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 & Associates, LLC

Former SEC-registered adviserMemphis, TennesseeCRD 283723SEC 801-107784websiteIAPD
Latest filing Mar 26, 2026
First filing on the tape Apr 28, 2016 · 32 filings
SEC status approved since May 18, 2016
RAUM
$2.4B
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
94%
$2.2B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
21
9 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$2.4B as of Mar 26, 2026
Mar 28, 2017$699M then
HNW client RAUM$1.8B as of Mar 26, 2026
Mar 29, 2018$560M then
State-registered IARs (5.B.3)10 as of Mar 26, 2026
Mar 28, 201710 then
Employees (5.A)21 as of Mar 26, 2026
Mar 28, 201720 then
Private funds: no history
RAUM +40% over the last fiscal year+28% a year over threeIARs 11 to 10offices 2 to 1
Practice profile
derived from the filing of Mar 26, 2026; every figure names its basis
RAUM per advisor
$238MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
100derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$5.7MderivedHNW RAUM over HNW clients
Average account
$800,418derivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
3.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.1derivedItem 5.A over advisors
Advisors per office
5.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+40%derivedbetween the last two annual amendments
Advisor growth, one year
-9.1%derivedItem 5.B.3 between annual amendments
Client growth, one year
+3.4%derived
Compensation
percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, otherreportedItem 5.G
Custody
$430M, 161 clientsreportedItem 9.A
Ownership
a PE fund or sponsor is a 25 percent or greater owner 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • controlled by a public reporting company (10.A)
  • marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$1.8B74%
  • Individuals$480M20%
  • Pension and profit-sharing plans$89.5M3.8%
  • Corporations and businesses$46.2M1.9%
  • Charitable organizations$1.8M0.1%
Individual clients
695reported
HNW clients
306reported
Pension plan clients
36reported
Charitable clients
3reported
Accounts
2,969reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
$430M for 161 clientsreported
Compensation
% of AUM, fixed, hourlyreported
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
11 left, 1 joined in 12 months
net -10 in 12 months11 left in 90 days0 joined in 90 days11 left over 36 months
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Embry Sean Gould · Senior Wealth Strategistcontrol
    since 07/2022 · owns less than 5%
  • Jenkins Perry Green · Chief Financial Officer /Chief Compliance Officercontrol
    since 04/2016 · owns less than 5%
  • Sewall David Waddell · President, Chief Executive Officer And Directorcontrol
    since 04/2016 · owns less than 5%
Entity owners
  • Focus Operating, LLC · Member
    direct · owns 75% or more
  • Cd&R Ferdinand Co-Investor, L.P. · Partner
    indirect · owns 25% to 50% of Cd&R Ferdinand Holdings, L.P.
  • Cd&R Ferdinand Holdings, L.P. · Partner
    indirect · owns 50% to 75% of Ferdinand Ffp Ultimate Holdings, LP
  • Clayton, Dubilier & Rice Fund Xii, L.P. · Partner
    indirect · owns 50% to 75% of Cd&R Ferdinand Holdings, L.P.
  • Ferdinand Ffp Acquisition, LLC · Shareholder, Class A Common Stock
    indirect · owns 75% or more of Focus Financial Partners Inc.
  • Ferdinand Ffp Intermediate Holdings, LLC · Member
    indirect · owns 75% or more of Ferdinand Ffp Acquisition, LLC
  • Ferdinand Ffp Parent, Inc. · Member
    indirect · owns 75% or more of Ferdinand Ffp Intermediate Holdings, LLC
  • Ferdinand Ffp Ultimate Holdings, LP · Shareholder
    indirect · owns 75% or more of Ferdinand Ffp Parent, Inc.
  • Ferdinand Ffp Ultimate Holdings, LP · Shareholder, Class B Common Stock
    indirect · owns 75% or more of Focus Financial Partners Inc.
  • Focus Financial Partners Inc. · Member
    indirect · owns 75% or more of Focus Financial Partners, LLC
  • Focus Financial Partners, LLC · Member
    indirect · owns 75% or more of Focus Operating, LLC
Related persons
Schedule D 7.A
Advisers that list Waddell & Associates, LLC as a related person
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Memphis, Tn · principal0011
Offices
Schedule D 1.F, the 25 largest
  • Brentwood, TN2 employees
  • , 1 employees
What changed
consecutive filings, newest first
  • Accounts · 2,791 to 2,969
    Oct 20, 2025 to Mar 26, 2026
  • Advisory employees · 11 to 9
    Oct 20, 2025 to Mar 26, 2026
  • HNW clients · 304 to 306
    Oct 20, 2025 to Mar 26, 2026
  • Individual clients · 664 to 695
    Oct 20, 2025 to Mar 26, 2026
  • Pension plan clients · 37 to 36
    Oct 20, 2025 to Mar 26, 2026
  • Assets in custody · $600M to $430M
    Oct 20, 2025 to Mar 26, 2026
  • State-registered IARs · 11 to 10
    Oct 20, 2025 to Mar 26, 2026
  • Other offices · 2 to 1
    Oct 20, 2025 to Mar 26, 2026
  • Discretionary RAUM · $1.7B to $2.3B
    Oct 20, 2025 to Mar 26, 2026
  • HNW RAUM · $1.4B to $1.8B
    Oct 20, 2025 to Mar 26, 2026
  • Individual RAUM · $209M to $480M
    Oct 20, 2025 to Mar 26, 2026
  • Non-discretionary RAUM · $80,280 to $35.3M
    Oct 20, 2025 to Mar 26, 2026
  • Pension RAUM · $79.5M to $89.5M
    Oct 20, 2025 to Mar 26, 2026
  • RAUM · $1.7B to $2.4B
    Oct 20, 2025 to Mar 26, 2026
  • Financial planning clients · 1-10 to 1-10
    Mar 31, 2025 to May 16, 2025
  • Accounts · 2,764 to 2,791
    Oct 16, 2024 to Mar 31, 2025
  • Corporate clients · 34 to 14
    Oct 16, 2024 to Mar 31, 2025
  • HNW clients · 275 to 304
    Oct 16, 2024 to Mar 31, 2025
  • Individual clients · 683 to 664
    Oct 16, 2024 to Mar 31, 2025
  • Pension plan clients · 18 to 37
    Oct 16, 2024 to Mar 31, 2025
  • Assets in custody · $185M to $600M
    Oct 16, 2024 to Mar 31, 2025
  • Employees · 20 to 21
    Oct 16, 2024 to Mar 31, 2025
  • Discretionary RAUM · $1.2B to $1.7B
    Oct 16, 2024 to Mar 31, 2025
  • HNW RAUM · $1.0B to $1.4B
    Oct 16, 2024 to Mar 31, 2025
  • Individual RAUM · $211M to $209M
    Oct 16, 2024 to Mar 31, 2025
  • Non-discretionary RAUM · $103M to $80,280
    Oct 16, 2024 to Mar 31, 2025
  • Pension RAUM · $34.0M to $79.5M
    Oct 16, 2024 to Mar 31, 2025
  • RAUM · $1.3B to $1.7B
    Oct 16, 2024 to Mar 31, 2025
  • Accounts · 2,665 to 2,764
    Sep 29, 2023 to Mar 1, 2024
  • Advisory employees · 12 to 11
    Sep 29, 2023 to Mar 1, 2024
  • Charity clients · 4 to 3
    Sep 29, 2023 to Mar 1, 2024
  • Corporate clients · 28 to 34
    Sep 29, 2023 to Mar 1, 2024
  • HNW clients · 235 to 275
    Sep 29, 2023 to Mar 1, 2024
  • Individual clients · 694 to 683
    Sep 29, 2023 to Mar 1, 2024
  • Pension plan clients · 17 to 18
    Sep 29, 2023 to Mar 1, 2024
  • Assets in custody · $174M to $185M
    Sep 29, 2023 to Mar 1, 2024
  • Employees · 21 to 20
    Sep 29, 2023 to Mar 1, 2024
  • Discretionary RAUM · $1.0B to $1.2B
    Sep 29, 2023 to Mar 1, 2024
  • HNW RAUM · $862M to $1.0B
    Sep 29, 2023 to Mar 1, 2024
  • Individual RAUM · $194M to $211M
    Sep 29, 2023 to Mar 1, 2024
Signals
21 dated events
  • Waddell & Associates, Llc no longer on the SEC adviser roster (last listed 2026-08-03, RAUM $2.4B)
    Sep 1, 2026 · Left the SEC roster · derived
  • Perry Jenkins Green left Waddell & Associates, Llc for Coastal Bridge Advisors (registered 2026-07-09)
    Jul 16, 2026 · Advisor changed firm · fact
  • Shelly Halford Baker left Waddell & Associates, Llc for Coastal Bridge Advisors (registered 2026-07-09)
    Jul 16, 2026 · Advisor changed firm · fact
  • Matthew John Gentzkow left Waddell & Associates, Llc for Coastal Bridge Advisors (registered 2026-07-09)
    Jul 16, 2026 · Advisor changed firm · fact
  • Sean Embry Gould left Waddell & Associates, Llc for Coastal Bridge Advisors (registered 2026-07-09)
    Jul 16, 2026 · Advisor changed firm · fact
  • Lukas Brian Hooper left Waddell & Associates, Llc for Coastal Bridge Advisors (registered 2026-07-19)
    Jul 16, 2026 · Advisor changed firm · fact
  • Alexa Verzosa Alcala left Waddell & Associates, Llc for Coastal Bridge Advisors (registered 2026-07-09)
    Jul 16, 2026 · Advisor changed firm · fact
  • Robert James Graham left Waddell & Associates, Llc for Coastal Bridge Advisors (registered 2026-07-09)
    Jul 16, 2026 · Advisor changed firm · fact
  • Carol Lee Royer left Waddell & Associates, Llc for Coastal Bridge Advisors (registered 2026-07-09)
    Jul 16, 2026 · Advisor changed firm · fact
  • David Sewall Waddell left Waddell & Associates, Llc for Coastal Bridge Advisors (registered 2026-07-09)
    Jul 16, 2026 · Advisor changed firm · fact
  • Michael Bartlett left Waddell & Associates, Llc for Coastal Bridge Advisors (registered 2026-07-09)
    Jul 16, 2026 · Advisor changed firm · fact
  • Waddell & Associates, LLC's advisors moved to Coastal Bridge Advisors (Memphis, TN): 10 of 10 registered, on the same day
    Jul 16, 2026 · Firm absorbed (people side) · derived
  • Laurie Grace Cortner left Waddell & Associates, Llc for Vestia Personal Wealth Advisors (registered 2026-05-26)
    Jun 25, 2026 · Advisor changed firm · fact
  • Waddell & Associates, Llc reported RAUM $2.4B, up 40% from $1.7B (2025-10-20 to 2026-03-26)
    Mar 26, 2026 · RAUM change · derived
  • Waddell & Associates, Llc reported RAUM $1.7B, up 27% from $1.3B (2024-10-16 to 2025-03-31)
    Mar 31, 2025 · RAUM change · derived
  • Lynn Tara Meeks (Chief Compliance Officer) no longer on Schedule A of Waddell & Associates, Llc (listed 2023-09-29, absent 2024-03-01)
    Mar 1, 2024 · Control person left · inference
  • Embry Sean Gould (Senior Wealth Strategist) appeared on Schedule A of Waddell & Associates, Llc
    Mar 30, 2023 · Control person joined · fact
  • Waddell & Associates, Llc reported RAUM $1.2B, up 31% from $943.1M (2021-05-06 to 2022-03-24)
    Mar 24, 2022 · RAUM change · derived
  • Timothy Wayne Ellis left Waddell & Associates, Llc for Rbg Wealth Advisors Llc (registered 2022-05-26)
    Mar 7, 2022 · Advisor changed firm · fact
  • Waddell & Associates, Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)
    Apr 28, 2016 · Succession (Item 4) · fact
  • Waddell & Associates, Llc filed its initial SEC registration (Form ADV)
    Apr 28, 2016 · First SEC registration · fact
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