Form D · Other Investment Fund

Waddell & Reed Asset Strategy Fund, LLC

Overland Park, KS · CIK 0001462237

Offering snapshot reported Nov 16, 2016 · SEC filing

Reported sold
$30.3M
Indefinite offering
Investors reported
2
Form D · investor count
Minimum accepted
$0
Reported outside-investor minimum
First sale
Aug 31, 2009
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$15.1M$30.3MAug 27, 2009Oct 15, 2010: $30,250,000.00Nov 14, 2011: $30,250,000.00Nov 14, 2012: $30,250,000.00Nov 14, 2013: $30,250,000.00Nov 14, 2014: $30,250,000.00Nov 12, 2015: $30,250,000.00Nov 16, 2016: $30,250,000.00Nov 16, 2016

Dates are filing dates, not cash receipt dates. Decreases are reported revisions, not evidence of withdrawals. Separate offering histories are not added together.

What changed?

Latest filing versus its linked predecessor, where available.

No comparable changes in the displayed metrics.

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Nov 16, 2016Amendment$30,250,000$0vs Nov 12, 20152SEC filing
Nov 12, 2015Amendment$30,250,000$0vs Nov 14, 20142SEC filing
Nov 14, 2014Amendment$30,250,000$0vs Nov 14, 20132SEC filing
Nov 14, 2013Amendment$30,250,000$0vs Nov 14, 20122SEC filing
Nov 14, 2012Amendment$30,250,000$0vs Nov 14, 20112SEC filing
Nov 14, 2011Amendment$30,250,000$0vs Oct 15, 20102SEC filing
Oct 15, 2010Amendment$30,250,000No comparison2SEC filing
Aug 27, 2009InitialYet to sellNo comparison0SEC filing

Offering details

Securities
Pooled investment fund
Exemptions
06b, 3C, 3C.7
Duration over one year
Yes
Business combination
No
Sales commissions
$72.2K (estimated)
Finders' fees
$0
Form D file number
021-133992

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
Waddell & Reed, Inc.866Brian Thomas Sullivan · CRD 2766571

Source: Form D, filed Nov 16, 2016. Minimum accepted may differ from a standard advertised minimum.

Fund connections

The linked fund shows its most recently reported ADV details.

Matched by reported Form D file number

WADDELL & REED ASSET STRATEGY FUND, LLC

Investment adviser: WADDELL & REED INVESTMENT MANAGEMENT CO

Gross asset value
$2.62M
Beneficial owners
2
ADV minimum commitment
$20M

Reported in Form ADV on Apr 27, 2017. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator THE NORTHERN TRUST COMPANY CHICAGO, Illinois, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor DELOITTE & TOUCHE, LLP CHICAGO, Illinois, United States
Custodian THE NORTHERN TRUST COMPANY CHICAGO, Illinois, United States Related to adviser: No
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No
Filing source

Form ADV 1111469 · Apr 27, 2017 · Schedule D 7.B.(1), fund 805-2827005866

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

People & organizations

Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.

People and organizations reported in Form D filings
NameReported role
Jennifer A. Askins Executive
Michael L. Avery Executive
Chace F. Brundige Executive
Mark P. Buyle Executive
Ryan F. Caldwell Executive
Lawrence J. Cipolla Executive
Adlynn K. Harte Executive
Henry J. Herrmann Director, Executive
Cynthia L. La Gree Executive
Nikki F. Newton Executive
Cynthia P. Prince Fox Executive
Jon Jason Richie Executive
Philip J. Sanders Director, Executive
Brian T. Sullivan Executive
John E., Jr. Sundeen Director, Executive
Kurt A. Sundeen Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
Waddell & Reed Investment Management Co. 6300 Lamar Avenue
Overland Park, KS, 66202