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

Ivy Investments

Former SEC-registered adviserOverland Park, KansasCRD 123381SEC 801-61515IAPD
Legal name Ivy Investment Management Company
Latest filing Jun 29, 2022
First filing on the tape Mar 30, 2012 · 43 filings
RAUM
$1.6B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
64
32 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$53.1M gross assets
History
43 filings and snapshots on the tape
RAUM$1.6B as of Jun 29, 2022
Mar 30, 2012$46B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 29, 2022
Mar 30, 20120 then
Employees (5.A)64 as of Jun 29, 2022
Apr 1, 2013109 then
Private funds1 as of Jun 29, 2022
Mar 29, 20191 then
RAUM -6.7% over the last fiscal year-72% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 29, 2022; 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
$44.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
71%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
-6.7%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 vehiclesreportedItem 5.G
Custody
$53.1M, 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
  • Insurance companies$481M31%
  • Pooled investment vehicles$415M27%
  • Pension and profit-sharing plans$376M24%
  • State and municipal entities$187M12%
  • Charitable organizations$67.1M4.3%
  • Corporations and businesses$33.1M2.1%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
35reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$53.1M 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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Francis Michael Capuzzi · Senior Vice President, US Chief Operating Officercontrol
        since 04/2021 · owns less than 5%
      • Forrester David Connor · Senior Vice President, General Counselcontrol
        since 04/2021 · owns less than 5%
      • John Michael Daley · Senior Vice President, Principal Financial Officercontrol
        since 06/2021 · owns less than 5%
      • Stephen Hoban · Vice President, Controller, Chief Financial Officercontrol
        since 04/2021 · owns less than 5%
      • Keith Shawn Lytle · President, Executive Directorcontrol
        since 04/2021 · owns less than 5%
      • Lawrence Brian Murray · Senior Vice President, Division Directorcontrol
        since 04/2021 · owns less than 5%
      • Jon-Jason Richie · Vice President, Chief Compliance Officercontrol
        since 07/2015 · owns less than 5%
      • Richard Salus · Senior Vice President, Global Head Of Fund Services, Division Directorcontrol
        since 04/2021 · owns less than 5%
      Entity owners
      • Waddell & Reed Financial, Inc. · Shareholder
        direct · owns 75% or more
      • Macquarie Affiliated Managers (USA) Inc. · Parent
        indirect · owns 75% or more of Macquarie Management Holdings, Inc.
      • Macquarie Affiliated Managers Holdings (USA) Inc. · Parent
        indirect · owns 75% or more of Macquarie Affiliated Managers (USA) Inc.
      • Macquarie Asset Management Holdings Pty Limited · Parent
        indirect · owns 75% or more of Macquarie Asset Management US Holdings Pty Limited
      • Macquarie Asset Management US Holdings Pty Limited · Parent
        indirect · owns 75% or more of Macquarie Fg Holdings Inc.
      • Macquarie Fg Holdings Inc. · Parent
        indirect · owns 75% or more of Macquarie Affiliated Managers Holdings (USA) Inc.
      • Macquarie Group Limited · Parent
        indirect · owns 75% or more of Macquarie Asset Management Holdings Pty Limited
      • Macquarie Management Holdings, Inc. · Parent
        indirect · owns 75% or more of Waddell & Reed Financial, Inc.
      Related persons
      Schedule D 7.A
      Advisers that list Ivy Investments as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 38 to 35
        Jan 31, 2022 to Jun 29, 2022
      • Advisory employees · 40 to 32
        Jan 31, 2022 to Jun 29, 2022
      • Pooled vehicle clients · 8 to 7
        Jan 31, 2022 to Jun 29, 2022
      • Assets in custody · $57.3M to $53.1M
        Jan 31, 2022 to Jun 29, 2022
      • Employees · 77 to 64
        Jan 31, 2022 to Jun 29, 2022
      • Discretionary RAUM · $1.7B to $1.6B
        Jan 31, 2022 to Jun 29, 2022
      • Pension RAUM · $395M to $376M
        Jan 31, 2022 to Jun 29, 2022
      • Pooled vehicle RAUM · $451M to $415M
        Jan 31, 2022 to Jun 29, 2022
      • RAUM · $1.7B to $1.6B
        Jan 31, 2022 to Jun 29, 2022
      • Accounts · 41 to 38
        Dec 23, 2021 to Jan 31, 2022
      • Advisory employees · 91 to 40
        Dec 23, 2021 to Jan 31, 2022
      • Advisory activities · 3 to 2
        Dec 23, 2021 to Jan 31, 2022
      • BD registered reps · 4 to 3
        Dec 23, 2021 to Jan 31, 2022
      • Pension plan clients · 5.0 to unset
        Dec 23, 2021 to Jan 31, 2022
      • Assets in custody · $58.4M to $57.3M
        Dec 23, 2021 to Jan 31, 2022
      • Employees · 144 to 77
        Dec 23, 2021 to Jan 31, 2022
      • Discretionary RAUM · $1.7B to $1.7B
        Dec 23, 2021 to Jan 31, 2022
      • Pension RAUM · $358M to $395M
        Dec 23, 2021 to Jan 31, 2022
      • Pooled vehicle RAUM · $372M to $451M
        Dec 23, 2021 to Jan 31, 2022
      • RAUM · $1.7B to $1.7B
        Dec 23, 2021 to Jan 31, 2022
      • Accounts · 43 to 41
        May 28, 2021 to Jun 28, 2021
      • Advisory employees · 92 to 91
        May 28, 2021 to Jun 28, 2021
      • Advisory activities · 4 to 3
        May 28, 2021 to Jun 28, 2021
      • BD registered reps · 5 to 4
        May 28, 2021 to Jun 28, 2021
      • Assets in custody · $59.9M to $58.4M
        May 28, 2021 to Jun 28, 2021
      • Employees · 145 to 144
        May 28, 2021 to Jun 28, 2021
      • Discretionary RAUM · $6.1B to $1.7B
        May 28, 2021 to Jun 28, 2021
      • Pension RAUM · $361M to $358M
        May 28, 2021 to Jun 28, 2021
      • Pooled vehicle RAUM · $371M to $372M
        May 28, 2021 to Jun 28, 2021
      • RAUM · $6.1B to $1.7B
        May 28, 2021 to Jun 28, 2021
      • Accounts · 134 to 43
        Mar 31, 2021 to May 28, 2021
      • Advisory employees · 93 to 92
        Mar 31, 2021 to May 28, 2021
      • BD registered reps · 7 to 5
        Mar 31, 2021 to May 28, 2021
      • Pension plan clients · 6 to 5
        Mar 31, 2021 to May 28, 2021
      • Assets in custody · $56.9M to $59.9M
        Mar 31, 2021 to May 28, 2021
      • Employees · 134 to 145
        Mar 31, 2021 to May 28, 2021
      • Discretionary RAUM · $75B to $6.1B
        Mar 31, 2021 to May 28, 2021
      • Pension RAUM · $371M to $361M
        Mar 31, 2021 to May 28, 2021
      • Pooled vehicle RAUM · $337M to $371M
        Mar 31, 2021 to May 28, 2021
      • RAUM · $75B to $6.1B
        Mar 31, 2021 to May 28, 2021
      Signals
      19 dated events
      • 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)
        Jun 29, 2022 · Control person left · inference
      • Kyle Brent Bloss (Senior Vice President, Director) no longer on Schedule A of Ivy Investments (listed 2021-12-23, absent 2022-01-31)
        Jan 31, 2022 · Control person left · inference
      • 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)
        Jan 31, 2022 · Control person left · inference
      • Ivy Investments reported RAUM $1.7B, down 73% from $6.1B (2021-05-28 to 2021-06-28)
        Jun 28, 2021 · RAUM change · derived
      • Russell Benjamin Clouse (Senior Vice President, Director) no longer on Schedule A of Ivy Investments (listed 2021-05-28, absent 2021-06-28)
        Jun 28, 2021 · Control person left · inference
      • John Michael Daley (Senior Vice President, Principal Financial Officer) appeared on Schedule A of Ivy Investments
        Jun 28, 2021 · Control person joined · fact
      • Ivy Investments reported RAUM $6.1B, down 92% from $75.3B (2021-03-31 to 2021-05-28)
        May 28, 2021 · RAUM change · derived
      • Keith Shawn Lytle (President, Executive Director) appeared on Schedule A of Ivy Investments
        May 28, 2021 · Control person joined · fact
      • Lawrence Brian Murray (Senior Vice President, Division Director) appeared on Schedule A of Ivy Investments
        May 28, 2021 · Control person joined · fact
      • Forrester David Connor (Senior Vice President, General Counsel) appeared on Schedule A of Ivy Investments
        May 28, 2021 · Control person joined · fact
      • Richard Salus (Senior Vice President, Global Head Of Fund Services, Division Director) appeared on Schedule A of Ivy Investments
        May 28, 2021 · Control person joined · fact
      • Francis Michael Capuzzi (Senior Vice President, Us Chief Operating Officer) appeared on Schedule A of Ivy Investments
        May 28, 2021 · Control person joined · fact
      • Stephen Hoban (Vice President, Controller, Chief Financial Officer) appeared on Schedule A of Ivy Investments
        May 28, 2021 · Control person joined · fact
      • James Philip Sanders (President, Director) no longer on Schedule A of Ivy Investments (listed 2021-03-31, absent 2021-05-28)
        May 28, 2021 · Control person left · inference
      • Patrick Mark Buyle (Senior Vice President, General Counsel) no longer on Schedule A of Ivy Investments (listed 2021-03-31, absent 2021-05-28)
        May 28, 2021 · Control person left · inference
      • 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)
        Jan 15, 2020 · Control person left · inference
      • Partner Daniel Hanson (Senior Vice President, Chief Investment Officer) appeared on Schedule A of Ivy Investments
        Jun 12, 2019 · Control person joined · fact
      • 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)
        Mar 29, 2019 · Control person left · inference
      • Ivy Investments reported RAUM $62.3B, up 28% from $48.6B (2017-03-31 to 2018-03-29)
        Mar 29, 2018 · RAUM change · derived
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      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