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Raymond James Fncl 381 FR Y-6 OMS Number 7100-0297 Approval expires November 30, 2019 Page 1 of 2 Board of Governors of the Federal Reserve System .•·of·c·oJ··. ~: Annual Report of Holding Companies-FR Y-6 ·· ... !~ --- · Report at the close of business as of the end of fiscal year This Report is required by law: Section 5(c)(1 )(A) of the Bank This report form is to be filed by all top-tier bank holding compa­ Holding Company Act (12 U.S.C. § 1844(c)(1)(A)); sections 8(a) nies, top-tier savings and loan holding companies, and U.S. inter­ and 13(a) of the International Banking Act (12 U.S.C. §§ 3106(a) mediate holding companies organized under U.S. law, and by and 3108(a)); sections 11(a)(1), 25, and 25A of the Federal any foreign banking organization that does not meet the require­ Reserve Act (12 U.S.C. §§ 248(a)(1), 602, and 611a); and sec­ ments of and is not treated as a qualifying foreign banking orga­ tions 113, 165,312, 618, and 809 of the Dodd-Frank Act (12 U.S.C. nization under Section 211 .23 of Regulation K (12 C.F.R. § §§ 5361 , 5365, 5412, 1850a(c)(1), and 5468(b)(1)). Return to the 211.23). (See page one of the general instructions for more detail appropriate Federal Reserve Bank the original and the number of of who must file.) The Federal Reserve may not conduct or spon­ copies specified. sor, and an organization (or a person) is not required to respond to, an information collection unless it displays a currently valid 0MB control number. NOTE: The Annual Report of Holding Companies must be signed by Date of Report (top-tier holding company's fiscal year-end): one director of the top-tier holding company. This individual should 09/30/2019 also be a senior official of the top-tier holding company. In the event Month/ Day I Year that the top-tier holding company does not have an individual who is a senior official and is also a director, the chairman of the board must RGUZHJ05YTITL6O76949 sign the report. If the holding company is an ESOP/ESOT formed as Reporte(s Legal Entity Identifier (LEI) (20-Character LEI Code) a corporation or is an LLC, see the General Instructions for the authorized individual who must sign the report. Reporter's Name, Street, and Mailing Address I, Paul Reilly Name of th e Holding Company Director and Official Raymond James Financial, Inc. Director/Chief Executive Officer Legal Title of Holding Company Tille of th e Holding Company Director and Official attest that the Annual Report of Holding Companies (including 880 Carillon Parkway th e supporting attachments) for this report date has been pre­ (Mailing Address of the Holding Company) Street I P.O. Box pared in conformance with the instructions issued by the Federal Reserve System and are true and correct to the best of my St. Petersburg FL 33716 knowledge and belief. City State Zip Code With respect to information regarding individuals contained in this Physical Location (if different from mailing address) report, the Reporter certifies that it has the authority to provide this information to the Federal Re serve. Th e Reporter also certifies Person to whom questions about this report should be directed: that it has the authority, on behalf of each individual, to consent or Douglas Krueger Director of Financial Rptg object to public release of information regarding that individual. Name Title Th e Federal Reserve may assume, in the absence of a request for 727-567 -4329 confidential treatment submitted in accordance with th e Board's Area Code I Phone Number/ Extension "Rules Regarding Availability of Information, " 12 C.F.R. Part 261, 727-567-6581 that th e Rep_ individual consent to public release of all Area Code I FAX Number details i · g Iha ind· idua/. [email protected] E-mail Address www.raymondjames.com Address (URL) for the Holding Company's we b page 12/30/19 Date of Signature For holding companies aQf registered with th e SEC- Indicate status of Annual Report to Shareholders: :~i ~o:e~~~n~~~~~:~~~~t .r~~ .u~.s t ~~. '.~r.. a .~~ . ~~~i~~ . ~f.~ 0 is included with th e FR Y-6 report In accordance with th e General Instruction s for this report 0 will be sent under separate cover (check only one), 0 is not prepared 1. a letter justifying this request is being provided along with the report .... ...... ........ .................................................. .....[]] For Federal Reserve Bank Use Only 2, a letter justifying this request has been provided separately.[KJ RSSD ID NOTE: lnfonmation for which con fid ential treatment is being requested C.I. must be provided separately and labeled as "confidential." Public reporting burden for this information collection is estimated to vary from 1.3 to 101 hours per re sponse, with an average of 5.50 hours per response, including time to gather and maintain data in the required form and lo review instructions and complete the information co llection. Send comments regarding this burden estimate or any other aspect of this collection of information, induding suggestions for reducing this burden to: Secretary, Board of Governors of the Federal Reserve System, 20th and C Streets, NW, Washington, DC 20551 , and to the Office of Management and Budget, Pape,work Reduction Project r,100.0297), Washington, DC 20503. 03/2018 Form FR Y-6 Raymond James Financial, Inc. St. Petersburg, FL Fiscal Year Ending September 30, 2019 PUBLIC Report Item 2a: Organizational Chart - Companies Reportable on FR Y-10 ID_RSSD Legal/Popular Name Owner Company Ownership Partner/Member LEI Physical Address State or Country Percentage of Incorporation SAINT PETERSBURG, FL, 5081965 740780 CARILLON, LLC Raymond James Financial, Inc. 100% GP N/A Florida UNITED STATES SAINT PETERSBURG, FL, 5081974 800 CARILLON, LLC Raymond James Financial, Inc. 100% GP N/A Florida UNITED STATES ADVANCED PHOTOGRAPHIC SOLUTIONS, Non-managing CLEVELAND, TN, UNITED N/A Morgan Properties, LLC NR N/A DELAWARE LLC Member STATES SAINT PETERSBURG, FL, 4314134 CARILLON FUND DISTRIBUTORS, INC. Eagle Asset Management, Inc. 100% N/A N/A FLORIDA UNITED STATES ST. PETERSBURG, FL, 4802622 CARILLON TOWER ADVISERS, INC. Raymond James Financial, Inc. 100% N/A N/A FLORIDA UNITED STATES SAINT PETERSBURG, FL, 4314040 Carillon Fund Services, Inc. Carillon Tower Advisers, Inc. 100% N/A N/A FLORIDA UNITED STATES ST. PETERSBURG, FL, 5306547 Carillon Tower Series Hedge Fund, LLC CARILLON TOWER ADVISERS, INC. 0% GP N/A DELAWARE UNITED STATES SAN DIEGO, CA, UNITED 3594500 ClariVest Asset Management LLC Eagle Asset Management, Inc. 100% Managing Member N/A DELAWARE STATES SAN DIEGO, CA, UNITED 5306556 Clarivest Emerging Markets Equity Fund, L.P. Clarivest Asset Management LLC 0% GP N/A DELAWARE STATES Clarivest Emerging Markets Socially SAN DIEGO, CA, UNITED 5306538 Clarivest Asset Management LLC 0% GP N/A DELAWARE Responsible Fund LLC STATES Columbus, IN, UNITED 5194098 Columbus Core Plus Bond Fund, LLC Scout Investments, Inc. 0% GP N/A DELAWARE STATES Columbus, IN, UNITED 5194100 Columbus Ultra Low Duration Bond Fund LLC Scout Investments, Inc. 0% GP N/A DELAWARE STATES Columbus, IN, UNITED 5194089 Columbus Unconstrained Bond Fund, LLC Scout Investments, Inc. 0% GP N/A DELAWARE STATES SAINT PETERSBURG, 4865298 Cougar Global ETF Portfolio Management Inc. Cougar Global Investments Limited 100% N/A N/A ONTARIO CANADA 4865207 Cougar Global Investments Limited Raymond James International Canada, Inc. 100% N/A N/A TORONTO, CANADA ONTARIO SAINT PETERSBURG, FL, 4388229 EAGLE GROWTH PARTNERS I, L.P. EB Management I, LLC 1% GP N/A DELAWARE UNITED STATES SAINT PETERSBURG, FL, 4388210 EAGLE GROWTH PARTNERS II, L.P. EB Management I, LLC 1% GP N/A DELAWARE UNITED STATES SAINT PETERSBURG, FL, 4314143 EB MANAGEMENT I, LLC Eagle Asset Management, Inc. 50% Managing Member N/A FLORIDA UNITED STATES SAINT PETERSBURG, FL, 4314095 Eagle Asset Management, Inc. Carillon Tower Advisers, Inc. 100% N/A N/A FLORIDA UNITED STATES MEMPHIS, TN, UNITED 3022021 MK HOLDING, INC. Raymond James Financial, Inc. 100% N/A N/A ALABAMA STATES MEMPHIS, TN, UNITED 3022094 MK INVESTMENT MANAGEMENT, INC. MK Holding, Inc. 100% N/A N/A DELAWARE STATES MK LOUISIANA CHARITABLE HEALTHCARE NEW ORLEANS, LA, 3731145 Morgan Keegan & Company, LLC / Morgan Properties, LLC 100% GP/LP N/A DELAWARE FACILITIES FUND, LLC UNITED STATES MEMPHIS, TN, UNITED N/A MK-B BUILDING, LLC Morgan Properties, LLC 50% LP N/A TENNESSEE STATES SAINT PETERSBURG, FL, 4533104 MORGAN KEEGAN & ASSOCIATES, LLC MK Holding, Inc. 100% Managing Member N/A DELAWARE UNITED STATES SAINT PETERSBURG, FL, 1599239 MORGAN KEEGAN & COMPANY, LLC Raymond James Financial, Inc. 100% N/A N/A TENNESSEE UNITED STATES MORGAN KEEGAN PRIVATE EQUITY MEMPHIS, TN, UNITED 4424024 MK Investment Management, Inc. / Morgan Properties, LLC 49% GP/LP N/A DELAWARE EMPLOYEE FUND OF FUNDS II, LP STATES Morgan Keegan Private Equity Employee Fund of Funds II LP/ Morgan Keegan MORGAN KEEGAN PRIVATE EQUITY FUND SAINT PETERSBURG, FL, 4576334 Private Equity Fund of Funds II LP/ Morgan Keegan Private Equity QP Fund of 100% Managing Member N/A DELAWARE OF FUNDS II BLOCKER, LLC UNITED STATES Funds II LP MORGAN KEEGAN PRIVATE EQUITY FUND SAINT PETERSBURG, FL, 4576343 MK Investment Management, Inc. 1% GP N/A DELAWARE OF FUNDS II HOLDINGS, LP UNITED STATES MORGAN KEEGAN PRIVATE EQUITY FUND MEMPHIS, TN, UNITED 4424015 MK Investment Management, Inc. / Morgan Properties, LLC 49% GP/LP N/A DELAWARE OF FUNDS II, LP STATES MEMPHIS, TN, UNITED 3022085 MORGAN PROPERTIES, LLC Raymond James Investments, LLC 100% Managing Member N/A TENNESSEE STATES Morgan Keegan Private Equity QP Fund of MEMPHIS, TN, UNITED 4424033 MK Investment Management, Inc.
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