Form D · Other Investment Fund
WADDELL & REED LARGE CO GROWTH FUND LLC
Overland Park, KS · CIK 0001367843
Offering snapshot reported Nov 16, 2016 · SEC filing
- Reported sold
- $9.29M Indefinite offering
- Investors reported
- 5 Form D · investor count
- Minimum accepted
- $0 Reported outside-investor minimum
- First sale
- Jul 26, 2006 As reported in this filing
Fundraising history
Reported soldDates 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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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Nov 16, 2016 | Amendment | $9,290,759 | $0vs Nov 12, 2015 | 5 | SEC filing |
| Nov 12, 2015 | Amendment | $9,290,759 | $0vs Nov 14, 2014 | 5 | SEC filing |
| Nov 14, 2014 | Amendment | $9,290,759 | $235,000vs Nov 14, 2013 | 5 | SEC filing |
| Nov 14, 2013 | Amendment | $9,055,759 | $0vs Nov 14, 2012 | 5 | SEC filing |
| Nov 14, 2012 | Amendment | $9,055,759 | $0vs Nov 14, 2011 | 5 | SEC filing |
| Nov 14, 2011 | Amendment | $9,055,759 | $530,440vs Oct 15, 2010 | 5 | SEC filing |
| Oct 15, 2010 | Amendment | $8,525,319 | $5,616,719vs Sep 4, 2009 | 4 | SEC filing |
| Sep 4, 2009 | Amendment | $2,908,600 | No comparison | 2 | SEC filing |
| Jun 15, 2006 | Paper | Not reported | No comparison | Not reported | SEC filing |
Offering details
- Securities
- Pooled investment fund
- Exemptions
- 06b, 3C, 3C.7
- Duration over one year
- Yes
- Business combination
- No
- Sales commissions
- $19.5K (estimated)
- Finders' fees
- $0
- Form D file number
- 021-91614
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| Waddell & Reed, Inc. | 866 | Brian 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 LARGE COMPANY GROWTH FUND, LLC
Investment adviser: WADDELL & REED INVESTMENT MANAGEMENT CO
- Gross asset value
- $9.76M
- Beneficial owners
- 5
- ADV minimum commitment
- $10M
Reported in Form ADV on Apr 27, 2017. Fund assets and beneficial owners measure different things from Form D sales and investors.
Service providers
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 805-7639062893
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.
| Name | Reported role |
|---|---|
| Jennifer A. Askins | Executive |
| Daniel P. Becker | Executive |
| Mark P. Buyle | Executive |
| Lawrence J. Cipolla | Executive |
| Adlynn K. Harte | Executive |
| Henry J. Herrmann | Executive |
| Bradley M. Klapmeyer | Executive |
| Cynthia L. La Gree | Executive |
| Nikki F. Newton | Executive |
| Jon Jason Richie | Executive |
| Philip J. Sanders | Director, Executive |
| Brian T. Sullivan | Executive |
| John E. Sundeen | Director, Executive |
| Kurt A. Sundeen | Executive |
Issuer details
Industry: Pooled Investment Fund (See others in industry)
Address:Overland Park, KS, 66202