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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

WAKEFIELD ASSET MANAGEMENT, LLLP

CRD 143720

ENGLEWOOD, CO

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:b280bd9b-c309-a46f-eecf-afc5ef92e7a2

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:30 AM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 1
On other graphs: 0
Observed: Mar 29, 2012 to Mar 30, 2026
21 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.7 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $454MItem 5.F on the latest filing (2026-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $454M
Private client RAUM: $316MderivedItem 5.D individuals plus high net worth individuals
Private client share: 70%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 4
RAUM per advisor: $113Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 11
Advisory employees: 3
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 586
Individual clients: 103
High net worth clients: 85
SEC number: 801-68152
CIK: 1600435
CRD: 143720
Filings on the tape: 21
First filed: Mar 29, 2012
Latest filed: Mar 30, 2026
Organised: Other (specify), CO
Website: wakefieldasset.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
GEOFFREY TODD GERVASINI	n/a	ENGLEWOOD, CO	18	32	2	no
GREGORY J BRITTAIN	n/a	ENGLEWOOD, CO	11	14	n/a	no
LANCE ERIC PETERSON	n/a	ENGLEWOOD, CO	4	32	2	no
NICHOLAS TODD GERVASINI	n/a	ENGLEWOOD, CO	2	11	n/a	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
GERVASINI, GEOFFREY, TODD	Shareholder	E	yes	12/2006	Mar 29, 2012	Mar 28, 2024
GERVASINI, GEOFFREY, TODD	MANAGING PARTNER, CHIEF INVESTMENT OFFICER	E	yes	12/2006	Mar 29, 2012	Mar 28, 2024
WAKEFIELD ASSET MANAGEMENT CORPORATION	GENERAL PARTNER	Na	yes	12/2006	Mar 29, 2012	Mar 28, 2024
BRITTAIN, GREGORY, J	PARTNER, CHIEF COMPLIANCE OFFICER	A	no	01/2021	Mar 29, 2021	Mar 28, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
WAKEFIELD WEALTH MANAGEMENT, LLLP	n/a	Independent wealth	$513M	N	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 30, 2026	$454M	$454M	11	3	0	n/a	n/a
2024	Mar 31, 2025	$371M	$371M	10	3	0	n/a	n/a
2023	Mar 28, 2024	$343M	$343M	11	3	0	n/a	n/a
2022	Mar 20, 2023	$313M	$312M	11	3	0	n/a	n/a
2021	Mar 22, 2022	$352M	$352M	9	3	0	n/a	n/a
2020	Mar 29, 2021	$293M	$293M	8	3	0	n/a	n/a
2019	Mar 30, 2020	$279M	$278M	8	3	0	n/a	n/a
2018	Mar 29, 2019	$241M	$240M	8	3	0	n/a	n/a
2017	Mar 29, 2018	$266M	$265M	8	3	0	n/a	n/a
2016	Mar 30, 2017	$518M	$214M	7	3	n/a	n/a	n/a
2015	Mar 29, 2016	$381M	$182M	8	4	n/a	n/a	n/a
2014	Mar 30, 2015	$269M	$170M	8	4	n/a	n/a	n/a
2013	Mar 21, 2014	$225M	$158M	9	2	n/a	n/a	n/a
2012	Apr 1, 2013	$165M	$127M	9	2	n/a	n/a	n/a
2011	Mar 29, 2012	$110M	$104M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$454M	$371M	22.3%	$313M	13.2%	11	10	0	0

Relationships

Affiliated with (2)

→ WAKEFIELD WEALTH MANAGEMENT, LLLPRegistered adviserother investment adviser, common control
factForm ADV
← WAKEFIELD WEALTH MANAGEMENT, LLLPRegistered adviserother investment adviser, common control
factForm ADV

Registered with (6)

← NICHOLAS TODD GERVASINIAdvisorregistration: current employment
Mar 27, 2024 to presentfactForm ADV
← LANCE ERIC PETERSONAdvisorregistration: current employment
Dec 1, 2021 to presentfactForm ADV
← GREGORY J BRITTAINAdvisorregistration: current employment
May 29, 2015 to presentfactForm ADV
← GEOFFREY TODD GERVASINIAdvisorregistration: current employment
Oct 31, 2007 to presentfactForm ADV
← DENNIS LOYD ENGELAdvisorregistration: previous registration
Apr 12, 2011 to Nov 9, 2011factForm ADV
← MICHAEL ANTHONY MARKOVICHAdvisorregistration: previous registration
Oct 31, 2007 to Nov 18, 2010factForm ADV

Controls (2)

← GERVASINI, GEOFFREY, TODDOwnerSHAREHOLDER, ownership code E, individual
Mar 29, 2012 to Mar 28, 2024factForm ADV
← WAKEFIELD ASSET MANAGEMENT CORPORATIONOwnerGENERAL PARTNER, ownership code NA, domestic entity
Mar 29, 2012 to Mar 28, 2024factForm ADV

Owns (1)

← BRITTAIN, GREGORY, JOwnerPARTNER, CHIEF COMPLIANCE OFFICER, ownership code A, individual
Mar 29, 2021 to Mar 28, 2024factForm ADV

Dated events

Occurred
Mar 29, 2018
Regulatory AUM changed
Wakefield Asset Management, Lllp reported RAUM $265.9M, down 49% from $518.5M (2017-03-30 to 2018-03-29)
Form ADVobserved 4 days ago
$-253M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b280bd9b-c309-a46f-eecf-afc5ef92e7a2
First observed: Mar 29, 2012
Last observed: Mar 30, 2026 5 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

WAKEFIELD ASSET MANAGEMENT, LLLP

CRD 143720

ENGLEWOOD, CO

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:b280bd9b-c309-a46f-eecf-afc5ef92e7a2

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:30 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

GEOFFREY TODD GERVASINI

n/a

ENGLEWOOD, CO

GREGORY J BRITTAIN

n/a

ENGLEWOOD, CO

n/a

LANCE ERIC PETERSON

n/a

ENGLEWOOD, CO

NICHOLAS TODD GERVASINI

n/a

ENGLEWOOD, CO

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

GERVASINI, GEOFFREY, TODD

Shareholder

yes

12/2006

Mar 29, 2012

Mar 28, 2024

GERVASINI, GEOFFREY, TODD

MANAGING PARTNER, CHIEF INVESTMENT OFFICER

yes

12/2006

Mar 29, 2012

Mar 28, 2024

WAKEFIELD ASSET MANAGEMENT CORPORATION

GENERAL PARTNER

yes

12/2006

Mar 29, 2012

Mar 28, 2024

BRITTAIN, GREGORY, J

PARTNER, CHIEF COMPLIANCE OFFICER

01/2021

Mar 29, 2021

Mar 28, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

WAKEFIELD WEALTH MANAGEMENT, LLLP

n/a

Independent wealth

$513M

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 30, 2026

$454M

n/a

2024

Mar 31, 2025

$371M

n/a

2023

Mar 28, 2024

$343M

n/a

2022

Mar 20, 2023

$313M

$312M

n/a

2021

Mar 22, 2022

$352M

n/a

2020

Mar 29, 2021

$293M

n/a

2019

Mar 30, 2020

$279M

$278M

n/a

2018

Mar 29, 2019

$241M

$240M

n/a

2017

Mar 29, 2018

$266M

$265M

n/a

2016

Mar 30, 2017

$518M

$214M

n/a

2015

Mar 29, 2016

$381M

$182M

n/a

2014

Mar 30, 2015

$269M

$170M

n/a

2013

Mar 21, 2014

$225M

$158M

n/a

2012

Apr 1, 2013

$165M

$127M

n/a

2011

Mar 29, 2012

$110M

$104M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$454M

$371M

22.3%

$313M

13.2%