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| Waddell & Reed Investment Management Co
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|---|---|
| CRD # | 106343 |
| SEC # | 801-40372 |
| CIK # | 0000903764, 0001052100 |
| AUM | |
| Employees | 143 (60% Investors, 13% Brokers) |
| Phone | 913-236-2000 |
| Address | 6300 Lamar Ave Overland Park, KS 66202 |
| Source | [IAPD] [EDGAR] [Website] [LinkedIn] |
| Total AUM ($B) |
|---|
| Sector | Form 13F Holdings | Value ($B) | |
|---|---|---|---|
| Microsoft Corp | 2.6 | ||
| Apple Inc | 1.7 | ||
| Amazon Com Inc | 1.4 | ||
| Facebook Inc | 1.1 | ||
| Alphabet Inc | 1.0 | ||
| Micron Technology Inc | 0.8 | ||
| Pangaea Logistics Solutions Ltd | 0.6 | ||
| ASML Holding NV | 0.5 | ||
| Electronic Arts Inc | 0.5 | ||
| UnitedHealth Group Inc | 0.5 | ||
| View All | |||
| Holdings by Sector ($B) |
|---|
| Type | Form D Funds | Date | Sold | AUM |
|---|---|---|---|---|
| Other | Waddell & Reed Asset Strategy Fund LLC | [2012-03-30] | 30.2 M | 2.6 M |
| Filed 2016-11-16 (D/A) · Exemption 506(b), 3(c), 3(c)(7) · Remaining Indefinite · Duration More than one year · Commission $72,216 · Net Assets Decline to Disclose | ||||
| Other | Waddell & Reed Large Company Growth Fund LLC | 2012-03-30 | 9.8 M | |
| AUM Breakdown | Accounts | AUM ($B) |
|---|---|---|
| By Client Type | ||
| (a) Individuals (other than high net worth individuals) | 0 | 0.0 |
| (b) Individuals (high net worth individuals) | 0 | 0.1 |
| (c) Banking or thrift institutions | 0 | 0.0 |
| (d) Investment companies | 13 | 15.9 |
| (e) Business development companies | 0 | 0.0 |
| (f) Pooled investment vehicles | 2 | 0.2 |
| (g) Pension and profit sharing plans | 23 | 1.9 |
| (h) Charitable organizations | 0 | 0.1 |
| (i) State or municipal government entities | 8 | 1.0 |
| (j) Other investment advisers | 0 | 0.0 |
| (k) Insurance companies | 0 | 0.1 |
| (l) Sovereign wealth funds and foreign official institutions | 0 | 0.0 |
| (m) Corporations or other businesses not listed above | 0 | 0.0 |
| (n) Other | 0 | 0.0 |
| Total | 54 | 19.2 |
| By Discretionary | ||
| Discretionary | 54 | 19.2 |
| Non-Discretionary | 0 | 0.0 |
| Total | 54 | 19.2 |
| By Non-United States Persons | ||
| Non-United States Persons | 0.2 | |
| United States Persons | 19.0 | |
| Total | 54 | 19.2 |
| Form D Directors | Role | # Filings | # Firms | 2011 - 2026 |
|---|---|---|---|---|
| Brian Sullivan | Executive Officer | 89 | 5 | |
| Nikki Newton | Executive Officer | 4 | 3 | |
| Cynthia Lagree | Executive Officer | 3 | 3 | |
| Lawrence Cipolla | Executive Officer | 3 | 3 | |
| Jennifer Askins | Executive Officer | 3 | 3 | |
| Philip Sanders | Executive Officer | 3 | 3 | |
| Jon-Jason Richie | Executive Officer | 3 | 3 | |
| John Sundeen | Executive Officer | 3 | 3 | |
| Adlynn Harte | Executive Officer | 3 | 3 | |
| Kurt Sundeen | Executive Officer | 3 | 3 | |
| View All | ||||
| EDGAR Form | CIK | 2011 - 2026 |
|---|---|---|
| 13F-NT | [0000903764] | |
| 3 | [0000903764] | |
| 4 | [0000903764] | |
| 10-K | [0001052100] | |
| 10-Q | [0001052100] | |
| 13F-HR | [0001052100] | |
| 3 | [0001052100] | |
| 4 | [0001052100] | |
| 5 | [0001052100] | |
| 8-K | [0001052100] | |
| SC 13D | [0001052100] | |
| SC 13G | [0001052100] |
| Firm Profile (Form ADV) | |
|---|---|
| Discretionary AUM | $48.8B |
| Clients | 1 (2 non-US) |
| Serves | Institutional |
| Fund Types | Private Equity |
| LEI | 549300182P8VMSX6J380 |
| Insider Transaction (Form 3/4/5) | Date | Action | Shares | Price | Value ($) |
|---|---|---|---|---|---|
|
Waddell & Reed Financial Inc WDR
Restricted Stock Units · derivative
|
2021-04-30 | Disposed to issuer | 4,937 | ||
|
Waddell & Reed Financial Inc WDR
Restricted Stock Units · derivative
|
2021-04-30 | Disposed to issuer | 4,937 | ||
|
Waddell & Reed Financial Inc WDR
Restricted Stock Units · derivative
|
2021-04-30 | Disposed to issuer | 15,899 | ||
|
Waddell & Reed Financial Inc WDR
Class A Common
|
2021-04-30 | Disposed to issuer | 58,026 | ||
|
Waddell & Reed Financial Inc WDR
Restricted Stock Units · derivative
|
2021-04-30 | Disposed to issuer | 8,178 | ||
|
Waddell & Reed Financial Inc WDR
Restricted Stock Units · derivative
|
2021-04-30 | Disposed to issuer | 108,059 | ||
|
Waddell & Reed Financial Inc WDR
Restricted Stock Units · derivative
|
2021-04-30 | Disposed to issuer | 62,600 | ||
|
Waddell & Reed Financial Inc WDR
Restricted Stock Units · derivative
|
2021-04-30 | Disposed to issuer | 4,937 | ||
|
Waddell & Reed Financial Inc WDR
Restricted Stock Units · derivative
|
2021-04-30 | Disposed to issuer | 2,819 | ||
|
Waddell & Reed Financial Inc WDR
Restricted Stock Units · derivative
|
2021-04-30 | Disposed to issuer | 6,517 | ||
|
Waddell & Reed Financial Inc WDR
Restricted Stock Units · derivative
|
2021-04-30 | Disposed to issuer | 1,409 | ||
|
Waddell & Reed Financial Inc WDR
Restricted Stock Units · derivative
|
2021-04-30 | Disposed to issuer | 15,501 | ||
|
Waddell & Reed Financial Inc WDR
Restricted Stock Units · derivative
|
2021-04-30 | Disposed to issuer | 13,911 | ||
|
Waddell & Reed Financial Inc WDR
Class A Common
|
2021-04-30 | Disposed to issuer | 105,280 | ||
|
Waddell & Reed Financial Inc WDR
Class A Common
|
2021-04-30 | Disposed to issuer | 6,794 | ||
|
Waddell & Reed Financial Inc WDR
Restricted Stock Units · derivative
|
2021-04-30 | Disposed to issuer | 4,937 | ||
|
Waddell & Reed Financial Inc WDR
Class A Common
|
2021-04-30 | Disposed to issuer | 71,044 | ||
|
Waddell & Reed Financial Inc WDR
Class A Common
|
2021-04-30 | Disposed to issuer | 76,831 | ||
|
Waddell & Reed Financial Inc WDR
Class A Common
|
2021-04-30 | Disposed to issuer | 76,956 | ||
|
Waddell & Reed Financial Inc WDR
Class A Common
|
2021-04-30 | Disposed to issuer | 52,187 | ||
| showing 20 of 200 most recent transactions | |||||