RAYMOND JAMES INVESTMENT COUNSEL LTD.
Adviser information for RAYMOND JAMES INVESTMENT COUNSEL LTD. last updated from Form ADV on December 22nd, 2023. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | SEPTEMBER |
| Legal Location | Canada |
Employees
| Total Number of Employees | 16 |
|---|---|
| Investment Advisory/Research | 13 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 5 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 100 | $27.7M |
| Non-Discretionary | 0 | $0 |
| Total | 100 | $27.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 27 | $6.9M |
| HNW Individuals | 17 | $12.4M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 2 | $8.4M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)Publication of periodicals or newsletters |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-62380 |
|---|---|
| SEC ERA File Number | 801-62380 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 128324 |
| Legal Entity Identifier | 9845003D1QDFD9D03C52 |
Principal Office
925 W. GEORGIA ST.SUITE 2100
VANCOUVER, BRITISH COLUMBIA
Canada
Monday - Friday, 9-5
Tel: 6046541526, Fax: 6046547238
Chief Compliance Officer
ADRIAN WEISS
CHIEF COMPLIANCE OFFICER
100 YONGE STREET
SUITE 1400
TORONTO, ONTARIO
Canada
Tel:
416-777-6406
Fax:
604-654-7238
A***********@**************A
(Full email address available in API data)
Regulatory Contact
DAVID TASKER
PRESIDENT
200 KING STREET
SUITE 1902
TORONTO ONTARIO
Canada
Tel:
416-777-7113
D***********@**************A
(Full email address available in API data)
Industry Affiliates
| CARILLON FUND DISTRIBUTORS, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| CEBILE CAPITAL LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| CEBILE CAPITAL LLP | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| CLARIVEST ASSET MANAGEMENT LLC | Other investment adviser, including financial planners |
| COUGAR GLOBAL INVESTMENTS | Other investment adviser, including financial planners |
| EAGLE ASSET MANAGEMENT INC | Other investment adviser, including financial planners |
| EB MANAGEMENT LLC | Other investment adviser, including financial planners |
| RAYMOND JAMES (USA) LTD | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| RAYMOND JAMES & ASSOCIATES, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| RAYMOND JAMES ASSET MANAGEMENT INTERNATIONAL-FRANCE | Other investment adviser, including financial planners |
| RAYMOND JAMES CORPORATE FINANCE GMBH | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| RAYMOND JAMES EURO EQUITIES SAS | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| RAYMOND JAMES FINANCIAL INTERNATIONAL, LTD | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| RAYMOND JAMES FINANCIAL PLANNING | Insurance company or agency |
| RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| RAYMOND JAMES FINANCIAL SERVICES, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| RAYMOND JAMES GLOBAL SECURITIES LTD | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| RAYMOND JAMES INVESTMENT MANAGEMENT | Other investment adviser, including financial planners |
| RAYMOND JAMES INVESTMENT SERVICES LTD. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| RAYMOND JAMES LTD. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| RAYMOND JAMES TRUST | Trust company |
| RAYMOND JAMES TRUST (CANADA) | Trust company |
| RAYMOND JAMES TRUST QUEBEC | Trust company |
| SCOUT INVESTMENTS, INC. | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| PRICE, TIMOTHY, EVAN | Individual | – | DIRECTOR | 04/2004 | < 5% |
| RAYMOND JAMES LTD. | Foreign Entity | – | SHAREHOLDER | 08/2016 | > 75% |
| RAYMOND JAMES FINANCIAL INC. | Domestic Entity | RAYMOND JAMES LTD. | SHAREHOLDER | 01/2001 | > 75% |
| Costley, Lloyd, Arthur William | Individual | – | DIRECTOR | 08/2016 | < 5% |
| Tasker, David, edward | Individual | – | PRESIDENT | 07/2021 | < 5% |
| Hudson, Scott, Robert | Individual | – | DIRECTOR | 10/2022 | < 5% |
| LAM, GENIE, G | Individual | – | CHIEF FINANCIAL OFFICER | 10/2022 | < 5% |
| WEISS, ADRIAN | Individual | – | CHIEF COMPLIANCE OFFICER | 12/2022 | < 5% |