Filings Radar

SEC 8-K and 6-K filings classified by Claude with reasoning, plus Form 4 insider transactions. Ingested from EDGAR’s filing stream in near-real time, reconciled overnight.

RAYMOND JAMES FINANCIAL INC (RJF)

CIK 0000720005 3 material events

Insider activity (SEC Form 4)

Open-market buys and sells only — the deliberate trades. Zero here doesn’t mean no filings: grants, option exercises and tax withholding (below) are compensation, not market trades.

Open-market · last 30 days: 0 buyers bought $0 1 seller sold $1.3M
Open-market · last 90 days: 0 buyers bought $0 3 sellers sold $4.1M
InsiderRoleDateTransactionSharesValue
Allaire Bella Loykhter Chief Admin Officer 2026-08-28 Open-market sell 7500 $1.3M
Helal Tarek Chief Strategy Officer 2026-08-20 Gift 23397 $0
Helal Tarek Chief Strategy Officer 2026-08-20 Gift 23397 $0
Curtis Scott A Chief Operating Officer 2026-08-18 Gift 1000 $0
Elwyn Tashtego S President, PCG 2026-07-28 Open-market sell 10000 $1.8M
Raney Steven M Executive Chair RJBank 2026-07-27 Open-market sell 5770 $998K
Allaire Bella Loykhter Chief Admin Officer 2026-03-19 Open-market sell 29551 $4.2M
Aisenbrey Christopher S Chief Human Resources Officer 2026-02-28 Option exercise 600 $0
Aisenbrey Christopher S Chief Human Resources Officer 2026-02-28 Tax withholding 132 $20K
Edwards Jeffrey N Director 2026-02-24 Gift 1504 $0
Edwards Jeffrey N Director 2026-02-24 Gift 1504 $0
Begor Mark W Director 2026-02-19 Grant/award 1303 $0
DEBEL MARLENE Director 2026-02-19 Option exercise 1253 $0
Edwards Jeffrey N Director 2026-02-19 Option exercise 1253 $0
Esty Benjamin Director 2026-02-19 Grant/award 1303 $0
GARCIA ART A Director 2026-02-19 Grant/award 1303 $0
Gates Anne Director 2026-02-19 Grant/award 1303 $0
MCDANIEL RAYMOND W Director 2026-02-19 Grant/award 1303 $0
MCGEARY RODERICK C Director 2026-02-19 Grant/award 1303 $0
Mistarz Cecily Director 2026-02-19 Grant/award 1303 $0
Most recent 20 reported transactions. Open-market buys (P) and sells (S) are the deliberate ones; grants and option exercises are compensation. Not investment advice.

Risk Radar (year-over-year Risk Factors)

← All Risk Radar

Fiscal period ending 2025-09-30 versus 2024-09-30 — view filing on EDGAR →

A simultaneous CEO transition and tightened regulatory disclosures mark a modest but consistent worsening across governance, capital flexibility, and compliance risk. The departure of a 15-year CEO alongside the removal of a named executive from disclosure raises succession uncertainty, while new Fed approval requirements constrain capital return optionality. Expanded regulatory language signals heightened supervisory scrutiny and explicit enforcement exposure.

1 company-specific · 2 common-mode

Company-specific changes

Revised

CEO Paul Reilly stepped down after 15 years; Shannon Reid's role removed from disclosure. Key leadership transition increases governance and succession risk.

Jonathan W. Oorlog, Jr. (62) — Chief Financial Officer since October 2024; Chief Accounting Officer, January 2023 - September 2024; Senior Vice President - Controller, October 2020 - January 2023…

Also disclosed — common-mode (Debt leverage refinancing, AI regulatory compliance)
Debt leverage refinancing Revised

New disclosure of Fed approval requirements and advance notice obligations for share repurchases and equity redemptions, adding regulatory constraints on capital allocation.

Basel III and U.S. capital rules RJF, Raymond James Bank, and TriState Capital Bank are subject to the Fed’s capital rules. These rules establish an integrated regulatory capital framework and…

AI regulatory compliance Revised

Added substantive language on regulatory uncertainty, compliance implementation, and explicit enforcement consequences (supervisory action, fines).

Anti-money laundering, economic sanctions, and anti-bribery and corruption regulation The U.S. Bank Secrecy Act (“BSA”), as amended by the USA PATRIOT Act of 2001 (“PATRIOT Act”), the…

Material year-over-year changes to this company's Risk Factors (Item 1A), found by comparing each annual report to the prior year, judged for materiality, and classified as company-specific or common-mode against the cross-company catalog. Common-mode changes are the macro themes many companies disclose in common; they are collapsed above. A filing marked unchanged had no material change from the prior year; its summary describes the company's standing risks, which remain in force. Fiscal periods are the reporting period ends. Not investment advice.

Exec appointment

8-K filed 2026-09-01 confidence 95% Item 5.02

William W. Weatherford was appointed as a director of Raymond James Financial, Inc., effective December 15, 2026, and was also appointed to the Audit Committee and Risk Committee. The Board determined he is independent.

View raw filing on EDGAR →

Earnings release

8-K filed 2026-07-22 confidence 99% Item 2.02

Raymond James Financial disclosed its fiscal third quarter 2026 results via press release dated July 22, 2026, reporting record quarterly net revenues of $3.93 billion (up 16% YoY), net income of $595 million ($3.01 per diluted share, up 42% YoY), and record client assets under administration of $1.92 trillion. The filing explicitly states this is an earnings release for the quarter ended June 30, 2026, with detailed financial statements and segment results attached as exhibits, which is the standard form of Item 2.02 disclosure.

View raw filing on EDGAR →