# Wakefield Asset Management, LLLP

> Wakefield Asset Management, LLLP is an SEC-registered investment advisory firm in Englewood, CO, registered since 2007, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 30, 2026.

- CRD: 143720
- Filed as: WAKEFIELD ASSET MANAGEMENT, LLLP
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Englewood, CO
- Filing period: October 2026
- Form ADV filing dated: March 30, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/143720
- AdvisorCensus page: https://advisorcensus.com/firm/wakefield-asset-management-lllp-englewood-co-143720

## Quick answers

**How is Wakefield Asset Management, LLLP compensated?**
On its Form ADV (Item 5.E, October 2026), Wakefield Asset Management, LLLP reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees). The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Where is Wakefield Asset Management, LLLP located?**
Wakefield Asset Management, LLLP's principal office is in Englewood, CO, according to its Form ADV.

**Is Wakefield Asset Management, LLLP registered with the SEC or a state?**
Wakefield Asset Management, LLLP is an SEC-registered investment advisory firm, registered since 2007. Status as filed: Approved. CRD 143720.

**How much does Wakefield Asset Management, LLLP manage?**
Wakefield Asset Management, LLLP reports $453,977,004 in regulatory assets under management in its Form ADV filing dated March 30, 2026 (100% discretionary).

**How have Wakefield Asset Management, LLLP's assets and staff changed since 2021?**
In the Form ADV data for Wakefield Asset Management, LLLP: Regulatory assets under management: $293,464,406 in the October 2021 data and $453,977,004 in the October 2026 data, up 55%. Total employees: 8 in October 2021 and 11 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Wakefield Asset Management, LLLP serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (103); high net worth individuals (85); corporations or other businesses not listed above (8).

**Which custodians does Wakefield Asset Management, LLLP use?**
Wakefield Asset Management, LLLP's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. and Fidelity Brokerage Services LLC as custodians holding 10% or more of its separately managed account assets.

**Does Wakefield Asset Management, LLLP report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/143720

**What changed in Wakefield Asset Management, LLLP's recent Form ADV filings?**
In the April 2026 filing data: Regulatory assets under management went from $371,192,055 to $453,977,004 (+22%).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Fixed fees (other than subscription fees)

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.
- Fidelity Brokerage Services LLC

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

### Regulatory assets under management (Item 5.F)
- Total: $453,977,004
- Discretionary: $453,504,913
- Non-discretionary: $472,091

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 103 | $49,101,716 |
| High net worth individuals | 85 | $266,739,408 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 3 | $8,419,798 |
| Charitable organizations | 2 | $701,499 |
| Corporations or other businesses not listed above | 8 | $129,014,583 |

### Advisory services (Item 5.G)
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)

### Firm details
- Registered since: 2007 (19 years)
- Employees: 11 total, 3 performing advisory functions
- Wrap fee program participation: Yes
- States registered or notice-filed: AZ, CA, CO, IL, LA, NE, TX, VA
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- wakefieldasset.com
- LinkedIn @WAKEFIELD-ASSET-MANAGEMENT-CORPORATION

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $293,464,406 | 8 | March 29, 2021 |
| October 2022 | $352,492,560 | 9 | March 22, 2022 |
| October 2023 | $312,557,936 | 11 | July 18, 2023 |
| October 2024 | $343,094,943 | 11 | March 28, 2024 |
| October 2025 | $371,192,055 | 10 | March 31, 2025 |
| October 2026 | $453,977,004 | 11 | March 30, 2026 |

Regulatory assets under management: $293,464,406 in the October 2021 data and $453,977,004 in the October 2026 data, up 55%.
Total employees: 8 in October 2021 and 11 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Regulatory assets under management went from $371,192,055 to $453,977,004 (+22%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Wakefield Asset Management, LLLP (CRD 143720): Form ADV filing data as of October 2026.