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WAKEFIELD ASSET MANAGEMENT, LLLP
CRD 143720File 801-68152
APPROVED
Retail clients
Filing as of Mar 30, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$454.0M
Above cohort median (national)
Discretionary AUM
$453.5M
Non-discretionary $472K
Clients
201
586 accounts
Employees
11
Above cohort median in CO
Identity & registration
ADV Item 1- Organization form
- Other (specify)
- Firm type
- Registered
- SEC region
- DRO
- Registration date
- Jul 23, 2007
- Principal office
- 7887 EAST BELLEVIEW AVE, SUITE #800, ENGLEWOOD, CO, 80111
- Phone
- 303-771-0630
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $454.0M
- Discretionary AUM
- $453.5M
- Non-discretionary AUM
- $472K
- Discretionary accounts
- 582
- Non-discretionary accounts
- 4
- Total accounts
- 586
- AUM per client
- $2.3M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 8 | $129.0M |
| Charitable organizations | 2 | $701K |
| High net worth individuals | 85 | $266.7M |
| Pension and profit sharing plans | 3 | $8.4M |
| Individuals (other than high net worth individuals) | 103 | $49.1M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- A percentage of assets under your management
Advisory activities
- Selection of other advisers
- Portfolio management for other
- Portfolio management for businesses
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Employees | 10 | 11 | increased by1 |
| Apr 1, 2026 | Clients | 192 | 201 | increased by9 |
| Apr 1, 2026 | AUM | $371,192,055 | $453,977,004 | increased by$82,784,949 |
| Apr 1, 2026 | Accounts | 580 | 586 | increased by6 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 9 | 10 | increased by1 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 201 | 192 | decreased by9 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $352,492,560 | $371,192,055 | increased by$18,699,495 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 544 | 580 | increased by36 |
| Apr 1, 2022 | Employees | 8 | 9 | increased by1 |
| Apr 1, 2022 | Clients | 194 | 201 | increased by7 |
| Apr 1, 2022 | AUM | $293,464,406 | $352,492,560 | increased by$59,028,154 |
| Apr 1, 2022 | Accounts | 510 | 544 | increased by34 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “WAKEFIELD ASSET” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“WAKEFIELD ASSET” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.