{"url":"https://nivawealth.com/firms/wakefield-wealth-management-lllp-173997","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/173997","regulatoryAum":512887728,"crd":"173997","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"6438047","suffix":null,"lastName":"BRITTAIN","firstName":"GREGORY","middleName":"J"},{"crd":"2443483","suffix":null,"lastName":"GERVASINI","firstName":"GEOFFREY","middleName":"TODD"},{"crd":"7883265","suffix":null,"lastName":"GERVASINI","firstName":"NICHOLAS","middleName":"TODD"}],"total":3,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-03-29","regulatoryAum":325041548,"clients":145,"employees":7,"offices":1},{"filedOn":"2022-03-21","regulatoryAum":375647764,"clients":162,"employees":8,"offices":1},{"filedOn":"2023-07-24","regulatoryAum":342630625,"clients":137,"employees":10,"offices":1},{"filedOn":"2024-03-27","regulatoryAum":369078847,"clients":147,"employees":10,"offices":1},{"filedOn":"2025-04-02","regulatoryAum":388296437,"clients":151,"employees":9,"offices":1},{"filedOn":"2026-03-30","regulatoryAum":512887728,"clients":157,"employees":10,"offices":1}],"secFileNumber":"801-80693","legalName":"Wakefield Wealth Management, LLLP","displayName":"Wakefield Wealth Management, LLLP","slug":"wakefield-wealth-management-lllp-173997","website":"https://wakefieldwealth.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/wakefield-asset-management-corporation/","founded":null,"organization":"Colorado other (specify)","fiscalYearEnd":"December","headquarters":{"street":"7887 E. Belleview Ave, Suite 800","city":"Englewood","state":"CO","stateName":"Colorado","country":"United States","postalCode":"80111"},"tradeNames":[],"registration":{"secApproved":"8 January 2015","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":2158024.1836734693,"staff":{"employees":10,"advisory":2,"brokerDealerReps":0,"insuranceAgents":0,"promoters":3},"aum":{"regulatory":512887728,"discretionary":393213496,"discretionaryAccounts":514,"nonDiscretionary":119674232,"nonDiscretionaryAccounts":111,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":70,"regulatoryAum":33079693},{"label":"High-net-worth individuals","clients":77,"regulatoryAum":284149862},{"label":"Pension and profit-sharing plans","clients":2,"regulatoryAum":6953043},{"label":"Charitable organizations","clients":1,"regulatoryAum":700955},{"label":"Corporations and other businesses","clients":7,"regulatoryAum":188004175}],"feePrograms":[],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T10:02:17.391659+00:00","documents":[{"name":"PART 2A BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1031909","versionId":1031909,"submittedOn":"2026-03-30"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":393240899},{"name":"Fidelity Brokerage Services LLC","shortName":"Fidelity","location":"Smithfield, RI","smaAssets":118857260}],"custodyNote":"Wakefield Wealth Management, LLLP does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Gregory Brittain","title":"Partner, Chief Compliance Officer","crd":"6438047"},{"name":"Geoffrey Gervasini","title":"Limited Partner","crd":"2443483"}],"ownership":[{"label":"Geoffrey Gervasini","detail":"Limited partner in the 75% or more ownership band and a control person, since November 2014. Also a shareholder of Wakefield Asset Management Corporation in the 75% or more band and a control person, since December 2006."},{"label":"Gregory Brittain","detail":"Partner, chief compliance officer in the 5% to 10% ownership band, since March 2021."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Colorado","offices":1,"addresses":[{"street":"7887 E. Belleview Ave, Suite 800","city":"Englewood","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"303-771-0630","stateRegisteredReps":3,"otherAdviserReps":2,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)"],"activities":["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)"],"financialPlanningClients":"101-250","assetMix":[{"label":"Exchange-traded equity securities","percent":77},{"label":"U.S. government/agency bonds","percent":8},{"label":"U.S. state and local bonds","percent":3},{"label":"Securities issued by registered investment companies or business development companies","percent":9},{"label":"Cash and cash equivalents","percent":3}],"privateFunds":0},"sources":{"adv1FilingDate":"30 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/173997/PDF/173997.pdf","brochureDate":"30 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1031909","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Wakefield Wealth Management, LLLP have?","answer":"Wakefield Wealth Management, LLLP has 157 clients and manages $513 million for them, as of March 2026. They include 77 high-net-worth individuals, 70 individual clients, and 7 corporations and other businesses.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 30 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Wakefield Wealth Management, LLLP offer?","answer":"Wakefield Wealth Management, LLLP provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting, and selecting other managers.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Wakefield Wealth Management, LLLP use?","answer":"Wakefield Wealth Management, LLLP’s separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $393M and Fidelity Brokerage Services LLC (Smithfield, RI), with $119M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 30 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Wakefield Wealth Management, LLLP have?","answer":"Wakefield Wealth Management, LLLP has 3 investment adviser representatives registered with state securities authorities, out of 10 employees, and 2 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Wakefield Wealth Management, LLLP invest in?","answer":"At the end of its last fiscal year, Wakefield Wealth Management, LLLP’s separately managed accounts held 77% exchange-traded equities, 9% registered funds (mutual funds, ETFs, BDCs), 8% U.S. government and agency bonds, 3% state and local bonds and 3% cash and equivalents.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Wakefield Wealth Management, LLLP?","answer":"Wakefield Wealth Management, LLLP’s direct owners are Geoffrey Gervasini (75% or more) and Gregory Brittain (5% to 10%).","source":"Form ADV Part 1A, Schedules A and B, filed 30 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Wakefield Wealth Management, LLLP get paid?","answer":"Wakefield Wealth Management, LLLP is paid through a percentage of assets under management and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Wakefield Wealth Management, LLLP?","answer":"Wakefield Wealth Management, LLLP’s main office is at 7887 E. Belleview Ave, Suite 800, Englewood, CO 80111. Its phone number is 303-771-0630. Its website is wakefieldwealth.com.","source":"Form ADV Part 1A, Item 1.F, filed 30 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}