RAYMOND JAMES FINANCIAL INC SEC Filings

Raymond James Financial has a holder planning to sell 10,000 shares of its common stock through Raymond James & Associates on the NYSE on or after July 28, 2026, with a reported aggregate value of $1,760,550. The shares to be sold were originally acquired from the issuer via RSU awards on several dates in 2024–2025, in amounts including 3,766, 2,413, 1,809, 1,135 and 955 shares.

On July 27, 2026, Raymond James Financial executive chair of RJBank Steven M. Raney sold 5,770 shares of common stock in open‑market transactions at a weighted average price of $172.9693, with prices ranging from $172.83 to $173.13. After these transactions he directly holds 43,046 shares, which include shares acquired under the Employee Stock Purchase Plan, and indirectly holds 3,224 shares through an Employee Stock Ownership Plan. The sales were not reported as made under a Rule 10b5‑1 trading plan.

Raymond James & Associates, Inc. provided issuer information for potential sales of its common stock listed on the NYSE. The notice details common shares tied to restricted stock units that vested on several dates, including 915 shares vesting on December 15, 2024 and 1,921 shares vesting on January 2, 2025.

Additional RSU-related amounts include 1,727 shares vesting on January 2, 2024 and 1,207 shares vesting on January 3, 2023, all recorded under common stock of Raymond James & Associates, Inc.

Raymond James Financial, Inc. reported record fiscal third-quarter 2026 net revenues of $3,928 million and net income available to common shareholders of $595 million, or $3.01 per diluted share, up 16% and 42% from the prior-year quarter, respectively. Adjusted net income was $620 million, or $3.14 per diluted share. For the first nine months of fiscal 2026, diluted EPS was $8.52 and adjusted diluted EPS was $8.83, both at record levels and up double digits year over year. Annualized return on common equity was 18.8% and annualized adjusted return on tangible common equity was 23.5%.

The Private Client Group generated record quarterly net revenues of $2,841 million and pre-tax income of $423 million, supported by domestic net new assets of $21.7 billion and record fee-based assets of $1,153.8 billion. Client assets under administration reached a record $1,922.4 billion, while financial assets under management grew to $345.0 billion, including $36 billion from the Clark Capital acquisition. The Bank segment delivered record pre-tax income of $206 million, with net bank loans at $56.2 billion and strong credit quality. During the quarter, Raymond James repurchased $400 million of common stock and ended with a total capital ratio of 22.5% and a tier 1 leverage ratio of 11.7%.

RAYMOND JAMES FINANCIAL INC insider Thomas A. James filed an initial Form 3 reporting his beneficial ownership in the company’s securities. He is identified as a ten percent owner and lists several indirect holdings of common stock through family-related accounts and entities.

The filing reports 162,730 shares of common stock held indirectly through a spouse and 745 shares held indirectly through an Employee Stock Ownership Plan account as of June 16, 2026. It also discloses 17,459,133 shares held indirectly by the Thomas A. James Family Revocable Trust, 1,500,000 shares held by TA James Ventures Partnership, and 50,625 shares held by James Ventures, Inc.

In addition, James reports direct derivative interests in equity awards. These include 1,353 Restricted Stock Units, each tied to one share of common stock and associated cash in lieu of dividends, with an expiration date of December 15, 2026, and 1,352 Performance Restricted Stock Units linked to common stock with an expiration date of December 31, 2026.

Raymond James Financial reported strong May 2026 operating metrics, highlighted by record client assets under administration of $1.92 trillion, up 21% from May 2025 and 3% from April 2026. Management notes this growth was driven mainly by higher equity markets and net asset inflows.

Private Client Group assets under administration reached $1.85 trillion, up 22% year-over-year, with $1.16 trillion in fee-based accounts, a 27% increase. Financial assets under management rose 35% year-over-year to $342.7 billion, including $37 billion from the recently acquired Clark Capital Management Group.

Bank loans, net, were $55.3 billion, up 13% from a year earlier and roughly flat sequentially. Clients’ domestic cash sweep and Enhanced Savings Program balances totaled $55.8 billion, 3% higher than a year ago and stable versus April. The company cautions that this limited monthly data should not be assumed to correlate directly with earnings.

Raymond James Financial, Inc. used its 2026 Analyst & Investor Day to highlight long-term growth, diversification and capital strength across wealth management, banking, asset management and capital markets.

Net revenues grew from $2.9B in 2010 to $14.1B in 2025, with 153 consecutive profitable quarters and a business mix heavily driven by asset-based revenues. The Private Client Group now oversees about $1.7T in client assets, with 61% in fee-based programs, supporting more recurring revenue and higher pre-tax margins.

The firm emphasized balance sheet resilience, including a 24.0% total capital ratio, about $3.0B of corporate cash as of March 31, 2026, and strong credit ratings from Fitch, Moody’s and S&P. Bank Segment loans reached $55B with securities-based lending growing at a mid-teens compound rate and nonperforming assets at 0.27% of total assets.

Management also detailed more than $1.1B of annual technology spend focused largely on wealth management, expanding AI-enabled tools, advisor productivity and platform stability. Capital priorities remain consistent: investing in organic growth, selective acquisitions, a rising dividend and ongoing share repurchases while targeting adjusted pre-tax margins around 20% and adjusted returns on tangible common equity of at least 20%.

Raymond James Financial released selected operating data for April 2026, showing continued growth in client assets and fee-based business. Management cautions that this limited monthly data should not be directly linked to near-term earnings.

Client assets under administration reached a record $1.87 trillion, up 22% from April 2025 and 6% from March 2026, helped by higher equity markets and net inflows. Private Client Group assets under administration were $1.80 trillion, also up 22% year-over-year and 6% sequentially, while fee-based PCG assets grew 28% year-over-year and 7% over the prior month to $1.12 trillion.

Financial assets under management were $298.6 billion, increasing 22% year-over-year and 6% sequentially, and bank loans, net, were $55.4 billion, up 14% year-over-year and 1% from March 2026. Clients’ domestic cash sweep and Enhanced Savings Program balances were $55.6 billion, flat year-over-year but down 4% sequentially, mainly due to quarterly fee billings and seasonal tax payments.

Raymond James Financial, Inc. declared a quarterly cash dividend of $0.54 per share on its common stock. The dividend will be paid on July 15, 2026 to shareholders who are on record as of July 1, 2026.

The company describes itself as a leading diversified financial services firm serving individuals, corporations and municipalities, and reports total client assets of $1.76 trillion. The disclosure also reminds investors that statements about future shareholder distributions are forward-looking and subject to risks and uncertainties.