANCIAL SERVICES, INC. DIRECTOR direct 2002-11-01
RAYMOND JAMES & ASSOCIATES, INC. EXECUTIVE VICE PRESIDENT, DIRECTOR, CHIEF OPERATIONS OFFICER direct 2004-05-01
RAYMOND JAMES & ASSOCIATES, INC. SR VICE PRESIDENT OPERATIONS & ADMINISTRATION direct 1998-11-01 2002-01-02
RAYMOND JAMES & ASSOCIATES, INC. EXECUTIVE VICE PRESIDENT, DIRECTOR direct 2004-01-01 2004-05-27
RAYMOND JAMES & ASSOCIATES, INC. EXECUTIVE VICE PRESIDENT, DIRECTOR,CHIEF OPERATIONS OFFICER direct 2004-05-01 2005-01-25
RAYMOND JAMES & ASSOCIATES, INC. EXECUTIVE VICE PRESIDENT, DIRECTOR direct 2004-05-01 2012-11-07
FRANZ, RICHARD, BONAFIELD TREASURER; CHIEF FINANCIAL OFFICER 11/01/2002 Direct less than 5%
Fund Name Position direct/indirect start date end date
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC TREASURER; CHIEF FINANCIAL OFFICER direct 2002-11-01
RAYMOND JAMES FINANCIAL SERVICES, INC. TREASURER; CHIEF FINANCIAL OFFICER direct 2002-11-01
RAYMOND JAMES & ASSOCIATES, INC. CHIEF FINANCIAL OFFICER/TREASURER direct 2004-01-01
HOWE BARNES CAPITAL MANAGEMENT, INC. TREASURER / SENIOR VICE PRESIDENT direct 2011-05-01
RAYMOND JAMES & ASSOCIATES, INC. VICE PRESIDENT/TREASURER direct 1998-11-01 2002-01-02
RAYMOND JAMES & ASSOCIATES, INC. CHIEF FINANCIAL OFFICER direct 2003-10-01 2004-01-02
RAYMOND JAMES FINANCIAL SERVICES, INC. TREASURER direct 2002-11-01 2005-01-03
CURTIS, SCOTT, ALAN PRESIDENT 01/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC PRESIDENT direct 2012-01-01
SOCHINSKY, MARK, ALLEN ROSFP 04/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC ROSFP direct 2013-04-01
CAMPAGNOLI, VINCENT, JOHN DIRECTOR 02/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
RAYMOND JAMES & ASSOCIATES, INC. CHIEF INFORMATION OFFICER direct 2016-06-01
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC DIRECTOR direct 2014-02-01
GEIS, WILLIAM, CHRISTIAN DIRECTOR 05/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC DIRECTOR direct 2014-05-01
SANTELLI, JONATHAN CHIEF LEGAL OFFICER 05/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
RAYMOND JAMES & ASSOCIATES, INC. CHIEF LEGAL OFFICER / SECRETARY direct 2016-05-01
FIRST REPUBLIC SECURITIES COMPANY, LLC DIRECTOR direct 2014-01-01
FIRST REPUBLIC INVESTMENT MANAGEMENT, INC. DEPUTY GENERAL COUNSEL direct 2013-10-01
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC CHIEF LEGAL OFFICER direct 2016-05-01
KILLGOAR, TIMOTHY, ROBERT DIRECTOR 05/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC DIRECTOR direct 2017-05-01
THURSTON, CHRISTOPHER, S CHIEF COMPLIANCE OFFICER 02/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
JANNEY MONTGOMERY SCOTT LLC INVESTMENT ADVISOR CCO direct 2015-09-01
JANNEY CAPITAL MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2015-08-01
JAMES, THOMAS, ALAN DIRECTOR, CHAIRMAN RAYMOND JAMES FINANCIAL, INC. 12/01/1970 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
RAYMOND JAMES FINANCIAL SERVICES, INC. DIRECTOR, CHAIRMAN & CEO indirect 1970-12-01
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC DIRECTOR, CHAIRMAN indirect 1970-12-01
EAGLE ASSET MANAGEMENT INC CHAIRMAN CEO indirect 1971-01-01
RAYMOND JAMES & ASSOCIATES, INC. DIRECTOR/CHAIRMAN OF THE BOARD direct 1972-01-01
EAGLE ASSET MANAGEMENT INC CHAIRMAN OF BOARD direct 1984-07-01
HERITAGE ASSET MANAGEMENT INC CHAIRMAN OF THE BOARD indirect 1985-06-01
HERITAGE ASSET MANAGEMENT INC NONE direct 1985-06-01 2004-12-09
AWAD ASSET MANAGEMENT, INC. DIRECTOR direct 2004-08-01 2007-08-01
AWAD ASSET MANAGEMENT, INC. CHAIRMAN, CEO indirect 1971-01-01 2010-03-31
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC DIRECTOR, CHAIRMAN & CEO indirect 1970-12-01 2010-12-22
RAYMOND JAMES & ASSOCIATES, INC. CHIEF EXECUTIVE OFFICER/DIRECTOR/CHAIRMAN OF THE BOARD direct 1972-01-01 2011-12-23
RAYMOND JAMES & ASSOCIATES, INC. CHIEF EXECUTIVE OFFICER/DIRECTOR/CHAIRMAN OF THE BOARD indirect 1970-12-01 2012-05-25

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

ownership team - last updated 2017-12-26
Name Title Start Date Direct/Indirect % Ownership
RAYMOND JAMES FINANCIAL, INC. CORPORATION 09/01/1973 Direct 75% or more
Fund Name Position direct/indirect start date end date
RAYMOND JAMES & ASSOCIATES, INC. HOLDING COMPANY direct 1972-02-01
RAYMOND JAMES FINANCIAL SERVICES, INC. CORPORATION direct 1973-09-01
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC CORPORATION direct 1973-09-01
HERITAGE ASSET MANAGEMENT INC SHAREHOLDER direct 1984-07-01
EAGLE ASSET MANAGEMENT INC SHAREHOLDER direct 1984-07-01
EAGLE BOSTON INVESTMENT MANAGMENT, INC. PARENT OF EAGLE indirect 1984-07-01
RAYMOND JAMES (USA) LTD SHAREHOLDER indirect 2001-01-01
MACDOUGALL INVESTMENT COUNSEL, INC. SHAREHOLDER indirect 2001-01-01
HOWE BARNES CAPITAL MANAGEMENT, INC. SOLE OWNER indirect 2011-04-01
MORGAN KEEGAN & COMPANY, INC. PARENT direct 2012-04-01
MORGAN KEEGAN FUND MANAGEMENT, INC. INDIRECT OWNER indirect 2012-04-01
CLARIVEST ASSET MANAGEMENT LLC SHAREHOLDER indirect 2012-12-01
CARILLON TOWER ADVISERS, INC. SHAREHOLDER direct 2014-12-01
COUGAR GLOBAL INVESTMENTS LIMITED SHAREHOLDER direct 2015-04-01
HAAS, MARY, ELIZABETH CORPORATE SECRETARY 05/01/1981 Direct less than 5%
Fund Name Position direct/indirect start date end date
RAYMOND JAMES FINANCIAL SERVICES, INC. CORPORATE SECRETARY direct 1981-05-01
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC CORPORATE SECRETARY direct 1981-05-01
TREMAINE, THOMAS, ROBERT DIRECTOR 11/01/2002 Direct less than 5%
Fund Name Position direct/indirect start date end date
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC DIRECTOR direct 2002-11-01
RAYMOND JAMES FINANCIAL SERVICES, INC. DIRECTOR direct 2002-11-01
RAYMOND JAMES & ASSOCIATES, INC. EXECUTIVE VICE PRESIDENT, DIRECTOR, CHIEF OPERATIONS OFFICER direct 2004-05-01
RAYMOND JAMES & ASSOCIATES, INC. SR VICE PRESIDENT OPERATIONS & ADMINISTRATION direct 1998-11-01 2002-01-02
RAYMOND JAMES & ASSOCIATES, INC. EXECUTIVE VICE PRESIDENT, DIRECTOR direct 2004-01-01 2004-05-27
RAYMOND JAMES & ASSOCIATES, INC. EXECUTIVE VICE PRESIDENT, DIRECTOR,CHIEF OPERATIONS OFFICER direct 2004-05-01 2005-01-25
RAYMOND JAMES & ASSOCIATES, INC. EXECUTIVE VICE PRESIDENT, DIRECTOR direct 2004-05-01 2012-11-07
FRANZ, RICHARD, BONAFIELD TREASURER; CHIEF FINANCIAL OFFICER 11/01/2002 Direct less than 5%
Fund Name Position direct/indirect start date end date
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC TREASURER; CHIEF FINANCIAL OFFICER direct 2002-11-01
RAYMOND JAMES FINANCIAL SERVICES, INC. TREASURER; CHIEF FINANCIAL OFFICER direct 2002-11-01
RAYMOND JAMES & ASSOCIATES, INC. CHIEF FINANCIAL OFFICER/TREASURER direct 2004-01-01
HOWE BARNES CAPITAL MANAGEMENT, INC. TREASURER / SENIOR VICE PRESIDENT direct 2011-05-01
RAYMOND JAMES & ASSOCIATES, INC. VICE PRESIDENT/TREASURER direct 1998-11-01 2002-01-02
RAYMOND JAMES & ASSOCIATES, INC. CHIEF FINANCIAL OFFICER direct 2003-10-01 2004-01-02
RAYMOND JAMES FINANCIAL SERVICES, INC. TREASURER direct 2002-11-01 2005-01-03
CURTIS, SCOTT, ALAN PRESIDENT 01/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC PRESIDENT direct 2012-01-01
SOCHINSKY, MARK, ALLEN ROSFP 04/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC ROSFP direct 2013-04-01
CAMPAGNOLI, VINCENT, JOHN DIRECTOR 02/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
RAYMOND JAMES & ASSOCIATES, INC. CHIEF INFORMATION OFFICER direct 2016-06-01
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC DIRECTOR direct 2014-02-01
GEIS, WILLIAM, CHRISTIAN DIRECTOR 05/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC DIRECTOR direct 2014-05-01
SANTELLI, JONATHAN CHIEF LEGAL OFFICER 05/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
RAYMOND JAMES & ASSOCIATES, INC. CHIEF LEGAL OFFICER / SECRETARY direct 2016-05-01
FIRST REPUBLIC SECURITIES COMPANY, LLC DIRECTOR direct 2014-01-01
FIRST REPUBLIC INVESTMENT MANAGEMENT, INC. DEPUTY GENERAL COUNSEL direct 2013-10-01
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC CHIEF LEGAL OFFICER direct 2016-05-01
LONTCHAR, MARK, NICHOLAS CCO-CHIEF COMPLIANCE OFFICER 03/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC CCO-CHIEF COMPLIANCE OFFICER direct 2017-03-01
KILLGOAR, TIMOTHY, ROBERT DIRECTOR 05/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC DIRECTOR direct 2017-05-01
JAMES, THOMAS, ALAN DIRECTOR, CHAIRMAN RAYMOND JAMES FINANCIAL, INC. 12/01/1970 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
RAYMOND JAMES FINANCIAL SERVICES, INC. DIRECTOR, CHAIRMAN & CEO indirect 1970-12-01
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC DIRECTOR, CHAIRMAN indirect 1970-12-01
EAGLE ASSET MANAGEMENT INC CHAIRMAN CEO indirect 1971-01-01
RAYMOND JAMES & ASSOCIATES, INC. DIRECTOR/CHAIRMAN OF THE BOARD direct 1972-01-01
EAGLE ASSET MANAGEMENT INC CHAIRMAN OF BOARD direct 1984-07-01
HERITAGE ASSET MANAGEMENT INC CHAIRMAN OF THE BOARD indirect 1985-06-01
HERITAGE ASSET MANAGEMENT INC NONE direct 1985-06-01 2004-12-09
AWAD ASSET MANAGEMENT, INC. DIRECTOR direct 2004-08-01 2007-08-01
AWAD ASSET MANAGEMENT, INC. CHAIRMAN, CEO indirect 1971-01-01 2010-03-31
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC DIRECTOR, CHAIRMAN & CEO indirect 1970-12-01 2010-12-22
RAYMOND JAMES & ASSOCIATES, INC. CHIEF EXECUTIVE OFFICER/DIRECTOR/CHAIRMAN OF THE BOARD direct 1972-01-01 2011-12-23
RAYMOND JAMES & ASSOCIATES, INC. CHIEF EXECUTIVE OFFICER/DIRECTOR/CHAIRMAN OF THE BOARD indirect 1970-12-01 2012-05-25

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