# Wakefield Wealth Management, LLLP

> Wakefield Wealth Management, LLLP is an SEC-registered investment advisory firm in Englewood, CO, registered since 2015, reporting $500 million to $1 billion in regulatory assets under management in its Form ADV filing dated March 30, 2026.

- CRD: 173997
- Filed as: WAKEFIELD WEALTH 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/173997
- AdvisorCensus page: https://advisorcensus.com/firm/wakefield-wealth-management-lllp-englewood-co-173997

## Quick answers

**How is Wakefield Wealth Management, LLLP compensated?**
On its Form ADV (Item 5.E, October 2026), Wakefield Wealth Management, LLLP reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees).

**How much does Wakefield Wealth Management, LLLP charge?**
Its Form ADV Part 2A brochure dated March 30, 2026 states: Asset-based fee: up to 1.5% of assets a year (the maximum the brochure states). Fees can differ by service and may be negotiable; the brochure is the complete statement.

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

**Is Wakefield Wealth Management, LLLP registered with the SEC or a state?**
Wakefield Wealth Management, LLLP is an SEC-registered investment advisory firm, registered since 2015. Status as filed: Approved. CRD 173997.

**How much does Wakefield Wealth Management, LLLP manage?**
Wakefield Wealth Management, LLLP reports $512,887,728 in regulatory assets under management in its Form ADV filing dated March 30, 2026 (77% discretionary).

**How have Wakefield Wealth Management, LLLP's assets and staff changed since 2021?**
In the Form ADV data for Wakefield Wealth Management, LLLP: Regulatory assets under management: $325,041,548 in the October 2021 data and $512,887,728 in the October 2026 data, up 58%. Total employees: 7 in October 2021 and 10 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Wakefield Wealth Management, LLLP serve?**
By number of clients on Form ADV Item 5.D: high net worth individuals (77); individuals (other than high net worth individuals) (70); corporations or other businesses not listed above (7).

**Which custodians does Wakefield Wealth Management, LLLP use?**
Wakefield Wealth 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 Wealth 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/173997

**Does Wakefield Wealth Management, LLLP state an account minimum?**
Its Form ADV Part 2A brochure dated March 30, 2026 says: "Our Firm maintains a $1 million or more of investable assets. In certain instances, at the discretion of our Firm, this minimum may be waived if we determine your account can be adequately diversified at an amount less than $1 million."

**What changed in Wakefield Wealth Management, LLLP's recent Form ADV filings?**
In the April 2026 filing data: Regulatory assets under management went from $388,296,437 to $512,887,728 (+32%).

## From the Form ADV filing

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

### Fees and minimums (Form ADV Part 2A brochure dated March 30, 2026)

- Asset-based fee: up to 1.5% of assets a year (the maximum the brochure states)

> Our maximum annual advisory fee is 1.5%.

- Account minimum: $1,000,000 (the brochure says it may be waived or negotiated)

> Our Firm maintains a $1 million or more of investable assets. In certain instances, at the discretion of our Firm, this minimum may be waived if we determine your account can be adequately diversified at an amount less than $1 million.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### 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: $512,887,728
- Discretionary: $393,213,496
- Non-discretionary: $119,674,232

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 70 | $33,079,693 |
| High net worth individuals | 77 | $284,149,862 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | $0 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 2 | $6,953,043 |
| Charitable organizations | 1 | $700,955 |
| State or municipal government entities (including government pension plans) | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses not listed above | 7 | $188,004,175 |

### Advisory services (Item 5.G)
- Financial planning services
- 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: 2015 (11 years)
- Employees: 10 total, 2 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: AZ, CO, IL, LA, NE, TX
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

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

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $325,041,548 | 7 | March 29, 2021 |
| October 2022 | $375,647,764 | 8 | March 21, 2022 |
| October 2023 | $342,630,625 | 10 | July 24, 2023 |
| October 2024 | $369,078,847 | 10 | March 27, 2024 |
| October 2025 | $388,296,437 | 9 | April 2, 2025 |
| October 2026 | $512,887,728 | 10 | March 30, 2026 |

Regulatory assets under management: $325,041,548 in the October 2021 data and $512,887,728 in the October 2026 data, up 58%.
Total employees: 7 in October 2021 and 10 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Regulatory assets under management went from $388,296,437 to $512,887,728 (+32%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Wakefield Wealth Management, LLLP (CRD 173997): Form ADV filing data as of October 2026.