RAYMOND JAMES & ASSOCIATES

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Raymond James & Associates is based out of St Petersburg. Raymond James & Associates is a large advisory firm with 356459 clients and discretionary assets under management (AUM) of $153,695,449,460 (Form ADV from 2019-03-01). Their last reported 13F filing for Q1 2020 included $62,984,582,000 in managed 13F securities and a top 10 holdings concentration of 24.77%. Raymond James & Associates's largest holding is iShares Core U.S. Aggregate Bond ETF-iShares Core U.S. Aggregate Bond ETF with shares held of 27,937,978. Whalewisdom has at least 80 13F filings, and 42 13G filings

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03/31/2020

13F Sector Allocation Over Time

03/31/2020

13F Activity

  • Market Value $62.985 Billion
  • Prior Market Value $78.791 Billion
  • New Purchases216 stocks
  • Additional Purchases1423 stocks
  • Sold out of379 stocks
  • Reduced holdings in1771 stocks
  • Top 10 Holdings % 24.77 %
  • Turnover % [1]:17.07%
  • Turnover Alt % [2]: 8.81 %
  • Time Held Top20:19.05 quarters
  • Time Held Top10:15.90 quarters
  • Time Held All:19.43 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 2020-05-15

Performance for Q1 2020: -9.22%
Performance Last 4 Quarters: 1.63%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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*Shares are split adjusted

View Last Form Adv Compilation Report on Record

RAYMOND JAMES & ASSOCIATES, INC.
Classified as Hedge Fund
880 CARILLON PARKWAY
ST. PETERSBURG FL    33716
Country: United States

Business Phone: 727-567-1000
Fax: 727-567-8668
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Corporation
Organized in: FL
Number of employees: 10745
Other Business Activities: broker-dealer,futures commission merchant,insurance broker or agent,registered municipal advisor
Advisor Fees/Compensation: Percentage of assets under management,Hourly charges,Fixed fees,Commissions
Amount of client funds and securities: 195,232,000,000
Total Number of Clients: 356459
Amount of client funds and securities by related persons: 726,648,000
Total Number of clients from related persons: 356
Disclosures: 11.C (1),11.C (2),11.C (4),11.C (5),11.D (1),11.D (2),11.D (4),11.D (5),11.E (1),11.E (2),11.E (4),11.G
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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RAYMOND JAMES & ASSOCIATES, INC.

ownership team - last updated 2020-02-12
Name Title Start Date Direct/Indirect % Ownership

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
MORGAN KEEGAN PRIVATE EQUITY FUND OF FUND II HOLDINGS, LP United States 805-9471767752 Private Equity Fund 22,520,653 50,000 Master Fund

RAYMOND JAMES & ASSOCIATES, INC.

ownership team - last updated 2019-12-20
Name Title Start Date Direct/Indirect % Ownership
RAYMOND JAMES FINANCIAL, INC. HOLDING COMPANY 02/01/1972 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
TREMAINE, THOMAS ROBERT EXECUTIVE VICE PRESIDENT, DIRECTOR, PRINCIPAL OPERATIONS OFFICER 05/01/2004 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
JULIEN, JEFFREY PAUL DIRECTOR 01/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
HOWE BARNES CAPITAL MANAGEMENT, INC. DIRECTOR direct 2011-05-01
HERITAGE ASSET MANAGEMENT INC DIRECTOR direct 1985-06-01
RAYMOND JAMES & ASSOCIATES, INC. DIRECTOR direct 2004-01-01
ELWYN, TASHTEGO SPRING PRESIDENT - CHIEF EXECUTIVE OFFICER DIRECTOR 02/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
RAYMOND JAMES & ASSOCIATES, INC. PRESIDENT - PRIVATE CLIENT GROUP direct 2012-01-01
RAYMOND JAMES & ASSOCIATES, INC. PRESIDENT - PRIVATE CLIENT GROUP/DIRECTOR direct 2014-02-01
SANTELLI, JONATHAN GENERAL COUNSEL / SECRETARY 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
CAMPAGNOLI, VINCENT JOHN CHIEF INFORMATION OFFICER 06/01/2016 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
ARIYAN, GERALD HAIG PRESIDENT, ALEX. BROWN DIVISION 09/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
RAYMOND JAMES & ASSOCIATES, INC. PRESIDENT, ALEX. BROWN DIVISION direct 2016-09-01
DEUTSCHE BANK SECURITIES INC. DIRECTOR direct 2013-02-01
BARKO, SHAWN JOSEPH CHIEF COMPLIANCE OFFICER 12/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
RAYMOND JAMES & ASSOCIATES, INC. CHIEF COMPLIANCE OFFICER direct 2017-12-01
OLLIA, MARSHALL FARROKH PRINCIPAL FINANCIAL OFFICER / FINOP 04/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
AXA ADVISORS, LLC FINOP direct 2010-08-01
SHOUKRY, PAUL MARONE TREASURER 04/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
RAYMOND JAMES & ASSOCIATES, INC. TREASURER direct 2018-04-01
ACKART, JENNIFER CAROL CHIEF FINANCIAL OFFICER 03/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
RAYMOND JAMES & ASSOCIATES, INC. CHIEF FINANCIAL OFFICER direct 2019-03-01
JENSON, KIM RACHELLE CHIEF OPERATING OFFICER 07/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
RAYMOND JAMES & ASSOCIATES, INC. CHIEF OPERATING OFFICER direct 2017-07-01
BREDIN, EMMA DIRECTOR 03/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
RAYMOND JAMES & ASSOCIATES, INC. DIRECTOR direct 2019-03-01
BUNN, JAMES EDWARD DIRECTOR 03/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
RAYMOND JAMES & ASSOCIATES, INC. DIRECTOR direct 2019-03-01
CURTIS, SCOTT DIRECTOR 03/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC PRESIDENT direct 2012-01-01
FRULAND, ERIK MILLS DIRECTOR; PRESIDENT, ASSET MANAGEMENT SERVICES DIVISION 03/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
RAYMOND JAMES & ASSOCIATES, INC. DIRECTOR; PRESIDENT, ASSET MANAGEMENT SERVICES DIVISION direct 2019-03-01
HELAL, TAREK DIRECTOR 03/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
MORGAN KEEGAN FUND MANAGEMENT, INC. PRESIDENT direct 2013-04-01
SICKLING, JAMES PHILIP DIRECTOR 03/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
RAYMOND JAMES & ASSOCIATES, INC. DIRECTOR direct 2019-03-01
MARTIN, PHILIP ROGER RIA CHIEF COMPLIANCE OFFICER 12/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
SCHWAB PRIVATE CLIENT INVESTMENT ADVISORY, INC. CHIEF COMPLIANCE OFFICER direct 2017-06-01
SCHWAB WEALTH INVESTMENT ADVISORY, INC. CHIEF COMPLIANCE OFFICER direct 2015-01-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
MORGAN KEEGAN PRIVATE EQUITY FUND OF FUND II HOLDINGS, LP United States 805-9471767752 Private Equity Fund 22,520,653 50,000 Master Fund

RAYMOND JAMES & ASSOCIATES, INC.

ownership team - last updated 2019-06-26
Name Title Start Date Direct/Indirect % Ownership
RAYMOND JAMES FINANCIAL, INC. HOLDING COMPANY 02/01/1972 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
JAMES, THOMAS ALAN DIRECTOR/CHAIRMAN OF THE BOARD 01/01/1972 Direct 5 - 10%
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
TREMAINE, THOMAS ROBERT EXECUTIVE VICE PRESIDENT, DIRECTOR, PRINCIPAL OPERATIONS OFFICER 05/01/2004 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
JULIEN, JEFFREY PAUL DIRECTOR 01/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
HOWE BARNES CAPITAL MANAGEMENT, INC. DIRECTOR direct 2011-05-01
HERITAGE ASSET MANAGEMENT INC DIRECTOR direct 1985-06-01
RAYMOND JAMES & ASSOCIATES, INC. DIRECTOR direct 2004-01-01
THURSTON, CHRISTOPHER S RIA 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
ELWYN, TASHTEGO SPRING PRESIDENT - CHIEF EXECUTIVE OFFICER 06/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
RAYMOND JAMES & ASSOCIATES, INC. PRESIDENT - PRIVATE CLIENT GROUP direct 2012-01-01
RAYMOND JAMES & ASSOCIATES, INC. PRESIDENT - PRIVATE CLIENT GROUP/DIRECTOR direct 2014-02-01
SANTELLI, JONATHAN CHIEF LEGAL OFFICER / SECRETARY 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
CAMPAGNOLI, VINCENT JOHN CHIEF INFORMATION OFFICER 06/01/2016 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
ARIYAN, GERALD HAIG PRESIDENT, ALEX. BROWN DIVISION 09/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
RAYMOND JAMES & ASSOCIATES, INC. PRESIDENT, ALEX. BROWN DIVISION direct 2016-09-01
DEUTSCHE BANK SECURITIES INC. DIRECTOR direct 2013-02-01
BARKO, SHAWN JOSEPH CHIEF COMPLIANCE OFFICER 12/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
RAYMOND JAMES & ASSOCIATES, INC. CHIEF COMPLIANCE OFFICER direct 2017-12-01
OLLIA, MARSHALL FARROKH PRINCIPAL FINANCIAL OFFICER / FINOP 04/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
AXA ADVISORS, LLC FINOP direct 2010-08-01
SHOUKRY, PAUL MARONE TREASURER 04/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
RAYMOND JAMES & ASSOCIATES, INC. TREASURER direct 2018-04-01
ACKART, JENNIFER CAROL CHIEF FINANCIAL OFFICER 03/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
RAYMOND JAMES & ASSOCIATES, INC. CHIEF FINANCIAL OFFICER direct 2019-03-01

RAYMOND JAMES & ASSOCIATES, INC.

ownership team - last updated 2018-12-21
Name Title Start Date Direct/Indirect % Ownership
RAYMOND JAMES FINANCIAL, INC. HOLDING COMPANY 02/01/1972 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
JAMES, THOMAS ALAN DIRECTOR/CHAIRMAN OF THE BOARD 01/01/1972 Direct 5 - 10%
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
TREMAINE, THOMAS ROBERT EXECUTIVE VICE PRESIDENT, DIRECTOR, CHIEF OPERATIONS OFFICER 05/01/2004 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
JULIEN, JEFFREY PAUL DIRECTOR 01/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
HOWE BARNES CAPITAL MANAGEMENT, INC. DIRECTOR direct 2011-05-01
HERITAGE ASSET MANAGEMENT INC DIRECTOR direct 1985-06-01
RAYMOND JAMES & ASSOCIATES, INC. DIRECTOR direct 2004-01-01
THURSTON, CHRISTOPHER S RIA 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
ELWYN, TASHTEGO SPRING PRESIDENT - CHIEF EXECUTIVE OFFICER 06/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
RAYMOND JAMES & ASSOCIATES, INC. PRESIDENT - PRIVATE CLIENT GROUP direct 2012-01-01
RAYMOND JAMES & ASSOCIATES, INC. PRESIDENT - PRIVATE CLIENT GROUP/DIRECTOR direct 2014-02-01
SANTELLI, JONATHAN CHIEF LEGAL OFFICER / SECRETARY 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
CAMPAGNOLI, VINCENT JOHN CHIEF INFORMATION OFFICER 06/01/2016 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
ARIYAN, GERALD HAIG PRESIDENT, ALEX. BROWN DIVISION 09/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
RAYMOND JAMES & ASSOCIATES, INC. PRESIDENT, ALEX. BROWN DIVISION direct 2016-09-01
DEUTSCHE BANK SECURITIES INC. DIRECTOR direct 2013-02-01
BARKO, SHAWN JOSEPH CHIEF COMPLIANCE OFFICER 12/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
RAYMOND JAMES & ASSOCIATES, INC. CHIEF COMPLIANCE OFFICER direct 2017-12-01
OLLIA, MARSHALL FARROKH PRINCIPAL FINANCIAL OFFICER / FINOP 04/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
AXA ADVISORS, LLC FINOP direct 2010-08-01
SHOUKRY, PAUL MARONE TREASURER 04/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
RAYMOND JAMES & ASSOCIATES, INC. TREASURER direct 2018-04-01

RAYMOND JAMES & ASSOCIATES, INC.

ownership team - last updated 2018-06-29
Name Title Start Date Direct/Indirect % Ownership
RAYMOND JAMES FINANCIAL, INC. HOLDING COMPANY 02/01/1972 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
JAMES, THOMAS ALAN DIRECTOR/CHAIRMAN OF THE BOARD 01/01/1972 Direct 5 - 10%
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
ZANK, DENNIS WILLIAM CHIEF EXECUTIVE OFFICER/DIRECTOR 05/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
RAYMOND JAMES & ASSOCIATES, INC. CHIEF EXECUTIVE OFFICER/DIRECTOR direct 2004-05-01
HOWE BARNES CAPITAL MANAGEMENT, INC. DIRECTOR / PRESIDENT direct 2011-05-01
RAYMOND JAMES FINANCIAL SERVICES, INC. DIRECTOR & TREASURER direct 1987-05-01 2002-05-02
RAYMOND JAMES & ASSOCIATES, INC. EXECUTIVE VICE PRESIDENT/PRINCIPAL OPERATIONS OFFICER/FINANCIAL OFFICER direct 1997-04-01 2002-06-13
RAYMOND JAMES & ASSOCIATES, INC. PRESIDENT/CHIEF OPERATING OFFICER/PRINCIPAL OPERATIONS OFFICER/FINANCIAL OFFICER direct 2002-10-01 2003-01-02
RAYMOND JAMES & ASSOCIATES, INC. PRESIDENT/CHIEF OPERATING OFFICER/PRINCIPAL OPERATIONS OFFICER direct 2002-10-01 2004-05-27
RAYMOND JAMES & ASSOCIATES, INC. PRESIDENT/CHIEF OPERATING OFFICER direct 2002-10-01 2005-01-25
RAYMOND JAMES & ASSOCIATES, INC. PRESIDENT/CHIEF OPERATING OFFICER/CHIEF OPERATIONS OFFICER direct 2004-05-01 2007-07-12
RAYMOND JAMES & ASSOCIATES, INC. PRESIDENT/CHIEF OPERATING OFFICER direct 2004-05-01 2009-12-23
RAYMOND JAMES & ASSOCIATES, INC. PRESIDENT/CHIEF OPERATING OFFICER & DIRECTOR direct 2004-05-01 2011-12-23
FRANZ, RICHARD BONAFIELD II CHIEF FINANCIAL OFFICER/TREASURER 01/01/2004 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
TREMAINE, THOMAS ROBERT EXECUTIVE VICE PRESIDENT, DIRECTOR, CHIEF OPERATIONS OFFICER 05/01/2004 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
JULIEN, JEFFREY PAUL DIRECTOR 01/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
HOWE BARNES CAPITAL MANAGEMENT, INC. DIRECTOR direct 2011-05-01
HERITAGE ASSET MANAGEMENT INC DIRECTOR direct 1985-06-01
RAYMOND JAMES & ASSOCIATES, INC. DIRECTOR direct 2004-01-01
THURSTON, CHRISTOPHER S RIA 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
ELWYN, TASHTEGO SPRING PRESIDENT - PRIVATE CLIENT GROUP/DIRECTOR 02/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
RAYMOND JAMES & ASSOCIATES, INC. PRESIDENT - PRIVATE CLIENT GROUP direct 2012-01-01
RAYMOND JAMES & ASSOCIATES, INC. PRESIDENT - PRIVATE CLIENT GROUP/DIRECTOR direct 2014-02-01
SANTELLI, JONATHAN CHIEF LEGAL OFFICER / SECRETARY 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
CAMPAGNOLI, VINCENT JOHN CHIEF INFORMATION OFFICER 06/01/2016 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
ARIYAN, GERALD HAIG PRESIDENT, ALEX. BROWN DIVISION 09/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
RAYMOND JAMES & ASSOCIATES, INC. PRESIDENT, ALEX. BROWN DIVISION direct 2016-09-01
DEUTSCHE BANK SECURITIES INC. DIRECTOR direct 2013-02-01
BARKO, SHAWN JOSEPH CHIEF COMPLIANCE OFFICER 12/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
RAYMOND JAMES & ASSOCIATES, INC. CHIEF COMPLIANCE OFFICER direct 2017-12-01

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