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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

IVY INVESTMENTS

IVY INVESTMENT MANAGEMENT COMPANY, CRD 123381

OVERLAND PARK, KS

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:8027e6c0-805e-cc18-db40-0c58baef5c68

Data as of Jun 29, 2022 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:40 AM UTC and rebuilt at most every 15 minutes.

Relationships: 23
Dated events: 19
On other graphs: 0
Observed: Mar 30, 2012 to Jun 29, 2022
43 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $1.6BItem 5.F on the latest filing (2022-06-29); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.6B
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 64
Advisory employees: 32
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 35
Private funds: 1Schedule D 7.B(1)
Private fund GAV: $53.1Mgross asset value as reported per fund; never fund size
Custody, client assets: $53.1M
SEC number: 801-61515
CRD: 123381
Filings on the tape: 43
First filed: Mar 30, 2012
Latest filed: Jun 29, 2022
Organised: Corporation, Delaware

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
CAPUZZI, MICHAEL, FRANCIS	SENIOR VICE PRESIDENT, US CHIEF OPERATING OFFICER	Na	yes	04/2021	May 28, 2021	Jun 29, 2022
CONNOR, DAVID, FORRESTER	SENIOR VICE PRESIDENT, GENERAL COUNSEL	Na	yes	04/2021	May 28, 2021	Jun 29, 2022
Daley, Michael, John	SENIOR VICE PRESIDENT, PRINCIPAL FINANCIAL OFFICER	Na	yes	06/2021	Jun 28, 2021	Jun 29, 2022
HOBAN, STEPHEN	VICE PRESIDENT, CONTROLLER, CHIEF FINANCIAL OFFICER	Na	yes	04/2021	May 28, 2021	Jun 29, 2022
LYTLE, SHAWN, KEITH	PRESIDENT, EXECUTIVE DIRECTOR	Na	yes	04/2021	May 28, 2021	Jun 29, 2022
MACQUARIE AFFILIATED MANAGERS (USA) INC.	Parent	E	yes	01/2010	May 28, 2021	Jun 29, 2022
MACQUARIE AFFILIATED MANAGERS HOLDINGS (USA) INC.	Parent	E	yes	01/2010	May 28, 2021	Jun 29, 2022
MACQUARIE ASSET MANAGEMENT HOLDINGS PTY LIMITED	Parent	E	yes	07/2020	May 28, 2021	Jun 29, 2022
MACQUARIE ASSET MANAGEMENT US HOLDINGS PTY LIMITED	Parent	E	yes	07/2020	May 28, 2021	Jun 29, 2022
MACQUARIE FG HOLDINGS INC.	Parent	E	yes	01/2010	May 28, 2021	Jun 29, 2022
MACQUARIE GROUP LIMITED	Parent	E	yes	12/2011	May 28, 2021	Jun 29, 2022
MACQUARIE MANAGEMENT HOLDINGS, INC.	Parent	E	yes	04/2021	May 28, 2021	Jun 29, 2022
MURRAY, BRIAN, LAWRENCE	SENIOR VICE PRESIDENT, DIVISION DIRECTOR	Na	yes	04/2021	May 28, 2021	Jun 29, 2022
RICHIE, JON-JASON	VICE PRESIDENT, CHIEF COMPLIANCE OFFICER	Na	yes	07/2015	Jul 27, 2015	Jun 29, 2022
SALUS, RICHARD	SENIOR VICE PRESIDENT, GLOBAL HEAD OF FUND SERVICES, DIVISION DIRECTOR	Na	yes	04/2021	May 28, 2021	Jun 29, 2022
WADDELL & REED FINANCIAL, INC.	Shareholder	E	yes	12/2002	Mar 30, 2012	Jun 29, 2022

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
MACQUARIE INVESTMENT MANAGEMENT GLOBAL LIMITED	n/a	Other adviser	$187B	N	yes	n/a
MACQUARIE INVESTMENT MANAGEMENT BUSINESS TRUST	n/a	Asset manager	$144B	N	yes	n/a
MACQUARIE INVESTMENT MANAGEMENT EUROPE LIMITED	n/a	Asset manager	$25B	N	yes	n/a
MACQUARIE INVESTMENT MANAGEMENT AUSTRIA KAPITALANLAGE AG	n/a	Former SEC adviser	$12B	N	yes	n/a
MACQUARIE INVESTMENT MANAGEMENT EUROPE S.A.	n/a	Former SEC adviser	$4.5B	N	yes	n/a
MACQUARIE FUNDS MANAGEMENT HONG KONG LIMITED	n/a	Former SEC adviser	$3.2B	N	yes	n/a
IVY DISTRIBUTORS, INC.	n/a	n/a	n/a	Y	no	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2022	Jun 29, 2022	$1.6B	$1.6B	64	32	0	1	$53.1M
2021	Jun 28, 2021	$1.7B	$1.7B	144	91	0	1	$58.4M
2020	Mar 30, 2021	$75B	$75B	134	93	0	1	$56.9M
2019	Mar 30, 2020	$71B	$71B	135	91	0	1	$41.3M
2018	Mar 29, 2019	$68B	$68B	145	96	0	1	$33.1M
2017	Mar 29, 2018	$62B	$62B	143	86	0	n/a	n/a
2016	Mar 31, 2017	$49B	$49B	150	78	n/a	n/a	n/a
2015	Mar 30, 2016	$57B	$57B	159	78	n/a	n/a	n/a
2014	Mar 31, 2015	$72B	$72B	159	77	n/a	n/a	n/a
2013	Mar 31, 2014	$7.5B	$7.5B	118	74	n/a	n/a	n/a
2012	Apr 1, 2013	$59B	$59B	109	68	n/a	n/a	n/a
2011	Mar 30, 2012	$46B	$46B	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2022	$1.6B	$1.7B	-6.7%	$71B	-72.0%	64	144	0	0

Relationships

Affiliated with (7)

→ NOMURA INVESTMENT MANAGEMENT BUSINESS TRUSTRegistered adviserother investment adviser, common control
factForm ADV
→ MACQUARIE FUNDS MANAGEMENT HONG KONG LIMITEDRegistered adviserother investment adviser, common control
factForm ADV
→ MACQUARIE INVESTMENT MANAGEMENT GLOBAL LIMITEDRegistered adviserother investment adviser, common control
factForm ADV
→ MACQUARIE INVESTMENT MANAGEMENT EUROPE LIMITEDRegistered adviserother investment adviser, common control
factForm ADV
→ MACQUARIE INVESTMENT MANAGEMENT AUSTRIA KAPITALANLAGE AGRegistered adviserother investment adviser, common control
factForm ADV
→ MACQUARIE INVESTMENT MANAGEMENT EUROPE S.A.Registered adviserother investment adviser, common control
factForm ADV
← WADDELL & REED INVESTMENTSRegistered adviserother investment adviser, common control
factForm ADV

Controls (15)

← CAPUZZI, MICHAEL, FRANCISOwnerSENIOR VICE PRESIDENT, US CHIEF OPERATING OFFICER, ownership code NA, individual
May 28, 2021 to presentfactForm ADV
← SALUS, RICHARDOwnerSENIOR VICE PRESIDENT, GLOBAL HEAD OF FUND SERVICES, DIVISION DIRECTOR, ownership code NA, individual
May 28, 2021 to presentfactForm ADV
← MURRAY, BRIAN, LAWRENCEOwnerSENIOR VICE PRESIDENT, DIVISION DIRECTOR, ownership code NA, individual
May 28, 2021 to presentfactForm ADV
← CONNOR, DAVID, FORRESTEROwnerSENIOR VICE PRESIDENT, GENERAL COUNSEL, ownership code NA, individual
May 28, 2021 to presentfactForm ADV
← RICHIE, JON-JASONOwnerVICE PRESIDENT, CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jul 27, 2015 to presentfactForm ADV
← HOBAN, STEPHENOwnerVICE PRESIDENT, CONTROLLER, CHIEF FINANCIAL OFFICER, ownership code NA, individual
May 28, 2021 to presentfactForm ADV
← LYTLE, SHAWN, KEITHOwnerPRESIDENT, EXECUTIVE DIRECTOR, ownership code NA, individual
May 28, 2021 to presentfactForm ADV
← Daley, Michael, JohnOwnerSENIOR VICE PRESIDENT, PRINCIPAL FINANCIAL OFFICER, ownership code NA, individual
Jun 28, 2021 to presentfactForm ADV
← MACQUARIE AFFILIATED MANAGERS (USA) INC.OwnerPARENT, ownership code E, domestic entity
May 28, 2021 to presentfactForm ADV
← MACQUARIE ASSET MANAGEMENT HOLDINGS PTY LIMITEDOwnerPARENT, ownership code E, foreign entity
May 28, 2021 to presentfactForm ADV
← MACQUARIE ASSET MANAGEMENT US HOLDINGS PTY LIMITEDOwnerPARENT, ownership code E, foreign entity
May 28, 2021 to presentfactForm ADV
← MACQUARIE FG HOLDINGS INC.OwnerPARENT, ownership code E, domestic entity
May 28, 2021 to presentfactForm ADV
← MACQUARIE GROUP LIMITEDOwnerPARENT, ownership code E, domestic entity
May 28, 2021 to presentfactForm ADV
← MACQUARIE MANAGEMENT HOLDINGS, INC.OwnerPARENT, ownership code E, domestic entity
May 28, 2021 to presentfactForm ADV
← WADDELL & REED FINANCIAL, INC.OwnerSHAREHOLDER, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV

Dated events

Occurred
Jun 29, 2022
Control person left
Ganteanme Daniel Scherman (Senior Vice President, Chief Risk Officer) no longer on Schedule A of Ivy Investments (listed 2022-01-31, absent 2022-06-29)
Form ADVobserved 6 days ago
Occurred
Jan 31, 2022
Control person left
Kyle Brent Bloss (Senior Vice President, Director) no longer on Schedule A of Ivy Investments (listed 2021-12-23, absent 2022-01-31)
Form ADVobserved 6 days ago
Occurred
Jan 31, 2022
Control person left
Partner Daniel Hanson (Senior Vice President, Chief Investment Officer, Director) no longer on Schedule A of Ivy Investments (listed 2021-12-23, absent 2022-01-31)
Form ADVobserved 6 days ago
Occurred
Jun 28, 2021
Regulatory AUM changed
Ivy Investments reported RAUM $1.7B, down 73% from $6.1B (2021-05-28 to 2021-06-28)
Form ADVobserved 6 days ago
$-4.5B
Occurred
Jun 28, 2021
Control person left
Russell Benjamin Clouse (Senior Vice President, Director) no longer on Schedule A of Ivy Investments (listed 2021-05-28, absent 2021-06-28)
Form ADVobserved 6 days ago
Occurred
Jun 28, 2021
Control person joined
John Michael Daley (Senior Vice President, Principal Financial Officer) appeared on Schedule A of Ivy Investments
Form ADVobserved 6 days ago
Occurred
May 28, 2021
Regulatory AUM changed
Ivy Investments reported RAUM $6.1B, down 92% from $75.3B (2021-03-31 to 2021-05-28)
Form ADVobserved 6 days ago
$-69.2B
Occurred
May 28, 2021
Control person joined
Keith Shawn Lytle (President, Executive Director) appeared on Schedule A of Ivy Investments
Form ADVobserved 6 days ago
Occurred
May 28, 2021
Control person joined
Lawrence Brian Murray (Senior Vice President, Division Director) appeared on Schedule A of Ivy Investments
Form ADVobserved 6 days ago
Occurred
May 28, 2021
Control person joined
Forrester David Connor (Senior Vice President, General Counsel) appeared on Schedule A of Ivy Investments
Form ADVobserved 6 days ago
Occurred
May 28, 2021
Control person joined
Richard Salus (Senior Vice President, Global Head Of Fund Services, Division Director) appeared on Schedule A of Ivy Investments
Form ADVobserved 6 days ago
Occurred
May 28, 2021
Control person joined
Francis Michael Capuzzi (Senior Vice President, Us Chief Operating Officer) appeared on Schedule A of Ivy Investments
Form ADVobserved 6 days ago
Occurred
May 28, 2021
Control person joined
Stephen Hoban (Vice President, Controller, Chief Financial Officer) appeared on Schedule A of Ivy Investments
Form ADVobserved 6 days ago
Occurred
May 28, 2021
Control person left
James Philip Sanders (President, Director) no longer on Schedule A of Ivy Investments (listed 2021-03-31, absent 2021-05-28)
Form ADVobserved 6 days ago
Occurred
May 28, 2021
Control person left
Patrick Mark Buyle (Senior Vice President, General Counsel) no longer on Schedule A of Ivy Investments (listed 2021-03-31, absent 2021-05-28)
Form ADVobserved 6 days ago
Occurred
Jan 15, 2020
Control person left
Earl John Sundeen (Executive Vice President, Chief Administrative Officer) no longer on Schedule A of Ivy Investments (listed 2019-07-11, absent 2020-01-15)
Form ADVobserved 6 days ago
Occurred
Jun 12, 2019
Control person joined
Partner Daniel Hanson (Senior Vice President, Chief Investment Officer) appeared on Schedule A of Ivy Investments
Form ADVobserved 6 days ago
Occurred
Mar 29, 2019
Control person left
Augustus Kurt Sundeen (Senior Vice President, Chief Operations Officer) no longer on Schedule A of Ivy Investments (listed 2018-10-11, absent 2019-03-29)
Form ADVobserved 6 days ago
Occurred
Mar 29, 2018
Regulatory AUM changed
Ivy Investments reported RAUM $62.3B, up 28% from $48.6B (2017-03-31 to 2018-03-29)
Form ADVobserved 6 days ago
$13.6B

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8027e6c0-805e-cc18-db40-0c58baef5c68
First observed: Mar 30, 2012
Last observed: Jun 29, 2022 51 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

IVY INVESTMENTS

IVY INVESTMENT MANAGEMENT COMPANY, CRD 123381

OVERLAND PARK, KS

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:8027e6c0-805e-cc18-db40-0c58baef5c68

Data as of Jun 29, 2022 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:40 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CAPUZZI, MICHAEL, FRANCIS

SENIOR VICE PRESIDENT, US CHIEF OPERATING OFFICER

yes

04/2021

May 28, 2021

Jun 29, 2022

CONNOR, DAVID, FORRESTER

SENIOR VICE PRESIDENT, GENERAL COUNSEL

yes

04/2021

May 28, 2021

Jun 29, 2022

Daley, Michael, John

SENIOR VICE PRESIDENT, PRINCIPAL FINANCIAL OFFICER

yes

06/2021

Jun 28, 2021

Jun 29, 2022

HOBAN, STEPHEN

VICE PRESIDENT, CONTROLLER, CHIEF FINANCIAL OFFICER

yes

04/2021

May 28, 2021

Jun 29, 2022

LYTLE, SHAWN, KEITH

PRESIDENT, EXECUTIVE DIRECTOR

yes

04/2021

May 28, 2021

Jun 29, 2022

MACQUARIE AFFILIATED MANAGERS (USA) INC.

Parent

yes

01/2010

May 28, 2021

Jun 29, 2022

MACQUARIE AFFILIATED MANAGERS HOLDINGS (USA) INC.

Parent

yes

01/2010

May 28, 2021

Jun 29, 2022

MACQUARIE ASSET MANAGEMENT HOLDINGS PTY LIMITED

Parent

yes

07/2020

May 28, 2021

Jun 29, 2022

MACQUARIE ASSET MANAGEMENT US HOLDINGS PTY LIMITED

Parent

yes

07/2020

May 28, 2021

Jun 29, 2022

MACQUARIE FG HOLDINGS INC.

Parent

yes

01/2010

May 28, 2021

Jun 29, 2022

MACQUARIE GROUP LIMITED

Parent

yes

12/2011

May 28, 2021

Jun 29, 2022

MACQUARIE MANAGEMENT HOLDINGS, INC.

Parent

yes

04/2021

May 28, 2021

Jun 29, 2022

MURRAY, BRIAN, LAWRENCE

SENIOR VICE PRESIDENT, DIVISION DIRECTOR

yes

04/2021

May 28, 2021

Jun 29, 2022

RICHIE, JON-JASON

VICE PRESIDENT, CHIEF COMPLIANCE OFFICER

yes

07/2015

Jul 27, 2015

Jun 29, 2022

SALUS, RICHARD

SENIOR VICE PRESIDENT, GLOBAL HEAD OF FUND SERVICES, DIVISION DIRECTOR

yes

04/2021

May 28, 2021

Jun 29, 2022

WADDELL & REED FINANCIAL, INC.

Shareholder

yes

12/2002

Mar 30, 2012

Jun 29, 2022

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

MACQUARIE INVESTMENT MANAGEMENT GLOBAL LIMITED

n/a

Other adviser

$187B

yes

n/a

MACQUARIE INVESTMENT MANAGEMENT BUSINESS TRUST

n/a

Asset manager

$144B

yes

n/a

MACQUARIE INVESTMENT MANAGEMENT EUROPE LIMITED

n/a

Asset manager

$25B

yes

n/a

MACQUARIE INVESTMENT MANAGEMENT AUSTRIA KAPITALANLAGE AG

n/a

Former SEC adviser

$12B

yes

n/a

MACQUARIE INVESTMENT MANAGEMENT EUROPE S.A.

n/a

Former SEC adviser

$4.5B

yes

n/a

MACQUARIE FUNDS MANAGEMENT HONG KONG LIMITED

n/a

Former SEC adviser

$3.2B

yes

n/a

IVY DISTRIBUTORS, INC.

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2022

Jun 29, 2022

$1.6B

$53.1M

2021

Jun 28, 2021

$1.7B

144

$58.4M

2020

Mar 30, 2021

$75B

134

$56.9M

2019

Mar 30, 2020

$71B

135

$41.3M

2018

Mar 29, 2019

$68B

145

$33.1M

2017

Mar 29, 2018

$62B

143

n/a

2016

Mar 31, 2017

$49B

150

n/a

2015

Mar 30, 2016

$57B

159

n/a

2014

Mar 31, 2015

$72B

159

n/a

2013

Mar 31, 2014

$7.5B

118

n/a

2012

Apr 1, 2013

$59B

109

n/a

2011

Mar 30, 2012

$46B

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2022

$1.6B

$1.7B

-6.7%

$71B

-72.0%

144