RAYMOND JAMES & ASSOCIATES

ST PETERSBURG, FL · CIK 1084208 · 13F filing filed 2026-08-14

SEC-registered investment adviser since 1974 · corporation

Assets managed$501.0bn
Staff16,780 · 5,683 in investment roles
Main clients (by assets)High net worth individuals 58%, Individuals 23%, Pension plans 9%
Main officeSt. Petersburg, FL
Websitealexbrown.com
Form ADV · 2026-09-25SEC adviser record

Legal entityRAYMOND JAMES & ASSOCIATES, INC. (US)

For Q2 2026 this manager filed a 13F notice: its holdings were reported by another manager.

Stakes above 5%

Companies where this manager has reported owning more than 5% of a class of shares, on Schedule 13D (may seek influence) or 13G (passive): its latest filing for each, from 19 Dec 2024 on.

Company	Ticker	Stake	Change	Schedule	Last filed
HIGHLAND GLOBAL ALLOCATION F HGLB · 13G · filed 2026-08-03	HGLB	9.5%≈ $16.7m	-0.6 pts	13G	2026-08-03
PERMA-PIPE INTL HLDGS INC PPIH · 13G · filed 2026-01-07	PPIH	6.8%≈ $15.1m	-0.8 pts	13G	2026-01-07
ROCKY BRANDS INC RCKY · 13G · filed 2026-01-07	RCKY	6.4%≈ $19.8m		13G	2026-01-07
FLAHERTY & CRUMRINE DYNAMIC DFP · 13G · filed 2025-10-22	DFP	5.6%≈ $23.6m	new	13G	2025-10-22
VOYA ASIA PAC HIGH DIV EQT I XIAEX · 13G · filed 2026-08-03	XIAEX	5.1%≈ $5.6m	+3.6 pts	13G	2026-08-03
SPROTT PHYSICAL PLAT PALLAD SPPP · 13G · filed 2025-10-23	SPPP	5.1%≈ $6.3m	new	13G	2025-10-23