Form D · Other Investment Fund

Waddell & Reed Small Co Growth Fund, LLC

Philadelphia, PA · CIK 0001449286

Offering snapshot reported Nov 15, 2023 · SEC filing

Reported sold
$268M
Indefinite offering
Investors reported
47
Form D · investor count
Minimum accepted
$2M
Reported outside-investor minimum
First sale
May 3, 1999
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$134M$268MSep 4, 2009: $260,148,009.00Sep 4, 2009Oct 15, 2010: $261,095,210.00Nov 14, 2011: $267,702,563.00Nov 15, 2012: $267,702,563.00Nov 15, 2012: $267,702,563.00Nov 14, 2013: $267,702,563.00Nov 14, 2014: $267,702,563.00Nov 12, 2015: $267,702,563.00Nov 16, 2016: $267,702,563.00Nov 15, 2017: $267,702,563.00Nov 15, 2018: $267,702,563.00Nov 15, 2019: $267,702,563.00Nov 13, 2020: $267,702,563.00Nov 15, 2021: $267,702,563.00Nov 15, 2022: $267,702,563.00Nov 15, 2023: $267,702,563.00Nov 15, 2023

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.

  • Minimum accepted$0 → $2,000,000

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Nov 15, 2023Amendment$267,702,563$0vs Nov 15, 202247SEC filing
Nov 15, 2022Amendment$267,702,563$0vs Nov 15, 202147SEC filing
Nov 15, 2021Amendment$267,702,563$0vs Nov 13, 202047SEC filing
Nov 13, 2020Amendment$267,702,563$0vs Nov 15, 201946SEC filing
Nov 15, 2019Amendment$267,702,563$0vs Nov 15, 201846SEC filing
Nov 15, 2018Amendment$267,702,563$0vs Nov 15, 201746SEC filing
Nov 15, 2017Amendment$267,702,563$0vs Nov 16, 201646SEC filing
Nov 16, 2016Amendment$267,702,563$0vs Nov 12, 201546SEC filing
Nov 12, 2015Amendment$267,702,563$0vs Nov 14, 201446SEC filing
Nov 14, 2014Amendment$267,702,563$0vs Nov 14, 201346SEC filing
Nov 14, 2013Amendment$267,702,563$0vs Nov 14, 201148SEC filing
Nov 15, 2012Amendment$267,702,563$0vs Nov 14, 201148SEC filing
Nov 15, 2012Amendment$267,702,563$0vs Nov 14, 201148SEC filing
Nov 14, 2011Amendment$267,702,563$6,607,353vs Oct 15, 201048SEC filing
Oct 15, 2010Amendment$261,095,210$947,201vs Sep 4, 200948SEC filing
Sep 4, 2009Initial$260,148,009No comparison42SEC filing

Offering details

Securities
Pooled investment fund
Exemptions
06b, 3C, 3C.1
Duration over one year
Yes
Business combination
No
Sales commissions
$604K (estimated)
Finders' fees
$0
Form D file number
021-134203

Sales compensation recipients

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

Source: Form D, filed Nov 15, 2023. 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 SMALL COMPANY GROWTH FUND, LLC

Investment adviser: NOMURA INVESTMENT MANAGEMENT BUSINESS TRUST

Gross asset value
$43.1M
Beneficial owners
5
ADV minimum commitment
$2M

Reported in Form ADV on Sep 16, 2026. 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 PRICEWATERHOUSECOOPERS LLP PHILADELPHIA, Pennsylvania, United States
Custodian THE NORTHERN TRUST COMPANY CHICAGO, Illinois, United States Related to adviser: No
Marketer DELAWARE DISTRIBUTORS, L.P. PHILADELPHIA, Pennsylvania, United States Related to adviser: Yes
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
Yes

PRICEWATERHOUSECOOPERS LLP
PCAOB 238

THE NORTHERN TRUST COMPANY
LEI 6PTKHDJ8HDUF78PFWH30

DELAWARE DISTRIBUTORS, L.P.
CRD 14232 · SEC 8-29755

Filing source

Form ADV 2125951 · Sep 16, 2026 · Schedule D 7.B.(1), fund 805-4358625067

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
Brent Kyle Bloss Director, Executive
Mark P. Buyle Executive
Michael Francis Capuzzi Executive
Lawrence J. Cipolla Executive
Benjamin R. Clouse Director, Executive
David Forrester Connor Executive
Michael John Daley Executive
James P. Di Cristo Executive
Bradley P. Halverson Executive
Daniel Partner Hanson Director, Executive
Adlynn K. Harte Executive
Henry J. Herrmann Executive
Stephen Hoban Executive
N/A Ivy Distributors, Inc. Promoter
N/A Ivy Investment Management Company Executive
Cynthia L. La Gree Executive
Shawn Keith Lytle Executive
N/A Macquarie Alternative Strategies, A Series Of Macquarie Investment Management Business Trust Executive
Kenneth G. Mc Quade Executive
Timothy J. Miller Executive
Brian Lawrence Murray Executive
Nikki F. Newton Executive
Jon Jason Richie Executive
Richard Salus Executive
Philip J. Sanders Director, Executive
Daniel Ganteanme Schermann Executive
Amy J. Scupham Executive
William Speacht Executive
Brian T. Sullivan Executive, Promoter
Kurt A. Sundeen Executive
John E. Sundeen Director, Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
100 Independence 610 Market Street
Philadelphia, PA, 19106