Intermediaries and Institutions

The London Road Branch of Raymond James manages global investments to suit your needs, objectives and risk tolerances, such as:

Global Diversified Equities Strategy (Active)

Global Diversified Equities Strategy (Passive)

U.K.-Biased Global Equities Strategy

Global Balanced Strategy (between 25% – 75% equity exposure balanced by cash and fixed-income based on risk assessment at portfolio inception)

These strategies may be considered tools to help achieve the solution most appropriate for you. They may also be combined with other strategies or investment vehicles to enable the most effective solution to meet your needs.

We extend Intermediaries - solicitors, accountants, IFAs, others and Institutions the ability to receive and offer access to world class, global investment management services.  As intermediaries and institutions using our services, you have a flexible but integrated approach to working closely with us for your clients or for your segregated investment pool.  From a broad menu, we enable intermediaries and institutions to choose which services would be most appropriate to make everyone’s experience most efficient and easy.

We can offer services for one client or many. We have the capability of managing investments for US Persons.

Our broad and open architecture approach allows intermediaries to fill gaps in their own offering without the necessity of signing up to a full-service agreement or signing all their clients to our platform. The following offers an overview of some of this approach as applies to intermediaries (just click on the topic or scroll down this page):

U.S. Person accounts and related services are fully supported in most cases.

To discuss or for more information, please contact us by phone on +44 (0)20 7929 5225 or by e-mail at leighton.bascom@raymondjames.com

Services of Particular Benefit to Intermediaries

    • Personal assistance. You will have a specific investment manager work directly with you and your client. However, others of our team may be called upon to assist you as needed.
    • Global access. Through global investment management we have access to all major securities markets.
    • All accounts accessible On-line.*
    • New business processing. We handle account opening and asset transfer.
    • Transparency and regular reporting of fees. Enough said.
    • Fully regulated. We are some of the few advisers with authorisation, compliance regulated and supervised for discretionary and advisory investment management. We fill the gap where many intermediaries feel lacking in either regulatory coverage or simple investment management expertise. We manage portfolios of direct securities (equities and fixed income) and also portfolios of passive funds.

  • We do not compete with you. We are investment managers. We do offer independent advice but are not traditional full service IFAs.  We offer no tax advice – but we do work with you to keep least capital gains recognised and lowest taxable income in your portfolio (where this applies).  We can give some tax direction and point you to a tax adviser.  However, we give no legal advice, no traditional financial planning, protection or mortgages, etc. If you are an intermediary with a client where other services are needed, we can refer you to assistance.  This may be to a Raymond James contact or to an external supplier.
  • Fully competent. We are seasoned global investment managers with long experience in global and U.K. securities markets.

*RAYMOND JAMES is a registered trademark of Raymond James Financial, Inc.

Getting Started

    • Meet us. Either personally or by phone, we would like to meet you. We can provide you with information, but we would suggest a meeting between you and one of our investment managers.
    • Assess suitability. Our services are not suitable for every potential client. Further, we find that global investment is not suitable for every client. However, we do believe that most investors should have global investments as a portion of a diversified investment portfolio. Each client needs suitability assessment for our services against what portion that should be versus our minimum investment guidelines.

  • Have us meet you and your client. You and your client should meet with us. If you can not or wish not to attend, we are able to meet with your client without you. However, this meeting is important to help assess risk tolerances and investment objectives.
  • Opening an account. Once suitability and risk assessments have been completed, a client opens an account on the most suitable platform. Appropriate documents including account opening documents and anti-money laundering documents open an account. Generally, this procedure opens the way for all investment without other than incidental documentation for the future.

Relationship Management and Ongoing Support

Open architecture means that you can pick and choose how much or how little you want to be involved in the investment process with your client. You can assist your client at every step of the process or we can take 100% of the process.

The following are just a few of the services that are integral to our business which support you and your client:

  • New Business Processing – account opening and asset transfer
  • Investment Administration – Settlements, contract notes, dividend processing, corporate actions, client data maintenance
  • Proprietary or In-house Dealing Services – Online order entry and fully staffed Raymond James dealing desk
  • Consolidated Client Reporting – Statements and valuations, including performance reporting, benchmarking and market commentary
  • Tax Reporting – Consolidated tax vouchers and CGT annual reports
  • Revenue Processing
  • US Client Services 

To discuss or for more information, please contact us by phone on +44 (0)20 7929 5225 or by e-mail at leighton.bascom@raymondjames.com