Raymond James (Usa) Ltd (Vancouver)

Name: Raymond James (Usa) Ltd
Address: 2100 925 West Georgia Street, Vancouver, V6 C3 L2
Telephone: 877-570-7558

Raymond James (Usa) Ltd is a large advisory firm based in Vancouver. It manages $289 million of regulatory assets for 954 client accounts. It has been registered with the SEC as an adviser since 2011 and has operated in the jurisdictions of Arizona, California, Colorado, and 10 other states.

Raymond James (Usa) provides financial planning services, portfolio management for individuals and small businesses, selection of other advisers, and publication of newsletters. It prepares financial plans for less than 10 clients. On top of advisory services, the firm doesn't engage in other business activities.

Raymond James (Usa): assets under management

The assets under management (AUM) of Raymond James (Usa) Ltd is $289 million. The firm's AUM has grown by 1130% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $82.6 million in discretionary accounts and $206.4 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $402.93 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $275.57 thousand.

Investments

The firm invests in exchange traded securities the most. They account for 65% of the total AUM. The second-largest asset type is investment grade corporate bonds, which make up 25% of the firm’s portfolio. Investments in government bonds form 8% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Raymond James (Usa) Ltd for their services and products based on a percentage of assets under management and fixed fees. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients James Robert Coulter serves?

The firm provides services to individuals and high net worth individuals. The largest group of clients of James Robert Coulter is individuals with 909 clients and $176.4 million of assets under management. Among the 8 most similar advisory firms, Raymond James (Usa) has the highest percentage of individuals out of all clients.

The amount of regulatory assets under management is $289 million for 954 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 3% of the firm’s clients are foreign persons or businesses.

Raymond James (Usa) doesn't advise any private funds.

Careers at Raymond James (Usa) Ltd

The company employs 91 people that are either part- or full-time employees. 79 percent of the employees work as investment advisers or researchers. 35 employees are registered as investment adviser representatives with the state securities authorities.

There are 6 people with the role of looking for and bringing in new clients on behalf of the firm. The firm compensates employees in addition to the salary for bringing in new clients. Employees receive compensation from other entities for client referrals.

James Robert Coulter has been acting as President since 1 Oct 2014. Kong Yu Siau joined the executive team most recently as the Chief Compliance Officer And Chief Anti Money Laundering Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Raymond James Ltd.	Owner	1 Apr 1998	75% - 100%	foreign
William Bruce Krutow	Capital markets compliance officer	1 Nov 2004	Other	2898343
Sandra Maud Richard	Director, chief financial officer	1 Jan 2005	Other	4884914
Roderick Spencer Maccosham	Senior managing director of equity trading	1 May 2005	Other	4876722
William Bruce Krutow	Capital markets compliance officer	1 Dec 2008	Other	2898343
Leslie Shedd Olesen	Chief compliance officer, aml officer	1 Dec 2008	Other	4444997
Michael Leopold Holmes	Director, secretary & chief operating officer	1 Jan 2011	Other	2635630
James Robert Coulter	Senior managing director & general manager, equity capital markets	1 Jan 2011	Other	4962016
Scott David Peisner	Director, president & chief executive officer	1 Jan 2011	Other	2167399
Lawrence J Eiben	Director, president and chief executive officer	1 Jan 2012	Other	4184377
Steven Robert Marcus	Chief compliance officer, chief privacy officer and chief aml officer	1 Oct 2012	Other	2820004
James Robert Coulter	Director	1 Oct 2014	Other	4962016
Robert Donald Mr. Mcdonald	Director	1 May 2017	Other	5165522
Kong Yu Siau	Chief compliance officer and chief anti-money laundering officer	1 Mar 2019	Other	5924107
Steven Robert Marcus	Director, president and chief executive officer	1 Mar 2019	Other	2820004

Indirect Owners

The SEC currently registers 1 indirect owner.

Name	Entity	Date acquired	Ownership	Employer ID
Inc. Raymond James Financial	Shareholder	1 Jan 2001	75% - 100%	59-1517485

Based in Vancouver

The principal office where Raymond James (Usa) Ltd performs its advisory services is located at 2100 925 West Georgia Street, Vancouver, V6 C3 L2, which is also the mailing address of the firm. The firm also has an office outside of the United States.

You can reach the main office by calling the phone number 877-570-7558 or by fax 866-567-0514. The normal business hours are 6:00am-4:00pm on Monday - Friday. You can find more information about the New York firm at rjlu.com.