WADDELL & REED FINANCIAL INC

HTTPS://CORPORATE.WADDELL.COM/ OVERLAND PARK, KS Investment Advisor How do I update this listing?

Also known as:

  • WADDELL & REED INC
  • BLACKROCK INC
  • NEW BLACKROCK INC
  • FMR CORP
  • WADDELL & REED INC /BD
  • WADDELL & REED INC /KS/ /BD

Waddell & Reed Financial is based out of Overland Park. Waddell & Reed Financial is a large advisory firm with 169956 clients and discretionary assets under management (AUM) of $1,362,126,006 (Form ADV from 2018-10-01). Their last reported 13F filing for Q2 2019 included $40,404,752,000 in managed 13F securities and a top 10 holdings concentration of 19.06%. Waddell & Reed Financial's largest holding is Microsoft Corp. with shares held of 15,386,757. Waddell & Reed Financial has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 78 13F filings, 2 13D filings, 662 13G filings, and 213 Form 4 filings

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Equal-WT
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68

S&P 500
WhaleScore

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Manager Weighted
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Download 13F Summary to Excel Create Email Alert

06/30/2019

13F Sector Allocation Over Time

06/30/2019

13F Activity

  • Market Value $40.405 Billion
  • Prior Market Value $40.4 Billion
  • New Purchases47 stocks
  • Additional Purchases167 stocks
  • Sold out of58 stocks
  • Reduced holdings in242 stocks
  • Top 10 Holdings % 19.06 %
  • Turnover % [1]:21.92%
  • Turnover Alt % [2]: 12.97 %
  • Time Held Top20:5.95 quarters
  • Time Held Top10:6.10 quarters
  • Time Held All:12.67 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-08-14

Performance for Q2 2019: 3.0%
Performance Last 4 Quarters: 9.25%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
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Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
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13F Filings Available:
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)
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This lets you look at individual sub managers or subsidiaries within the 13F filing.

13F Managers

Subsidiaries/Managers included in latest 13F
Name
Ivy Investment Management Company

View Last Form Adv Compilation Report on Record

WADDELL & REED
6300 LAMAR AVENUE
OVERLAND PARK KS    66202-4200
Country: United States

Business Phone: 913-236-2000
Fax: 913-236-3512
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Corporation
Organized in: DE
Number of employees: 1700
Other Business Activities: broker-dealer,insurance broker or agent
Advisor Fees/Compensation: Percentage of assets under management,Fixed fees
Amount of client funds and securities:
Total Number of Clients: 169956
Amount of client funds and securities by related persons: 12,513,300,000
Total Number of clients from related persons: 109302
Disclosures: 11.C (2),11.C (4),11.C (5),11.D (2),11.D (4),11.D (5),11.E (2)
Data above was derived from SEC filings.

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WADDELL & REED, INC.

ownership team - last updated 2019-06-28
Name Title Start Date Direct/Indirect % Ownership
WADDELL & REED FINANCIAL SERVICES, INC. SHAREHOLDER 05/01/1993 Direct 75% or more
Fund Name Position direct/indirect start date end date
WADDELL & REED, INC. SHAREHOLDER direct 1993-05-01
IVY MANAGEMENT INC SHAREHOLDER indirect 1993-05-01
AUSTIN CALVERT & FLAVIN INC SHAREHOLDER indirect 1999-08-01 2009-03-26
WADDELL & REED INVESTMENT MANAGEMENT CO SHAREHOLDER indirect 1993-05-01 2011-07-05
BUYLE, MARK PATRICK SENIOR VICE PRESIDENT AND GENERAL COUNSEL 03/01/2000 Direct less than 5%
Fund Name Position direct/indirect start date end date
WADDELL & REED, INC. SENIOR VICE PRESIDENT, ASSOCIATE GENERAL COUNSEL direct 2000-03-01
WADDELL & REED, INC. VICE PRESIDENT, ASSISTANT SECRETARY, CHIEF LEGAL OFFICER direct 2000-03-01 2004-08-24
AUSTIN CALVERT & FLAVIN INC SECRETARY direct 1999-08-01 2004-10-04
WADDELL & REED, INC. VICE PRESIDENT, ASSISTANT SECRETARY, CHIEF LEGAL OFFICER, CHIEF COMPLIANCE OFFICER, ASSOCIATE GENERAL COUNSEL direct 2000-03-01 2005-10-14
WADDELL & REED, INC. VICE PRESIDENT, ASSISTANT SECRETARY, CHIEF LEGAL OFFICER, ASSOCIATE GENERAL COUNSEL direct 2000-03-01 2007-07-23
WADDELL & REED, INC. SENIOR VICE PRESIDENT, ASSISTANT SECRETARY, CHIEF LEGAL OFFICER, ASSOCIATE GENERAL COUNSEL direct 2000-03-01 2009-02-23
AUSTIN CALVERT & FLAVIN INC ASSISTANT SECRETARY direct 1999-08-01 2009-03-26
BLOSS, BRENT KYLE CHAIRMAN OF THE BOARD, SENIOR VICE PRESIDENT, TREASURER, DIRECTOR 11/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
WADDELL & REED, INC. SENIOR VICE PRESIDENT-FINANCE, TREASURER, PRINCIPAL ACCOUNTING OFFICER, PRINCIPAL FINANCIAL OFFICER direct 2007-08-01
WADDELL & REED, INC. SENIOR VICE PRESIDENT, TREASURER, DIRECTOR direct 2014-03-01
WADDELL & REED, INC. SENIOR VICE PRESIDENT, TREASURER, PRINCIPAL ACCOUNTING OFFICER, PRINCIPAL FINANCIAL OFFICER, DIRECTOR direct 2014-03-01
WADDELL & REED, INC. SENIOR VICE PRESIDENT, TREASURER, DIRECTOR direct 2014-04-01
WADDELL & REED, INC. SENIOR VICE PRESIDENT, TREASURER, DIRECTOR, PRINCIPAL ACCOUNTING OFFICER, PRINCIPAL FINANCIAL OFFICER direct 2014-04-01
WADDELL & REED INVESTMENT MANAGEMENT CO SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER, TREASURER & DIRECTOR direct 2014-03-01
IVY INVESTMENT MANAGEMENT COMPANY SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER, TREASURER & DIRECTOR direct 2014-03-01
MIHAL, SHAWN MICHAEL PRESIDENT, CHIEF OPERATIONS OFFICER AND DIRECTOR 11/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
WADDELL & REED, INC. CHIEF REGULATORY OFFICER, CHIEF COMPLIANCE OFFICER, SENIOR VICE PRESIDENT direct 2015-04-01
WADDELL & REED, INC. CHIEF REGULATORY OFFICER, CHIEF COMPLIANCE OFFICER, SENIOR VICE PRESIDENT, CHIEF OPERATING OFFICER AND DIRECTOR direct 2015-04-01
TRANSAMERICA FINANCIAL ADVISORS, INC. VICE PRESIDENT, CHIEF COMPLIANCE OFFICER direct 2010-09-01
GREAT AMERICAN ADVISORS, INC. CHIEF COMPLIANCE OFFICER/ANTI-MONEY LAUNDERING COMPLIANCE OFFICER direct 2004-10-01
CLOUSE, BENJAMIN RUSSELL SENIOR VICE PRESIDENT, PRINCIPAL ACCOUNTING OFFICER, DIRECTOR, PRINCIPAL FINANCIAL OFFICER 11/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
WADDELL & REED, INC. VICE PRESIDENT, PRINCIPAL ACCOUNTING OFFICER, PRINCIPAL FINANCIAL OFFICER direct 2016-03-01
GLENN, JACQUELYN ELAYNE SENIOR VICE PRESIDENT AND CHIEF SUPERVISORY OFFICER 10/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
WADDELL & REED, INC. SENIOR VICE PRESIDENT AND CHIEF SUPERVISORY OFFICER direct 2016-10-01
REEVES, MATTHEW KIRK SENIOR VICE PRESIDENT AND HEAD OF PRODUCT AND PLANNING 08/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
WADDELL & REED, INC. SENIOR VICE PRESIDENT AND HEAD OF PRODUCT AND PLANNING direct 2017-08-01
HANSEN, ELIZABETH ANN SVP AND CHIEF COMPLIANCE OFFICER 04/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
AMERIPRISE FINANCIAL SERVICES, INC. VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER direct 2016-12-01
SECURITIES AMERICA ADVISORS, INC. CHIEF COMPLIANCE OFFICER direct 2007-02-01
DALEY, MICHAEL JOHN VP, CORPORATE CONTROLLER 05/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
WADDELL & REED, INC. VP, CORPORATE CONTROLLER, PRINCIPAL FINANCIAL OFFICER direct 2018-05-01
WADDELL & REED, INC. VP, CORPORATE CONTROLLER direct 2018-05-01
JUNKINS, CRAIG A PRINCIPAL OPERATIONS OFFICER 12/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
AXA ADVISORS, LLC EXECUTIVE VICE PRESIDENT direct 1998-06-01 2001-05-07
FFP ADVISORY SERVICES INC CEO/PRESIDENT/CHAIRMAN OF THE BOARD direct 2002-02-01 2005-11-03
ADVANCED EQUITIES ADVISORY SERVICES, INC. PRESIDENT direct 2006-06-01 2007-01-03
FIRST ALLIED SECURITIES, INC. EXECUTIVE VICE PRESIDENT direct 2008-09-01 2010-01-08
FIRST ADVISORS, INC. CEO/PRESIDENT/DIRECTOR/OFFICER direct 2006-06-01 2012-04-30
TRANSAMERICA FINANCIAL ADVISORS, INC. VICE PRESIDENT AND CHIEF PRODUCT OFFICER direct 2013-01-01 2016-03-29
WADDELL & REED FINANCIAL, INC. SHAREHOLDER WADDELL & REED FINANCIAL SERVICES,INC. 05/01/1986 Indirect 75% or more
Fund Name Position direct/indirect start date end date
WADDELL & REED, INC. SHAREHOLDER indirect 1986-05-01
IVY MANAGEMENT INC SHAREHOLDER indirect 1991-12-01
IVY INVESTMENT MANAGEMENT COMPANY SHAREHOLDER direct 2002-12-01
AUSTIN CALVERT & FLAVIN INC SHAREHOLDER indirect 1999-08-01 2009-03-26
WADDELL & REED INVESTMENT MANAGEMENT CO SHAREHOLDER indirect 1991-12-01 2011-07-05
LEGEND ADVISORY CORP INDIRECT OWNER indirect 2000-03-01 2012-10-16

WADDELL & REED, INC.

ownership team - last updated 2019-03-29
Name Title Start Date Direct/Indirect % Ownership
WADDELL & REED FINANCIAL SERVICES, INC. SHAREHOLDER 05/01/1993 Direct 75% or more
Fund Name Position direct/indirect start date end date
WADDELL & REED, INC. SHAREHOLDER direct 1993-05-01
IVY MANAGEMENT INC SHAREHOLDER indirect 1993-05-01
AUSTIN CALVERT & FLAVIN INC SHAREHOLDER indirect 1999-08-01 2009-03-26
WADDELL & REED INVESTMENT MANAGEMENT CO SHAREHOLDER indirect 1993-05-01 2011-07-05
BUYLE, MARK PATRICK SENIOR VICE PRESIDENT AND GENERAL COUNSEL 03/01/2000 Direct less than 5%
Fund Name Position direct/indirect start date end date
WADDELL & REED, INC. SENIOR VICE PRESIDENT, ASSOCIATE GENERAL COUNSEL direct 2000-03-01
WADDELL & REED, INC. VICE PRESIDENT, ASSISTANT SECRETARY, CHIEF LEGAL OFFICER direct 2000-03-01 2004-08-24
AUSTIN CALVERT & FLAVIN INC SECRETARY direct 1999-08-01 2004-10-04
WADDELL & REED, INC. VICE PRESIDENT, ASSISTANT SECRETARY, CHIEF LEGAL OFFICER, CHIEF COMPLIANCE OFFICER, ASSOCIATE GENERAL COUNSEL direct 2000-03-01 2005-10-14
WADDELL & REED, INC. VICE PRESIDENT, ASSISTANT SECRETARY, CHIEF LEGAL OFFICER, ASSOCIATE GENERAL COUNSEL direct 2000-03-01 2007-07-23
WADDELL & REED, INC. SENIOR VICE PRESIDENT, ASSISTANT SECRETARY, CHIEF LEGAL OFFICER, ASSOCIATE GENERAL COUNSEL direct 2000-03-01 2009-02-23
AUSTIN CALVERT & FLAVIN INC ASSISTANT SECRETARY direct 1999-08-01 2009-03-26
BLOSS, BRENT KYLE CHAIRMAN OF THE BOARD, SENIOR VICE PRESIDENT, TREASURER, DIRECTOR 11/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
WADDELL & REED, INC. SENIOR VICE PRESIDENT-FINANCE, TREASURER, PRINCIPAL ACCOUNTING OFFICER, PRINCIPAL FINANCIAL OFFICER direct 2007-08-01
WADDELL & REED, INC. SENIOR VICE PRESIDENT, TREASURER, DIRECTOR direct 2014-03-01
WADDELL & REED, INC. SENIOR VICE PRESIDENT, TREASURER, PRINCIPAL ACCOUNTING OFFICER, PRINCIPAL FINANCIAL OFFICER, DIRECTOR direct 2014-03-01
WADDELL & REED, INC. SENIOR VICE PRESIDENT, TREASURER, DIRECTOR direct 2014-04-01
WADDELL & REED, INC. SENIOR VICE PRESIDENT, TREASURER, DIRECTOR, PRINCIPAL ACCOUNTING OFFICER, PRINCIPAL FINANCIAL OFFICER direct 2014-04-01
WADDELL & REED INVESTMENT MANAGEMENT CO SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER, TREASURER & DIRECTOR direct 2014-03-01
IVY INVESTMENT MANAGEMENT COMPANY SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER, TREASURER & DIRECTOR direct 2014-03-01
MIHAL, SHAWN MICHAEL PRESIDENT, CHIEF OPERATIONS OFFICER AND DIRECTOR 11/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
WADDELL & REED, INC. CHIEF REGULATORY OFFICER, CHIEF COMPLIANCE OFFICER, SENIOR VICE PRESIDENT direct 2015-04-01
WADDELL & REED, INC. CHIEF REGULATORY OFFICER, CHIEF COMPLIANCE OFFICER, SENIOR VICE PRESIDENT, CHIEF OPERATING OFFICER AND DIRECTOR direct 2015-04-01
TRANSAMERICA FINANCIAL ADVISORS, INC. VICE PRESIDENT, CHIEF COMPLIANCE OFFICER direct 2010-09-01
GREAT AMERICAN ADVISORS, INC. CHIEF COMPLIANCE OFFICER/ANTI-MONEY LAUNDERING COMPLIANCE OFFICER direct 2004-10-01
CLOUSE, BENJAMIN RUSSELL SENIOR VICE PRESIDENT, PRINCIPAL ACCOUNTING OFFICER, DIRECTOR, PRINCIPAL FINANCIAL OFFICER 11/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
WADDELL & REED, INC. VICE PRESIDENT, PRINCIPAL ACCOUNTING OFFICER, PRINCIPAL FINANCIAL OFFICER direct 2016-03-01
GLENN, JACQUELYN ELAYNE SENIOR VICE PRESIDENT AND CHIEF SUPERVISORY OFFICER 10/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
WADDELL & REED, INC. SENIOR VICE PRESIDENT AND CHIEF SUPERVISORY OFFICER direct 2016-10-01
REEVES, MATTHEW KIRK SENIOR VICE PRESIDENT AND HEAD OF PRODUCT AND PLANNING 08/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
WADDELL & REED, INC. SENIOR VICE PRESIDENT AND HEAD OF PRODUCT AND PLANNING direct 2017-08-01
DORSEY, LORI ANN SENIOR VICE PRESIDENT AND CHIEF MARKETING OFFICER 08/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
WADDELL & REED, INC. SENIOR VICE PRESIDENT AND CHEIF MARKETING OFFICER direct 2017-08-01
HANSEN, ELIZABETH ANN SVP AND CHIEF COMPLIANCE OFFICER 04/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
AMERIPRISE FINANCIAL SERVICES, INC. VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER direct 2016-12-01
SECURITIES AMERICA ADVISORS, INC. CHIEF COMPLIANCE OFFICER direct 2007-02-01
DALEY, MICHAEL JOHN VP, CORPORATE CONTROLLER 05/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
WADDELL & REED, INC. VP, CORPORATE CONTROLLER, PRINCIPAL FINANCIAL OFFICER direct 2018-05-01
WADDELL & REED, INC. VP, CORPORATE CONTROLLER direct 2018-05-01
JUNKINS, CRAIG A PRINCIPAL OPERATIONS OFFICER 12/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
AXA ADVISORS, LLC EXECUTIVE VICE PRESIDENT direct 1998-06-01 2001-05-07
FFP ADVISORY SERVICES INC CEO/PRESIDENT/CHAIRMAN OF THE BOARD direct 2002-02-01 2005-11-03
ADVANCED EQUITIES ADVISORY SERVICES, INC. PRESIDENT direct 2006-06-01 2007-01-03
FIRST ALLIED SECURITIES, INC. EXECUTIVE VICE PRESIDENT direct 2008-09-01 2010-01-08
FIRST ADVISORS, INC. CEO/PRESIDENT/DIRECTOR/OFFICER direct 2006-06-01 2012-04-30
TRANSAMERICA FINANCIAL ADVISORS, INC. VICE PRESIDENT AND CHIEF PRODUCT OFFICER direct 2013-01-01 2016-03-29
WADDELL & REED FINANCIAL, INC. SHAREHOLDER WADDELL & REED FINANCIAL SERVICES,INC. 05/01/1986 Indirect 75% or more
Fund Name Position direct/indirect start date end date
WADDELL & REED, INC. SHAREHOLDER indirect 1986-05-01
IVY MANAGEMENT INC SHAREHOLDER indirect 1991-12-01
IVY INVESTMENT MANAGEMENT COMPANY SHAREHOLDER direct 2002-12-01
AUSTIN CALVERT & FLAVIN INC SHAREHOLDER indirect 1999-08-01 2009-03-26
WADDELL & REED INVESTMENT MANAGEMENT CO SHAREHOLDER indirect 1991-12-01 2011-07-05
LEGEND ADVISORY CORP INDIRECT OWNER indirect 2000-03-01 2012-10-16

WADDELL & REED, INC.

ownership team - last updated 2018-12-21
Name Title Start Date Direct/Indirect % Ownership
WADDELL & REED FINANCIAL SERVICES, INC. SHAREHOLDER 05/01/1993 Direct 75% or more
Fund Name Position direct/indirect start date end date
WADDELL & REED, INC. SHAREHOLDER direct 1993-05-01
IVY MANAGEMENT INC SHAREHOLDER indirect 1993-05-01
AUSTIN CALVERT & FLAVIN INC SHAREHOLDER indirect 1999-08-01 2009-03-26
WADDELL & REED INVESTMENT MANAGEMENT CO SHAREHOLDER indirect 1993-05-01 2011-07-05
BUYLE, MARK PATRICK SENIOR VICE PRESIDENT AND GENERAL COUNSEL 03/01/2000 Direct less than 5%
Fund Name Position direct/indirect start date end date
WADDELL & REED, INC. SENIOR VICE PRESIDENT, ASSOCIATE GENERAL COUNSEL direct 2000-03-01
WADDELL & REED, INC. VICE PRESIDENT, ASSISTANT SECRETARY, CHIEF LEGAL OFFICER direct 2000-03-01 2004-08-24
AUSTIN CALVERT & FLAVIN INC SECRETARY direct 1999-08-01 2004-10-04
WADDELL & REED, INC. VICE PRESIDENT, ASSISTANT SECRETARY, CHIEF LEGAL OFFICER, CHIEF COMPLIANCE OFFICER, ASSOCIATE GENERAL COUNSEL direct 2000-03-01 2005-10-14
WADDELL & REED, INC. VICE PRESIDENT, ASSISTANT SECRETARY, CHIEF LEGAL OFFICER, ASSOCIATE GENERAL COUNSEL direct 2000-03-01 2007-07-23
WADDELL & REED, INC. SENIOR VICE PRESIDENT, ASSISTANT SECRETARY, CHIEF LEGAL OFFICER, ASSOCIATE GENERAL COUNSEL direct 2000-03-01 2009-02-23
AUSTIN CALVERT & FLAVIN INC ASSISTANT SECRETARY direct 1999-08-01 2009-03-26
BLOSS, BRENT KYLE CHAIRMAN OF THE BOARD, SENIOR VICE PRESIDENT, TREASURER, DIRECTOR 11/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
WADDELL & REED, INC. SENIOR VICE PRESIDENT-FINANCE, TREASURER, PRINCIPAL ACCOUNTING OFFICER, PRINCIPAL FINANCIAL OFFICER direct 2007-08-01
WADDELL & REED, INC. SENIOR VICE PRESIDENT, TREASURER, DIRECTOR direct 2014-03-01
WADDELL & REED, INC. SENIOR VICE PRESIDENT, TREASURER, PRINCIPAL ACCOUNTING OFFICER, PRINCIPAL FINANCIAL OFFICER, DIRECTOR direct 2014-03-01
WADDELL & REED, INC. SENIOR VICE PRESIDENT, TREASURER, DIRECTOR direct 2014-04-01
WADDELL & REED, INC. SENIOR VICE PRESIDENT, TREASURER, DIRECTOR, PRINCIPAL ACCOUNTING OFFICER, PRINCIPAL FINANCIAL OFFICER direct 2014-04-01
WADDELL & REED INVESTMENT MANAGEMENT CO SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER, TREASURER & DIRECTOR direct 2014-03-01
IVY INVESTMENT MANAGEMENT COMPANY SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER, TREASURER & DIRECTOR direct 2014-03-01
MIHAL, SHAWN MICHAEL PRESIDENT, CHIEF OPERATIONS OFFICER AND DIRECTOR 11/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
WADDELL & REED, INC. CHIEF REGULATORY OFFICER, CHIEF COMPLIANCE OFFICER, SENIOR VICE PRESIDENT direct 2015-04-01
WADDELL & REED, INC. CHIEF REGULATORY OFFICER, CHIEF COMPLIANCE OFFICER, SENIOR VICE PRESIDENT, CHIEF OPERATING OFFICER AND DIRECTOR direct 2015-04-01
TRANSAMERICA FINANCIAL ADVISORS, INC. VICE PRESIDENT, CHIEF COMPLIANCE OFFICER direct 2010-09-01
GREAT AMERICAN ADVISORS, INC. CHIEF COMPLIANCE OFFICER/ANTI-MONEY LAUNDERING COMPLIANCE OFFICER direct 2004-10-01
CLOUSE, BENJAMIN RUSSELL SENIOR VICE PRESIDENT, PRINCIPAL ACCOUNTING OFFICER, DIRECTOR, PRINCIPAL FINANCIAL OFFICER 11/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
WADDELL & REED, INC. VICE PRESIDENT, PRINCIPAL ACCOUNTING OFFICER, PRINCIPAL FINANCIAL OFFICER direct 2016-03-01
GLENN, JACQUELYN ELAYNE SENIOR VICE PRESIDENT AND CHIEF SUPERVISORY OFFICER 10/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
WADDELL & REED, INC. SENIOR VICE PRESIDENT AND CHIEF SUPERVISORY OFFICER direct 2016-10-01
REEVES, MATTHEW KIRK SENIOR VICE PRESIDENT AND HEAD OF PRODUCT AND PLANNING 08/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
WADDELL & REED, INC. SENIOR VICE PRESIDENT AND HEAD OF PRODUCT AND PLANNING direct 2017-08-01
DORSEY, LORI ANN SENIOR VICE PRESIDENT AND CHIEF MARKETING OFFICER 08/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
WADDELL & REED, INC. SENIOR VICE PRESIDENT AND CHEIF MARKETING OFFICER direct 2017-08-01
HANSEN, ELIZABETH ANN SVP AND CHIEF COMPLIANCE OFFICER 04/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
AMERIPRISE FINANCIAL SERVICES, INC. VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER direct 2016-12-01
SECURITIES AMERICA ADVISORS, INC. CHIEF COMPLIANCE OFFICER direct 2007-02-01
DALEY, MICHAEL JOHN VP, CORPORATE CONTROLLER 05/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
WADDELL & REED, INC. VP, CORPORATE CONTROLLER, PRINCIPAL FINANCIAL OFFICER direct 2018-05-01
WADDELL & REED, INC. VP, CORPORATE CONTROLLER direct 2018-05-01
JUNKINS, CRAIG A PRINCIPAL OPERATIONS OFFICER 12/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
AXA ADVISORS, LLC EXECUTIVE VICE PRESIDENT direct 1998-06-01 2001-05-07
FFP ADVISORY SERVICES INC CEO/PRESIDENT/CHAIRMAN OF THE BOARD direct 2002-02-01 2005-11-03
ADVANCED EQUITIES ADVISORY SERVICES, INC. PRESIDENT direct 2006-06-01 2007-01-03
FIRST ALLIED SECURITIES, INC. EXECUTIVE VICE PRESIDENT direct 2008-09-01 2010-01-08
FIRST ADVISORS, INC. CEO/PRESIDENT/DIRECTOR/OFFICER direct 2006-06-01 2012-04-30
TRANSAMERICA FINANCIAL ADVISORS, INC. VICE PRESIDENT AND CHIEF PRODUCT OFFICER direct 2013-01-01 2016-03-29
WADDELL & REED FINANCIAL, INC. SHAREHOLDER WADDELL & REED FINANCIAL SERVICES,INC. 05/01/1986 Indirect 75% or more
Fund Name Position direct/indirect start date end date
WADDELL & REED, INC. SHAREHOLDER indirect 1986-05-01
IVY MANAGEMENT INC SHAREHOLDER indirect 1991-12-01
IVY INVESTMENT MANAGEMENT COMPANY SHAREHOLDER direct 2002-12-01
AUSTIN CALVERT & FLAVIN INC SHAREHOLDER indirect 1999-08-01 2009-03-26
WADDELL & REED INVESTMENT MANAGEMENT CO SHAREHOLDER indirect 1991-12-01 2011-07-05
LEGEND ADVISORY CORP INDIRECT OWNER indirect 2000-03-01 2012-10-16

WADDELL & REED, INC.

ownership team - last updated 2018-06-14
Name Title Start Date Direct/Indirect % Ownership
WADDELL & REED FINANCIAL SERVICES, INC. SHAREHOLDER 05/01/1993 Direct 75% or more
Fund Name Position direct/indirect start date end date
WADDELL & REED, INC. SHAREHOLDER direct 1993-05-01
IVY MANAGEMENT INC SHAREHOLDER indirect 1993-05-01
AUSTIN CALVERT & FLAVIN INC SHAREHOLDER indirect 1999-08-01 2009-03-26
WADDELL & REED INVESTMENT MANAGEMENT CO SHAREHOLDER indirect 1993-05-01 2011-07-05
BUYLE, MARK PATRICK SENIOR VICE PRESIDENT, INTERIM GENERAL COUNSEL 03/01/2000 Direct less than 5%
Fund Name Position direct/indirect start date end date
WADDELL & REED, INC. SENIOR VICE PRESIDENT, ASSOCIATE GENERAL COUNSEL direct 2000-03-01
WADDELL & REED, INC. VICE PRESIDENT, ASSISTANT SECRETARY, CHIEF LEGAL OFFICER direct 2000-03-01 2004-08-24
AUSTIN CALVERT & FLAVIN INC SECRETARY direct 1999-08-01 2004-10-04
WADDELL & REED, INC. VICE PRESIDENT, ASSISTANT SECRETARY, CHIEF LEGAL OFFICER, CHIEF COMPLIANCE OFFICER, ASSOCIATE GENERAL COUNSEL direct 2000-03-01 2005-10-14
WADDELL & REED, INC. VICE PRESIDENT, ASSISTANT SECRETARY, CHIEF LEGAL OFFICER, ASSOCIATE GENERAL COUNSEL direct 2000-03-01 2007-07-23
WADDELL & REED, INC. SENIOR VICE PRESIDENT, ASSISTANT SECRETARY, CHIEF LEGAL OFFICER, ASSOCIATE GENERAL COUNSEL direct 2000-03-01 2009-02-23
AUSTIN CALVERT & FLAVIN INC ASSISTANT SECRETARY direct 1999-08-01 2009-03-26
BLOSS, BRENT KYLE CHAIRMAN OF THE BOARD, SENIOR VICE PRESIDENT, TREASURER, DIRECTOR 11/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
WADDELL & REED, INC. SENIOR VICE PRESIDENT-FINANCE, TREASURER, PRINCIPAL ACCOUNTING OFFICER, PRINCIPAL FINANCIAL OFFICER direct 2007-08-01
WADDELL & REED, INC. SENIOR VICE PRESIDENT, TREASURER, DIRECTOR direct 2014-03-01
WADDELL & REED, INC. SENIOR VICE PRESIDENT, TREASURER, PRINCIPAL ACCOUNTING OFFICER, PRINCIPAL FINANCIAL OFFICER, DIRECTOR direct 2014-03-01
WADDELL & REED, INC. SENIOR VICE PRESIDENT, TREASURER, DIRECTOR direct 2014-04-01
WADDELL & REED, INC. SENIOR VICE PRESIDENT, TREASURER, DIRECTOR, PRINCIPAL ACCOUNTING OFFICER, PRINCIPAL FINANCIAL OFFICER direct 2014-04-01
WADDELL & REED INVESTMENT MANAGEMENT CO SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER, TREASURER & DIRECTOR direct 2014-03-01
IVY INVESTMENT MANAGEMENT COMPANY SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER, TREASURER & DIRECTOR direct 2014-03-01
MIHAL, SHAWN MICHAEL PRESIDENT, CHIEF OPERATIONS OFFICER AND DIRECTOR 11/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
WADDELL & REED, INC. CHIEF REGULATORY OFFICER, CHIEF COMPLIANCE OFFICER, SENIOR VICE PRESIDENT direct 2015-04-01
WADDELL & REED, INC. CHIEF REGULATORY OFFICER, CHIEF COMPLIANCE OFFICER, SENIOR VICE PRESIDENT, CHIEF OPERATING OFFICER AND DIRECTOR direct 2015-04-01
TRANSAMERICA FINANCIAL ADVISORS, INC. VICE PRESIDENT, CHIEF COMPLIANCE OFFICER direct 2010-09-01
GREAT AMERICAN ADVISORS, INC. CHIEF COMPLIANCE OFFICER/ANTI-MONEY LAUNDERING COMPLIANCE OFFICER direct 2004-10-01
CLOUSE, BENJAMIN RUSSELL SENIOR VICE PRESIDENT, PRINCIPAL ACCOUNTING OFFICER, PRINCIPAL FINANCIAL OFFICER, DIRECTOR 11/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
WADDELL & REED, INC. VICE PRESIDENT, PRINCIPAL ACCOUNTING OFFICER, PRINCIPAL FINANCIAL OFFICER direct 2016-03-01
GLENN, JACQUELYN ELAYNE SENIOR VICE PRESIDENT AND CHIEF SUPERVISORY OFFICER 10/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
WADDELL & REED, INC. SENIOR VICE PRESIDENT AND CHIEF SUPERVISORY OFFICER direct 2016-10-01
REEVES, MATTHEW KIRK SENIOR VICE PRESIDENT AND HEAD OF PRODUCT AND PLANNING 08/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
WADDELL & REED, INC. SENIOR VICE PRESIDENT AND HEAD OF PRODUCT AND PLANNING direct 2017-08-01
DORSEY, LORI ANN SENIOR VICE PRESIDENT AND CHIEF MARKETING OFFICER 08/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
WADDELL & REED, INC. SENIOR VICE PRESIDENT AND CHEIF MARKETING OFFICER direct 2017-08-01
ERSKINE, ANN TERESA VICE PRESIDENT 10/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
WADDELL & REED, INC. VICE PRESIDENT AND INTERIM CHIEF COMPLIANCE OFFICER direct 2017-10-01
HANSEN, ELIZABETH ANN SVP AND CHIEF COMPLIANCE OFFICER 04/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
AMERIPRISE FINANCIAL SERVICES, INC. VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER direct 2016-12-01
SECURITIES AMERICA ADVISORS, INC. CHIEF COMPLIANCE OFFICER direct 2007-02-01
DEVINE, YVONNE J VP AND TREASURER 03/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
WADDELL & REED, INC. VP AND TREASURER direct 2018-03-01
WADDELL & REED FINANCIAL, INC. SHAREHOLDER WADDELL & REED FINANCIAL SERVICES,INC. 05/01/1986 Indirect 75% or more
Fund Name Position direct/indirect start date end date
WADDELL & REED, INC. SHAREHOLDER indirect 1986-05-01
IVY MANAGEMENT INC SHAREHOLDER indirect 1991-12-01
IVY INVESTMENT MANAGEMENT COMPANY SHAREHOLDER direct 2002-12-01
AUSTIN CALVERT & FLAVIN INC SHAREHOLDER indirect 1999-08-01 2009-03-26
WADDELL & REED INVESTMENT MANAGEMENT CO SHAREHOLDER indirect 1991-12-01 2011-07-05
LEGEND ADVISORY CORP INDIRECT OWNER indirect 2000-03-01 2012-10-16

WhaleScore history for WADDELL & REED FINANCIAL INC

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