Legal Information

Corporate Entities

Through its subsidiaries, Waddell & Reed Financial, Inc. (NYSE: WDR) provides investment management and financial planning services to clients throughout the United States.

  • Waddell & Reed, Inc. serves as principal underwriter and distributor to the Waddell & Reed Advisors Funds, Ivy Funds Variable Insurance Portfolios and InvestEd Portfolios.
  • Waddell & Reed Investment Management Company serves as investment advisor to the Waddell & Reed Advisors Funds, Ivy Funds Variable Insurance Portfolios and InvestEd Portfolios.
  • Ivy Investment Management Company serves as investment advisor to Ivy Funds
  • Ivy Distributors, Inc. serves as principal underwriter and distributor to Ivy Funds.

SEC-Required Report on Routing of Customer Orders

Waddell & Reed, Inc. ("W&R") introduces transactions on a fully disclosed basis to our clearing firm, Pershing LLC ("Pershing") . In November 2000, the U.S. Securities and Exchange Commission ("SEC") adopted new rules aimed at improving the quality and availability of disclosure related to order execution and routing practices. Pershing has prepared reports pursuant to U.S. Securities and Exchange Commission Rule 606 that requires all brokerage firms to make publicly available quarterly reports on their order routing practices. The report provides information on the routing of "non-directed orders" - any order that the customer has not specifically instructed to be routed to a particular venue for execution. For these non-directed orders, our clearing firm has selected the execution venue on behalf of its customers.

The report is divided into four sections: one for securities listed on the New York Stock Exchange, one for securities listed on The Nasdaq Stock Market, one for securities listed on the American Stock Exchange or regional exchanges, and one for exchange-listed options. For each section, this report identifies the venues most often selected by the clearing firm, sets forth the percentage of various types of orders routed to the venues, and discusses the material aspects of the respective clearing firm's relationship with the venues. W&R directs its equity order flow to its clearing firm, Pershing, for routing and execution based upon where the customer's account is held. W&R does not receive compensation for directing order flow to Pershing.

Click here if your account is held at Pershing (enter WADDELL AND REED, INC when prompted for the broker-dealer's full name).

Annual Review of Management Fees:

Proxy Voting

Prior to the general meeting of a company or fund, shareholders will receive a package in the mail containing a variety of documents that report financial data and operations results and announce important issues - such as proposals for changes to the company's share structure or mergers and acquisitions. These are all matters that shareholders or unit holders, the true owners of the company or fund, will vote on at the general meeting. If, however, a shareholder is not able to attend an annual (or special) meeting, he or she can vote on proposals by means of a proxy, one of the documents that is included in the pre-meeting mailing package. Shareholders are encouraged to take advantage of their opportunity to influence the company and fund’s operations by casting their vote.

View the proxy voting results for the following Waddell & Reed Advisors Equity Funds:
  • Waddell & Reed Advisors Accumulative Fund
  • Waddell & Reed Advisors Asset Strategy Fund
  • Waddell & Reed Advisors Continental Income Fund
  • Waddell & Reed Advisors Core Investment Fund
  • Waddell & Reed Advisors Dividend Opportunities Fund
  • Waddell & Reed Advisors Energy Fund
  • Waddell & Reed Advisors International Growth Fund
  • Waddell & Reed Advisors New Concepts Fund
  • Waddell & Reed Advisors Science and Technology Fund
  • Waddell & Reed Advisors Small Cap Fund
  • Waddell & Reed Advisors Tax-Managed Equity Fund
  • Waddell & Reed Advisors Value Fund
  • Waddell & Reed Advisors Vanguard Fund
View the proxy voting results for the following Waddell & Reed Advisors Fixed Income and Money Market Funds:
  • Waddell & Reed Advisors Bond Fund
  • Waddell & Reed Advisors Cash Management
  • Waddell & Reed Advisors Global Bond Fund
  • Waddell & Reed Advisors Government Securities Fund
  • Waddell & Reed Advisors High Income Fund
  • Waddell & Reed Advisors Municipal Bond Fund
  • Waddell & Reed Advisors Municipal High Income Fund
View the proxy voting results for the following Ivy Funds (FYE 3/31):
  • Ivy Asset Strategy Fund
  • Ivy Balanced Fund
  • Ivy Bond Fund
  • Ivy Core Equity Fund
  • Ivy Cundill Global Value Fund
  • Ivy Dividend Opportunities Fund
  • Ivy Emerging Markets Equity Fund
  • Ivy Energy Fund
  • Ivy European Opportunities Fund
  • Ivy Global Bond Fund
  • Ivy Global Equity Income Fund
  • Ivy Global Growth Fund
  • Ivy Global Income Allocation Fund
  • Ivy Global Natural Resources Fund
  • Ivy High Income Fund
  • Ivy International Core Equity Fund
  • Ivy International Growth Fund
  • Ivy Large Cap Growth Fund
  • Ivy LaSalle Global Real Estate Fund
  • Ivy LaSalle Global Risk-Managed Real Estate Fund
  • Ivy Limited-Term Bond Fund
  • Ivy Managed International Opportunities Fund
  • Ivy Micro Cap Growth Fund
  • Ivy Mid Cap Growth Fund
  • Ivy Mid Cap Income Opportunities Fund
  • Ivy Money Market Fund
  • Ivy Municipal Bond Fund
  • Ivy Municipal High Income Fund
  • Ivy Real Estate Securities Fund
  • Ivy Science and Technology Fund
  • Ivy Small Cap Growth Fund
  • Ivy Small Cap Value Fund
  • Ivy Tax-Managed Equity Fund
  • Ivy Value Fund
View the proxy voting results for the following Ivy Funds (FYE 9/30):
  • Ivy Apollo Multi-Asset Income Fund
  • Ivy Apollo Strategic Income Fund
  • Ivy Emerging Markets Local Currency Debt Fund
  • Ivy Targeted Return Bond Fund
View the proxy voting results for the following InvestEd Portfolios:
  • InvestEd Balanced Portfolio
  • InvestEd Conservative Portfolio
  • InvestEd Growth Portfolio
View the proxy voting results for the following Ivy Funds Variable Insurance Portfolios:
  • Ivy Funds VIP Asset Strategy
  • Ivy Funds VIP Balanced
  • Ivy Funds VIP Bond
  • Ivy Funds VIP Core Equity
  • Ivy Funds VIP Dividend Opportunities
  • Ivy Funds VIP Energy
  • Ivy Funds VIP Global Bond
  • Ivy Funds VIP Global Growth
  • Ivy Funds VIP Global Natural Resources
  • Ivy Funds VIP Growth
  • Ivy Funds VIP High Income
  • Ivy Funds VIP International Core Equity
  • Ivy Funds VIP Limited-Term Bond
  • Ivy Funds VIP Micro Cap Growth
  • Ivy Funds VIP Mid Cap Growth
  • Ivy Funds VIP Money Market
  • Ivy Funds VIP Pathfinder Aggressive
  • Ivy Funds VIP Pathfinder Conservative
  • Ivy Funds VIP Pathfinder Moderate
  • Ivy Funds VIP Pathfinder Moderate-Managed Volatility
  • Ivy Funds VIP Pathfinder Moderately Aggressive
  • Ivy Funds VIP Pathfinder Moderately Aggressive-Managed Volatility
  • Ivy Funds VIP Pathfinder Moderately Conservative
  • Ivy Funds VIP Pathfinder Moderately Conservative-Managed Volatility
  • Ivy Funds VIP Real Estate Securities
  • Ivy Funds VIP Science and Technology
  • Ivy Funds VIP Small Cap Growth
  • Ivy Funds VIP Small Cap Value
  • Ivy Funds VIP Value
View the proxy voting results for the following fund:
  • Ivy High Income Opportunities Fund

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