Hedge Fund Database

WADDELL & ASSOCIATES, LLC

Adviser information for WADDELL & ASSOCIATES, LLC last updated from Form ADV on March 27th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.

Advisory Business

Type of Organization Limited Liability Company
Fiscal Year End DECEMBER
Legal Location Delaware, United States

Employees

Total Number of Employees 20
Investment Advisory/Research 11
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 11
Licensed Agents of an Insurance Company 0
No. of Firms/People that Solicit Clients 3

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 2,630 $1.2B
Non-Discretionary 134 $103.1M
Total 2,764 $1.3B

Clients

Type Number RAUM
Individuals 683 $211.0M
HNW Individuals 275 $1.0B
Banking or thrift institutions 0 $0
Investment companies 0 $0
Business development companies 0 $0
Pooled investment vehicles 0 $0
Pension and profit sharing plans 18 $34.0M
Charitable organizations 3 $1.6M
State or municipal gov entities 0 $0
Other investment advisers 0 $0
Insurance companies 0 $0
Sovereign wealth funds and foreign official institutions 0 $0
Corporations or other businesses 34 $70.7M
Other 0 $0
Type Number
No. of Non-RAUM Clients 1
No. of Non-U.S. Clients 1
No. of Financial Planning Clients 1-10

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)CREDIT AND CASH MANAGEMENT SOLUTIONS AND INSURANCE SOLUTIONS
Compensation % of AUMHourly chargesFixed feesREVENUE SHARING WITH FRS AND ON ELIBIBLE CREDIT AND CASH MANAGEM
Other Business Activities CREDIT, CASH MANAGEMENT AND INSURANCE SOLUTIONS

Identifiers

SEC RIA File Number 801-107784
SEC ERA File Number 801-107784
SEC CIK Numbers 1776757
SEC CRD Numbers 283723
Legal Entity Identifier None

Principal Office

5188 WHEELIS DRIVE
MEMPHIS
TN
United States
Monday - Friday, 9:00 AM - 5:00 PM
Tel: 901-767-9187, Fax: 901-767-0056

Websites

twitter.com/waddellandassoc facebook.com/waddellandassociatestn www.linkedin.com/company/2064318 www.focusfinancialpartners.com www.youtube.com/@waddellassociates2132 www.linkedin.com/company/wealthstrategists www.instagram.com/waddellandassociates/ vimeo.com/wealthstrategists twitter.com/focusfinancial www.waddellandassociates.com www.wealthstrategists.com

Chief Compliance Officer

PERRY GREEN
CHIEF FINANCIAL OFFICER
5188 WHEELIS DRIVE
MEMPHIS
TN
United States
Tel: 901-767-9187
Fax: 901-767-0056
(Full email address available in API data)

Regulatory Contact

PATRICIA REEVES
BUSINESS ADMINISTRATION STRATEGIST
5188 WHEELIS DRIVE
MEMPHIS
TN
United States
Tel: 901-767-9187
Fax: 901-767-0056
(Full email address available in API data)

Industry Affiliates

CARDINAL POINT WEALTH MANAGEMENT Other investment adviser, including financial planners
FOCUS RISK SOLUTIONS Insurance company or agency
SCS CAPITAL MANAGEMENT LLC Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
FOCUS OPERATING, LLC Domestic Entity – MEMBER 04/2016 > 75%
WADDELL, DAVID, SEWALL Individual – PRESIDENT, CHIEF EXECUTIVE OFFICER AND DIRECTOR 04/2016 < 5%
FOCUS FINANCIAL PARTNERS, LLC Domestic Entity FOCUS OPERATING, LLC MEMBER 01/2007 > 75%
GREEN, PERRY, JENKINS Individual – CHIEF FINANCIAL OFFICER /CHIEF COMPLIANCE OFFICER 04/2016 < 5%
FOCUS FINANCIAL PARTNERS INC. Domestic Entity FOCUS FINANCIAL PARTNERS, LLC MEMBER 07/2018 > 75%
GOULD, SEAN, EMBRY Individual – SENIOR WEALTH STRATEGIST 07/2022 < 5%
FERDINAND FFP ACQUISITION, LLC Domestic Entity FOCUS FINANCIAL PARTNERS INC. SHAREHOLDER, CLASS A COMMON STOCK 08/2023 > 75%
FERDINAND FFP ULTIMATE HOLDINGS, LP Domestic Entity FOCUS FINANCIAL PARTNERS INC. SHAREHOLDER, CLASS B COMMON STOCK 08/2023 > 75%
FERDINAND FFP INTERMEDIATE HOLDINGS, LLC Domestic Entity FERDINAND FFP ACQUISITION, LLC MEMBER 08/2023 > 75%
FERDINAND FFP PARENT, INC. Domestic Entity FERDINAND FFP INTERMEDIATE HOLDINGS, LLC MEMBER 08/2023 > 75%
FERDINAND FFP ULTIMATE HOLDINGS, LP Domestic Entity FERDINAND FFP PARENT, INC. SHAREHOLDER 08/2023 > 75%
CD&R FERDINAND HOLDINGS, L.P. Domestic Entity FERDINAND FFP ULTIMATE HOLDINGS, LP PARTNER 08/2023 50-75%
CD&R FERDINAND CO-INVESTOR, L.P. Foreign Entity CD&R FERDINAND HOLDINGS, L.P. PARTNER 08/2023 25-50%
CLAYTON, DUBILIER & RICE FUND XII, L.P. Foreign Entity CD&R FERDINAND HOLDINGS, L.P. PARTNER 08/2023 50-75%

No. Employees, Historic

30150201920202021202220232024202519 on 10/31/201920 on 3/20/202020 on 6/22/202020 on 6/30/202020 on 7/27/202020 on 11/24/202020 on 3/18/202120 on 5/6/202121 on 3/24/202221 on 5/2/202221 on 5/25/202221 on 8/7/202221 on 11/4/202221 on 1/20/202321 on 3/30/202321 on 7/5/202321 on 9/29/202320 on 3/1/202420 on 3/27/2024

RAUM, Historic

2B1B02019202020212022202320242025691456318 on 10/31/2019805030564 on 3/20/2020805030564 on 6/22/2020805030564 on 6/30/2020805030564 on 7/27/2020805030564 on 11/24/2020943123400 on 3/18/2021943123400 on 5/6/20211234758435 on 3/24/20221234758435 on 5/2/20221234758435 on 5/25/20221234758435 on 8/7/20221234758435 on 11/4/20221234758435 on 1/20/20231133019898 on 3/30/20231133019898 on 7/5/20231133019898 on 9/29/20231343951310 on 3/1/20241343951310 on 3/27/2024

No. Clients, Historic

2,0001,00002019202020212022202320242025882 on 10/31/2019857 on 3/20/2020857 on 6/22/2020857 on 6/30/2020857 on 7/27/2020857 on 11/24/2020898 on 3/18/2021898 on 5/6/2021934 on 3/24/2022934 on 5/2/2022934 on 5/25/2022934 on 8/7/2022934 on 11/4/2022934 on 1/20/2023978 on 3/30/2023978 on 7/5/2023978 on 9/29/20231013 on 3/1/20241013 on 3/27/2024

Holdings

From latest 13F, filed August 6th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ABBVIE INC COM 335K 2K 0
ACCENTURE PLC IRELAND SHS CLASS A 371K 1K 0
ADVISORS INNER CIRCLE FD CAMBIAR AGGRES 308K 11K 0
AFLAC INC COM 1M 12K 0
ALLSTATE CORP COM 754K 5K 0
ALPHABET INC CAP STK CL A 1M 6K 0
ALPHABET INC CAP STK CL C 2M 13K 0
AMAZON COM INC COM 886K 5K 0
AMERICAN CENTY ETF TR AVANTIS EMGMKT 29M 479K 0
AMERICAN EXPRESS CO COM 471K 2K 0
APPLE INC COM 9M 41K 0
APPLIED MATLS INC COM 535K 2K 0
AT&T INC COM 322K 17K 0
AUTOZONE INC COM 2M 683 0
BAKER HUGHES COMPANY CL A 334K 9K 0
BANK AMERICA CORP COM 317K 8K 0
BECTON DICKINSON & CO COM 302K 1K 0
BERKSHIRE HATHAWAY INC DEL CL B NEW 5M 12K 0
BOOKING HOLDINGS INC COM 440K 111 0
BROADCOM INC COM 329K 205 0
CHEVRON CORP NEW COM 1M 9K 0
CISCO SYS INC COM 470K 10K 0
COCA COLA CO COM 1M 21K 0
COHERENT CORP COM 518K 7K 0
COLGATE PALMOLIVE CO COM 811K 8K 0
CROSS TIMBERS RTY TR TR UNIT 148K 14K 0
CUMMINS INC COM 233K 842 0
DELL TECHNOLOGIES INC CL C 505K 4K 0
DIMENSIONAL ETF TRUST US CORE EQUITY 2 253K 8K 0
DIMENSIONAL ETF TRUST EMGR CRE EQT MNG 2M 59K 0
DIREXION SHS ETF TR NAS100 EQL WGT 32M 362K 0
DISNEY WALT CO COM 317K 3K 0
DOUBLELINE ETF TRUST SHILLER CAPE U S 54M 2M 0
DOUBLELINE ETF TRUST OPPORTUNISTIC BD 8M 185K 0
DUKE ENERGY CORP NEW COM NEW 376K 4K 0
EAGLE POINT CREDIT COMPANY I COM 106K 11K 0
EDWARDS LIFESCIENCES CORP COM 872K 9K 0
ELEVANCE HEALTH INC COM 428K 789 0
ELI LILLY & CO COM 6M 6K 0
EQUINIX INC COM 276K 365 0
EVERSOURCE ENERGY COM 234K 4K 0
EXXON MOBIL CORP COM 2M 14K 0
FEDEX CORP COM 1M 4K 0
FIRST TR EXCH TRADED FD III MUNI HI INCM ETF 286K 6K 0
FLEXSHARES TR MORNSTAR UPSTR 304K 8K 0
FORTINET INC COM 211K 4K 0
GENERAL DYNAMICS CORP COM 346K 1K 0
GOLDMAN SACHS ETF TR ACTIVEBETA INT 573K 17K 0
GOLDMAN SACHS GROUP INC COM 397K 878 0
HILTON WORLDWIDE HLDGS INC COM 276K 1K 0
HOME DEPOT INC COM 2M 5K 0
INTEL CORP COM 497K 16K 0
INTERNATIONAL BUSINESS MACHS COM 718K 4K 0
INTERNATIONAL FLAVORS&FRAGRA COM 348K 4K 0
INVESCO EXCH TRADED FD TR II CALIF AMT MUN 348K 14K 0
INVESCO EXCH TRADED FD TR II NASDAQ 100 ETF 36M 185K 0
INVESCO EXCHANGE TRADED FD T FTSE RAFI 1500 709K 19K 0
INVESCO QQQ TR UNIT SER 1 782K 2K 0
INVESTMENT MANAGERS SER TR I AXS ASTORIA INFL 448K 30K 0
ISHARES TR CORE MSCI EAFE 38M 526K 0
ISHARES TR MSCI EMG MKT ETF 551K 13K 0
ISHARES TR GLOBAL EQUITY 329K 8K 0
ISHARES TR MSCI ACWI ETF 3M 26K 0
ISHARES TR MSCI EAFE ETF 3M 44K 0
ISHARES TR INTERNATIONAL SL 793K 25K 0
ISHARES TR GLOBAL 100 ETF 65M 668K 0
ISHARES TR ROBOTICS ARTIF 919K 28K 0
ISHARES TR MSCI USA MIN VOL 575K 7K 0
ISHARES TR U.S. TECH ETF 2M 13K 0
ISHARES TR MSCI USA VALUE 6M 58K 0
ISHARES TR MSCI USA QLT FCT 498K 3K 0
JOHNSON & JOHNSON COM 868K 6K 0
JPMORGAN CHASE & CO. COM 2M 12K 0
KIMBERLY-CLARK CORP COM 273K 2K 0
LISTED FD TR CORE ALT FD 236K 9K 0
LOUISIANA PAC CORP COM 329K 4K 0
LOWES COS INC COM 210K 954 0
LPL FINL HLDGS INC COM 208K 746 0
MANHATTAN BRDG CAP INC COM 77K 77K 0
MARATHON PETE CORP COM 370K 2K 0
MARRIOTT INTL INC NEW CL A 255K 1K 0
MCDONALDS CORP COM 298K 1K 0
MERCK & CO INC COM 907K 7K 0
META PLATFORMS INC CL A 1M 2K 0
MICRON TECHNOLOGY INC COM 297K 2K 0
MICROSOFT CORP COM 6M 14K 0
MID-AMER APT CMNTYS INC COM 262K 2K 0
MONDELEZ INTL INC CL A 310K 5K 0
MONSTER BEVERAGE CORP NEW COM 242K 5K 0
MORGAN STANLEY COM NEW 309K 3K 0
NETFLIX INC COM 883K 1K 0
NEWMONT CORP COM 279K 7K 0
NVIDIA CORPORATION COM 3M 23K 0
ORACLE CORP COM 1M 8K 0
OREILLY AUTOMOTIVE INC COM 520K 492 0
OXFORD LANE CAP CORP COM 124K 23K 0
PACER FDS TR TRENDP US MID CP 392K 11K 0
PEPSICO INC COM 695K 4K 0
PFIZER INC COM 688K 25K 0
PROCTER AND GAMBLE CO COM 2M 10K 0
PROGRESSIVE CORP COM 480K 2K 0
PUBLIC STORAGE OPER CO COM 844K 3K 0
QUALCOMM INC COM 354K 2K 0
REGIONS FINANCIAL CORP NEW COM 626K 31K 0
S&P GLOBAL INC COM 355K 797 0
SALESFORCE INC COM 392K 2K 0
SCHWAB CHARLES CORP COM 303K 4K 0
SCHWAB STRATEGIC TR 1000 INDEX ETF 50M 950K 0
SCHWAB STRATEGIC TR FUNDAMENTAL US S 69M 1M 0
SPDR INDEX SHS FDS MSCI EAFE STRTGC 224K 3K 0
SPDR INDEX SHS FDS S&P EMKTSC ETF 33M 577K 0
SPDR S&P 500 ETF TR TR UNIT 6M 10K 0
SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 73M 136K 0
SPDR SER TR PORTFOLIO S&P400 1M 20K 0
SPROTT PHYSICAL GOLD & SILVE TR UNIT 2M 81K 0
SPROTT PHYSICAL GOLD TR UNIT 2M 116K 0
SPROTT PHYSICAL SILVER TR TR UNIT 2M 174K 0
STARBUCKS CORP COM 250K 3K 0
STRYKER CORPORATION COM 271K 797 0
SYSCO CORP COM 384K 5K 0
TEXTRON INC COM 206K 2K 0
TWO RDS SHARED TR CONDCTR GBL EQTY 4M 349K 0
UNION PAC CORP COM 429K 2K 0
UNITEDHEALTH GROUP INC COM 512K 1K 0
VANECK ETF TRUST MRNGSTR WDE MOAT 210K 2K 0
VANGUARD INDEX FDS VALUE ETF 3M 18K 0
VANGUARD INDEX FDS S&P 500 ETF SHS 3M 5K 0
VANGUARD INTL EQUITY INDEX F FTSE SMCAP ETF 55M 470K 0
VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 375K 6K 0
VANGUARD INTL EQUITY INDEX F TT WRLD ST ETF 15M 134K 0
VANGUARD STAR FDS VG TL INTL STK F 3M 56K 0
VISA INC COM CL A 777K 3K 0
WALMART INC COM 3M 38K 0
WELLS FARGO CO NEW COM 424K 7K 0
WEST PHARMACEUTICAL SVSC INC COM 1M 4K 0
WISDOMTREE TR US QTLY DIV GRT 69M 881K 0
WISDOMTREE TR ARTIFICIAL INTEL 1M 48K 0
YUM BRANDS INC COM 275K 2K 0