DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Wakefield Asset Management, Lllp
Latest filing Mar 30, 2026
First filing on the tape Mar 29, 2012 · 21 filings
SEC status approved since Jul 23, 2007
RAUM
$454M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
70%
$316M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$113M
derived; firm RAUM over IAPD count
Employees
11
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$454M as of Mar 30, 2026
Mar 29, 2012$110M then
HNW client RAUM$267M as of Mar 30, 2026
Mar 29, 2018$179M then
State-registered IARs (5.B.3)4 as of Mar 30, 2026
Mar 29, 20120 then
Employees (5.A)11 as of Mar 30, 2026
Apr 1, 20139 then
Private funds: no history
RAUM +22% over the last fiscal year+13% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $113MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 47derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $774,705derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.8derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.6%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$267M59%
- Corporations and businesses$129M28%
- Individuals$49.1M11%
- Pension and profit-sharing plans$8.4M1.9%
- Charitable organizations$701,4990.2%
- Individual clients
- 103reported
- HNW clients
- 85reported
- Pension plan clients
- 3reported
- Charitable clients
- 2reported
- Accounts
- 586reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- $0 sponsored, $522M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.7 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Geoffrey Todd Gervasini | Englewood, Co | Oct 31, 2007 | 32 y | 2 |
| Gregory J Brittain | Englewood, Co | May 29, 2015 | 14 y | 0 |
| Lance Eric Peterson | Englewood, Co | Dec 1, 2021 | 32 y | 2 |
| Nicholas Todd Gervasini | Englewood, Co | Mar 25, 2024 | 11 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Dennis Loyd Engel to Icon Advisers, Inc.Nov 9, 2011 · Other
- Michael Anthony Markovich to Morgan StanleyNov 18, 2010 · Other
Joined, latest
- Lance Eric Peterson from Raymond James Investment ManagementDec 1, 2021 · Other
- Geoffrey Todd Gervasini from Wakefield Asset Management, Inc.Oct 31, 2007 · Other
- Michael Anthony Markovich from Morgan Stanley Dw Inc.Oct 31, 2007 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Todd Geoffrey Gervasini · Managing Partner, Chief Investment Officercontrolsince 12/2006 · owns 75% or more
- Todd Geoffrey Gervasini · Shareholdercontrolsince 12/2006 · owns 75% or more of Wakefield Asset Management Corporation
- J Gregory Brittain · Partner, Chief Compliance Officersince 01/2021 · owns 5% to 10%
Entity owners
- Wakefield Asset Management Corporation · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- Wakefield Wealth Management, Lllpinvestment advisernRAUM $513M
Advisers that list Wakefield Asset Management, Lllp as a related person
- 173997 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Englewood, Co · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 580 to 586Mar 31, 2025 to Mar 30, 2026
- HNW clients · 83 to 85Mar 31, 2025 to Mar 30, 2026
- Individual clients · 95 to 103Mar 31, 2025 to Mar 30, 2026
- Pension plan clients · 4 to 3Mar 31, 2025 to Mar 30, 2026
- Employees · 10 to 11Mar 31, 2025 to Mar 30, 2026
- Discretionary RAUM · $371M to $454MMar 31, 2025 to Mar 30, 2026
- HNW RAUM · $235M to $267MMar 31, 2025 to Mar 30, 2026
- Individual RAUM · $39.7M to $49.1MMar 31, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $321,408 to $472,091Mar 31, 2025 to Mar 30, 2026
- Pension RAUM · $14.3M to $8.4MMar 31, 2025 to Mar 30, 2026
- RAUM · $371M to $454MMar 31, 2025 to Mar 30, 2026
- Wrap assets (manager) · $0 to $522MMar 31, 2025 to Mar 30, 2026
- Accounts · 572 to 580Mar 28, 2024 to Mar 31, 2025
- Corporate clients · 9 to 8Mar 28, 2024 to Mar 31, 2025
- Individual clients · 82 to 95Mar 28, 2024 to Mar 31, 2025
- Employees · 11 to 10Mar 28, 2024 to Mar 31, 2025
- Insurance-licensed employees · 2 to 3Mar 28, 2024 to Mar 31, 2025
- Financial planning clients · 101-250 to 101-250Mar 28, 2024 to Mar 31, 2025
- State-registered IARs · 3 to 4Mar 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $343M to $371MMar 28, 2024 to Mar 31, 2025
- HNW RAUM · $224M to $235MMar 28, 2024 to Mar 31, 2025
- Individual RAUM · $34.9M to $39.7MMar 28, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $271,802 to $321,408Mar 28, 2024 to Mar 31, 2025
- Pension RAUM · $12.9M to $14.3MMar 28, 2024 to Mar 31, 2025
- RAUM · $343M to $371MMar 28, 2024 to Mar 31, 2025
- Accounts · 557 to 572Jul 18, 2023 to Mar 28, 2024
- Charity clients · 3 to 2Jul 18, 2023 to Mar 28, 2024
- Corporate clients · 8 to 9Jul 18, 2023 to Mar 28, 2024
- HNW clients · 80 to 83Jul 18, 2023 to Mar 28, 2024
- Individual clients · 74 to 82Jul 18, 2023 to Mar 28, 2024
- Pension plan clients · 5 to 4Jul 18, 2023 to Mar 28, 2024
- Discretionary RAUM · $312M to $343MJul 18, 2023 to Mar 28, 2024
- HNW RAUM · $200M to $224MJul 18, 2023 to Mar 28, 2024
- Individual RAUM · $31.2M to $34.9MJul 18, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $295,586 to $271,802Jul 18, 2023 to Mar 28, 2024
- Pension RAUM · $11.4M to $12.9MJul 18, 2023 to Mar 28, 2024
- RAUM · $313M to $343MJul 18, 2023 to Mar 28, 2024
- Accounts · 544 to 557Mar 22, 2022 to Mar 20, 2023
- HNW clients · 76 to 80Mar 22, 2022 to Mar 20, 2023
- Individual clients · 109 to 74Mar 22, 2022 to Mar 20, 2023
Signals
1 dated events
- Wakefield Asset Management, Lllp reported RAUM $265.9M, down 49% from $518.5M (2017-03-30 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/WAKEFIELD-ASSET-MANAGEMENT-CORPORATIONreportedpublic record, Form ADV, Sep 17, 2026
- Website
- WAKEFIELDASSET.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 303-771-0630reportedpublic record, Form ADV, Mar 30, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $113Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026