DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

Waddell & Reed Investments

Former SEC-registered adviserOverland Park, KansasCRD 106343SEC 801-40372IAPD
Legal name Waddell & Reed Investment Management Co
Latest filing Oct 11, 2018
First filing on the tape Mar 30, 2012 · 34 filings
RAUM
$19B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.4%
$70.8M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
143
86 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$37.0M gross assets
History
34 filings and snapshots on the tape
RAUM$19B as of Mar 29, 2018
Mar 30, 2012$37B then
HNW client RAUM: $70.8M
State-registered IARs (5.B.3)0 as of Mar 29, 2018
Mar 30, 20120 then
Employees (5.A)143 as of Mar 29, 2018
Apr 1, 2013112 then
Private funds1 as of Mar 29, 2018
Mar 30, 20123 then
RAUM -40% over the last fiscal year-28% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Oct 11, 2018; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$356MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
16%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-40%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
Custody
$37.0M, 1 clientsreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$16B83%
  • Pension and profit-sharing plans$1.9B9.7%
  • State and municipal entities$1.0B5.3%
  • Pooled investment vehicles$240M1.2%
  • Insurance companies$117M0.6%
  • High-net-worth individuals$70.8M0.4%
  • Charitable organizations$58.5M0.3%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
23reported
Charitable clients
n/areported
Accounts
54reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$37.0M for 1 clientsreported
Compensation
% of AUM, performancereported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      Waddell & Reed Large Company Growth Fund, LLCno longer reportedOther Private Fund$9.8M5Mar 30, 2012
      Waddell & Reed Asset Strategy Fund, LLCno longer reportedOther Private Fund$2.6M2Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • Kyle Brent Bloss · Senior Vice President, Directorcontrol
        since 03/2014 · owns less than 5%
      • Patrick Mark Buyle · Senior Vice President And General Counselcontrol
        since 08/2018 · owns less than 5%
      • Russell Benjamin Clouse · Senior Vice President, Chief Financial Officercontrol
        since 02/2018 · owns less than 5%
      • Jon-Jason Richie · Vice President, Chief Compliance Officercontrol
        since 07/2015 · owns less than 5%
      • James Philip Sanders · President, Chief Executive Officer, Chief Investment Officer, Directorcontrol
        since 08/2016 · owns less than 5%
      • Ganteanme Daniel Scherman · Senior Vice President, Chief Risk Officercontrol
        since 07/2016 · owns less than 5%
      • Earl John Sundeen · Executive Vice President, Chief Administrative Officer, Directorcontrol
        since 06/2004 · owns less than 5%
      • Augustus Kurt Sundeen · Senior Vice President, Chief Operations Officercontrol
        since 10/2013 · owns less than 5%
      Entity owners
      • Waddell & Reed, Inc. · Shareholder
        direct · owns 75% or more
      • Waddell & Reed Financial Services, Inc. · Shareholder
        indirect · owns 75% or more of Waddell & Reed, Inc.
      • Waddell & Reed Financial, Inc. · Shareholder
        indirect · owns 75% or more of Waddell & Reed Financial Services, Inc. · public reporting company
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 86 to 54
        Apr 27, 2017 to Mar 29, 2018
      • Advisory employees · 78 to 86
        Apr 27, 2017 to Mar 29, 2018
      • BD registered reps · 25 to 18
        Apr 27, 2017 to Mar 29, 2018
      • Pension plan clients · unset to 23.0
        Apr 27, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 2.0
        Apr 27, 2017 to Mar 29, 2018
      • Assets in custody · $50.3M to $37.0M
        Apr 27, 2017 to Mar 29, 2018
      • Employees · 150 to 143
        Apr 27, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Apr 27, 2017 to Mar 29, 2018
      • Private funds · 3 to 1
        Apr 27, 2017 to Mar 29, 2018
      • Discretionary RAUM · $32B to $19B
        Apr 27, 2017 to Mar 29, 2018
      • HNW RAUM · unset to 70788549.0
        Apr 27, 2017 to Mar 29, 2018
      • Pension RAUM · unset to 1863556231.0
        Apr 27, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 240157469.0
        Apr 27, 2017 to Mar 29, 2018
      • RAUM · $32B to $19B
        Apr 27, 2017 to Mar 29, 2018
      • Accounts · 125 to 86
        Dec 19, 2016 to Mar 31, 2017
      • Assets in custody · $53.4M to $50.3M
        Dec 19, 2016 to Mar 31, 2017
      • Employees · 159 to 150
        Dec 19, 2016 to Mar 31, 2017
      • Discretionary RAUM · $43B to $32B
        Dec 19, 2016 to Mar 31, 2017
      • RAUM · $43B to $32B
        Dec 19, 2016 to Mar 31, 2017
      • Accounts · 133 to 125
        Apr 29, 2016 to Aug 16, 2016
      • Assets in custody · $93.7M to $53.4M
        Apr 29, 2016 to Aug 16, 2016
      • Discretionary RAUM · $47B to $43B
        Apr 29, 2016 to Aug 16, 2016
      • RAUM · $47B to $43B
        Apr 29, 2016 to Aug 16, 2016
      • Accounts · 142 to 133
        Aug 7, 2015 to Mar 30, 2016
      • Advisory employees · 77 to 78
        Aug 7, 2015 to Mar 30, 2016
      • Assets in custody · $110M to $93.7M
        Aug 7, 2015 to Mar 30, 2016
      • Discretionary RAUM · $51B to $47B
        Aug 7, 2015 to Mar 30, 2016
      • Non-discretionary RAUM · $888M to $0
        Aug 7, 2015 to Mar 30, 2016
      • RAUM · $52B to $47B
        Aug 7, 2015 to Mar 30, 2016
      • Business name · WADDELL & REED INVESTMENT MANAGEMENT CO to WADDELL & REED INVESTMENTS
        Mar 30, 2016 to Mar 30, 2016
      • Accounts · 150 to 142
        May 30, 2014 to Mar 31, 2015
      • Advisory employees · 74 to 77
        May 30, 2014 to Mar 31, 2015
      • BD registered reps · 8 to 25
        May 30, 2014 to Mar 31, 2015
      • Assets in custody · $113M to $110M
        May 30, 2014 to Mar 31, 2015
      • Employees · 118 to 159
        May 30, 2014 to Mar 31, 2015
      • Discretionary RAUM · $49B to $51B
        May 30, 2014 to Mar 31, 2015
      • Non-discretionary RAUM · $590M to $888M
        May 30, 2014 to Mar 31, 2015
      • RAUM · $49B to $52B
        May 30, 2014 to Mar 31, 2015
      • Related bank · true to false
        May 30, 2014 to Mar 31, 2015
      • Accounts · 158 to 150
        Oct 11, 2013 to Apr 2, 2014
      Signals
      1 dated events
      • Waddell & Reed Investments reported RAUM $19.2B, down 40% from $31.8B (2017-04-27 to 2018-03-29)
        Mar 29, 2018 · RAUM change · derived
      Across DFX
      shared identifiers only, never a name match
      Provenance
      Form ADV
      SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
      Advisors
      IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
      Class
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026