WADDELL & REED FINANCIAL INC

CIK 0001052100 · Q1 2021

13F Equity AUM

$48.6T

+102482.1% QoQ

Positions

477

-4 QoQ

AUM Rank

—

Skill Alpha (FF)

+0.5%/yr^ns

No Clear Edge

Rank #2,252 · Top 27%

vs S&P +3.6%/yr (unadj.)

Quarters Tracked

~8 years

Portfolio Concentration

Top 5: 15.8%Top 10: 22.2%Top 20: 30.7%

MSFT5.3%

AAPL3.5%

AMZN2.8%

META2.2%

GOOGL2.1%

MU1.6%

CERNCHF1.5%

OLED1.2%

ASML1.1%

EA1.0%

Others (467)77.8%

HHI (Herfindahl-Hirschman Index) measures portfolio concentration. Low (<1500) = diversified, Moderate (1500-2500), High (>2500) = concentrated bets.

Sector Allocation

Technology32.3%

Healthcare15.0%

Consumer Cyclical12.6%

Financial Services9.9%

Industrials9.2%

Communication Services8.8%

Consumer Defensive3.0%

Unclassified2.4%

Other6.6%

Portfolio weight by GICS sector based on latest 13F filing. Sectors below 2% are grouped as “Other.”

Position Sizing

Positions: 477Median: 0.10%Avg: 0.21%

0–0.5%

433(54.5%)

0.5–1%

35(24.4%)

1–3%

7(12.4%)

3–5%

1(3.5%)

5%+

1(5.3%)

Count of positions per weight bucket — (%) = combined portfolio weight

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Portfolio Overlap

Shared: 467Unique: 10vs 20 funds

9.8%Low

477

Fund positions

4,768

Consensus CUSIPs

Jaccard similarity of this fund’s portfolio vs the consensus of top 20 funds by AUM. Low (<15%) = contrarian, Moderate (15-40%), High (>40%) = follows the crowd.

Most Similar Funds

Top 6 benchmark funds with highest portfolio overlap (Jaccard similarity)

PARAMETRIC PORTFOLIO ASSOCIATES LLC

11.3%

PICTET ASSET MANAGEMENT LTD

21.4%

EATON VANCE MANAGEMENT

19.7%

AMUNDI ASSET MANAGEMENT US, INC.

21.8%

Marshall Wace North America L.P.

17.6%

Cheyne Capital Management (UK) LLP

1.8%

Jaccard similarity per fund: shared CUSIPs / (fund A + fund B − shared). Higher values indicate more similar portfolios.

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Position Changes This Quarter

New50Increased176Decreased226Exited55

New Positions

INTC0.3%

+2.5M

HZNP0.3%

+1.3M

TRMB0.3%

+1.5M

MTN0.2%

+358K

VAC0.2%

+488K

TIXT0.1%

+2.0M

TRHCEUR0.1%

+1.1M

VYX0.1%

+1.5M

LPRO0.1%

+1.3M

AIMCUSD0.1%

+899K

Increased

VRNS0.2%

+1.4M(+168%)

GMAB0.3%

+1.1M(+35%)

MRVL0.4%

+930K(+35%)

CERNCHF1.5%

+914K(+10%)

CTSH0.2%

+912K(+255%)

FIVN0.7%

+893K(+71%)

IT0.4%

+810K(+491%)

TRU0.5%

+809K(+41%)

AZN0.1%

+793K(+568%)

PNFP0.2%

+782K(+260%)

Decreased

MBIIUSD0.1%

-3,130,926(-12%)

FCX0.1%

-1,217,693(-62%)

FISV0.7%

-1,174,088(-30%)

QTS0.2%

-1,161,033(-48%)

DWD0.6%

-1,147,421(-23%)

GLAXOSMITHKLINE PLC0.1%

-1,077,080(-41%)

PLUN0.1%

-1,007,973(-44%)

QCOM0.7%

-973,963(-29%)

NVT0.2%

-950,120(-22%)

SRPT0.0%

-941,262(-85%)

Exited

SPDR S&P MIDCAP …

-261,900

INVESCO QQQ TR

-351,500

-472,925

-155,475

-524,046

-279,979

-2,425,153

-1,610,438

-749,768

-656,225

Quarter-over-quarter changes compared to prior 13F filing. New = first appearance; Exited = no longer held.

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Holdings

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