Chief Compliance Officer

0000870156-23-000017.txt : 20230502 0000870156-23-000017.hdr.sgml : 20230502 20230502164130 ACCESSION NUMBER: 0000870156-23-000017 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20230331 FILED AS OF DATE: 20230502 DATE AS OF CHANGE: 20230502 EFFECTIVENESS DATE: 20230502 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Wakefield Asset Management LLLP CENTRAL INDEX KEY: 0001600435 IRS NUMBER: 208251802 STATE OF INCORPORATION: CO FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-18951 FILM NUMBER: 23879831 BUSINESS ADDRESS: STREET 1: 7887 E BELLEVIEW AVE STREET 2: SUITE 800 CITY: ENGLEWOOD STATE: CO ZIP: 80111 BUSINESS PHONE: 303-771-0630 MAIL ADDRESS: STREET 1: 7887 E BELLEVIEW AVE STREET 2: SUITE 800 CITY: ENGLEWOOD STATE: CO ZIP: 80111 13F-HR 1 primary_doc.xml X0202 13F-HR LIVE false false false 0001600435 XXXXXXXX 03-31-2023 03-31-2023 Wakefield Asset Management LLLP

7887 E BELLEVIEW AVE SUITE 800 ENGLEWOOD CO 80111

13F HOLDINGS REPORT 028-18951 N Greg Brittain Chief Compliance Officer 303-771-0630 Greg Brittain Englewood CO 05-02-2023 3 157 240749210 false 1 028-19415 Wakefield Asset Management Corp. 2 028-19414 Wakefield Wealth Management, LLLP 3 028-19416 Geoffrey Todd Gervasini INFORMATION TABLE 2 aci_13f.xml 8X8 INC NEW COM 282914100 597820 143362 SH DFND 1,2,3 143362 0 0 AFLAC INC COM 001055102 2756230 42719 SH DFND 1,2,3 42719 0 0 ALBEMARLE CORP COM 012653101 935758 4232 SH DFND 1,2,3 4232 0 0 ALPS ETF TR ALERIAN MLP 00162Q452 1172332 30332 SH DFND 1,2,3 30332 0 0 AMERISAFE INC COM 03071H100 716628 14640 SH DFND 1,2,3 14640 0 0 AMN HEALTHCARE SVCS INC COM 001744101 632488 7624 SH DFND 1,2,3 7624 0 0 ANALOG DEVICES INC COM 032654105 1673609 8486 SH DFND 1,2,3 8486 0 0 APA CORPORATION COM 03743Q108 660187 18308 SH DFND 1,2,3 18308 0 0 APPLE INC COM 037833100 433358 2628 SH DFND 1,2,3 2628 0 0 ARBOR REALTY TRUST INC COM 038923108 601249 52328 SH DFND 1,2,3 52328 0 0 ARCHER DANIELS MIDLAND CO COM 039483102 2415076 30317 SH DFND 1,2,3 30317 0 0 ARISTA NETWORKS INC COM 040413106 2637585 15713 SH DFND 1,2,3 15713 0 0 ASSETMARK FINL HLDGS INC COM 04546L106 929285 29548 SH DFND 1,2,3 29548 0 0 ATI INC COM 01741R102 904818 22930 SH DFND 1,2,3 22930 0 0 AXCELIS TECHNOLOGIES INC COM NEW 054540208 1018430 7643 SH DFND 1,2,3 7643 0 0 AXOS FINANCIAL INC COM 05465C100 595852 16139 SH DFND 1,2,3 16139 0 0 BANK AMERICA CORP COM 060505104 565737 19781 SH DFND 1,2,3 19781 0 0 BANK NEW YORK MELLON CORP COM 064058100 2698273 59381 SH DFND 1,2,3 59381 0 0 BANNER CORP COM NEW 06652V208 688542 12664 SH DFND 1,2,3 12664 0 0 BARRICK GOLD CORP COM 067901108 412552 22216 SH DFND 1,2,3 22216 0 0 BERKLEY W R CORP COM 084423102 2436670 39137 SH DFND 1,2,3 39137 0 0 BLACKLINE INC COM 09239B109 796937 11868 SH DFND 1,2,3 11868 0 0 BLACKROCK MUN INCOME TR SH BEN INT 09248F109 1865917 182731 SH DFND 1,2,3 182731 0 0 BLACKROCK MUNI INCOME TR II COM 09249N101 1834736 170968 SH DFND 1,2,3 170968 0 0 BLOOMIN BRANDS INC COM 094235108 767910 29938 SH DFND 1,2,3 29938 0 0 BRINKER INTL INC COM 109641100 751298 19771 SH DFND 1,2,3 19771 0 0 BROADCOM INC COM 11135F101 426625 665 SH DFND 1,2,3 665 0 0 CADENCE DESIGN SYSTEM INC COM 127387108 2949034 14037 SH DFND 1,2,3 14037 0 0 CARDINAL HEALTH INC COM 14149Y108 366414 4853 SH DFND 1,2,3 4853 0 0 CATERPILLAR INC COM 149123101 2894598 12649 SH DFND 1,2,3 12649 0 0 CISCO SYS INC COM 17275R102 401786 7686 SH DFND 1,2,3 7686 0 0 CITIGROUP INC COM NEW 172967424 588236 12545 SH DFND 1,2,3 12545 0 0 CNO FINL GROUP INC COM 12621E103 735111 33128 SH DFND 1,2,3 33128 0 0 CONSOLIDATED EDISON INC COM 209115104 2960604 30946 SH DFND 1,2,3 30946 0 0 DYCOM INDS INC COM 267475101 725694 7749 SH DFND 1,2,3 7749 0 0 E L F BEAUTY INC COM 26856L103 951966 11560 SH DFND 1,2,3 11560 0 0 EATON VANCE MUN BD FD COM 27827X101 1098584 105633 SH DFND 1,2,3 105633 0 0 ENSIGN GROUP INC COM 29358P101 800360 8377 SH DFND 1,2,3 8377 0 0 ESSENTIAL PPTYS RLTY TR INC COM 29670E107 751062 30209 SH DFND 1,2,3 30209 0 0 EVEREST RE GROUP LTD COM G3223R108 375563 1049 SH DFND 1,2,3 1049 0 0 EXLSERVICE HOLDINGS INC COM 302081104 732767 4528 SH DFND 1,2,3 4528 0 0 EXXON MOBIL CORP COM 30231G102 399382 3642 SH DFND 1,2,3 3642 0 0 FIRSTENERGY CORP COM 337932107 3073884 76732 SH DFND 1,2,3 76732 0 0 FORTINET INC COM 34959E109 3033899 45650 SH DFND 1,2,3 45650 0 0 GARMIN LTD SHS H2906T109 374716 3713 SH DFND 1,2,3 3713 0 0 GARTNER INC COM 366651107 2633851 8085 SH DFND 1,2,3 8085 0 0 GENERAL MLS INC COM 370334104 420036 4915 SH DFND 1,2,3 4915 0 0 GILEAD SCIENCES INC COM 375558103 2866448 34548 SH DFND 1,2,3 34548 0 0 GOLD FIELDS LTD SPONSORED ADR 38059T106 359094 26959 SH DFND 1,2,3 26959 0 0 GOLDMAN SACHS BDC INC SHS 38147U107 733551 53662 SH DFND 1,2,3 53662 0 0 GRAINGER W W INC COM 384802104 2946730 4278 SH DFND 1,2,3 4278 0 0 HARMONY BIOSCIENCES HLDGS IN COM 413197104 451191 13819 SH DFND 1,2,3 13819 0 0 HEALTHSTREAM INC COM 42222N103 840290 31007 SH DFND 1,2,3 31007 0 0 HERSHEY CO COM 427866108 2789352 10964 SH DFND 1,2,3 10964 0 0 HILLTOP HOLDINGS INC COM 432748101 794563 26780 SH DFND 1,2,3 26780 0 0 HOLOGIC INC COM 436440101 2562468 31753 SH DFND 1,2,3 31753 0 0 ICF INTL INC COM 44925C103 758070 6910 SH DFND 1,2,3 6910 0 0 INTERACTIVE BROKERS GROUP IN COM CL A 45841N107 2552425 30916 SH DFND 1,2,3 30916 0 0 INVESCO MUN OPPORTUNITY TR COM 46132C107 1899069 193585 SH DFND 1,2,3 193585 0 0 ISHARES INC CORE MSCI EMKT 46434G103 8130415 166641 SH DFND 1,2,3 166641 0 0 ISHARES INC MSCI CDA ETF 464286509 3155396 92317 SH DFND 1,2,3 92317 0 0 ISHARES INC MSCI MLY ETF NEW 46434G814 245733 11084 SH DFND 1,2,3 11084 0 0 ISHARES INC MSCI SINGPOR ETF 46434G780 264105 13305 SH DFND 1,2,3 13305 0 0 ISHARES INC MSCI STH KOR ETF 464286772 553123 9035 SH DFND 1,2,3 9035 0 0 ISHARES TR 10-20 YR TRS ETF 464288653 722977 6312 SH DFND 1,2,3 6312 0 0 ISHARES TR BROAD USD HIGH 46435U853 418460 11771 SH DFND 1,2,3 11771 0 0 ISHARES TR CORE MSCI EAFE 46432F842 2798341 41860 SH DFND 1,2,3 41860 0 0 ISHARES TR EAFE GRWTH ETF 464288885 14301189 152660 SH DFND 1,2,3 152660 0 0 ISHARES TR EAFE VALUE ETF 464288877 14227249 293164 SH DFND 1,2,3 293164 0 0 ISHARES TR MSCI PHILIPS ETF 46429B408 246307 9136 SH DFND 1,2,3 9136 0 0 ISHARES TR NATIONAL MUN ETF 464288414 928181 8615 SH DFND 1,2,3 8615 0 0 ISHARES TR PFD AND INCM SEC 464288687 870071 27869 SH DFND 1,2,3 27869 0 0 ISHARES TR RUS 1000 VAL ETF 464287598 2705813 17771 SH DFND 1,2,3 17771 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 1375464 7710 SH DFND 1,2,3 7710 0 0 JELD-WEN HLDG INC COM 47580P103 762031 60192 SH DFND 1,2,3 60192 0 0 JOHNSON & JOHNSON COM 478160104 423770 2734 SH DFND 1,2,3 2734 0 0 JPMORGAN CHASE & CO COM 46625H100 603075 4628 SH DFND 1,2,3 4628 0 0 JUNIPER NETWORKS INC COM 48203R104 396244 11512 SH DFND 1,2,3 11512 0 0 KROGER CO COM 501044101 2944427 59640 SH DFND 1,2,3 59640 0 0 LANTHEUS HLDGS INC COM 516544103 882980 10695 SH DFND 1,2,3 10695 0 0 LIBERTY ENERGY INC COM CL A 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92556H305 902160 30120 SH DFND 1,2,3 30120 0 0 PARKER-HANNIFIN CORP COM 701094104 250402 745 SH DFND 1,2,3 745 0 0 PAYCHEX INC COM 704326107 334145 2916 SH DFND 1,2,3 2916 0 0 PAYONEER GLOBAL INC COM 70451X104 764628 121756 SH DFND 1,2,3 121756 0 0 PERION NETWORK LTD SHS NEW M78673114 1171727 29604 SH DFND 1,2,3 29604 0 0 PHILIP MORRIS INTL INC COM 718172109 365393 3757 SH DFND 1,2,3 3757 0 0 PROSHARES TR SHORT QQQ NEW 74347B714 3569216 293039 SH DFND 1,2,3 293039 0 0 PROSHARES TR SHORT S&P 500 NE 74347B425 1338975 89265 SH DFND 1,2,3 89265 0 0 PRUDENTIAL FINL INC COM 744320102 347757 4203 SH DFND 1,2,3 4203 0 0 QUEST DIAGNOSTICS INC COM 74834L100 2865112 20251 SH DFND 1,2,3 20251 0 0 RALPH LAUREN CORP CL A 751212101 365773 3135 SH DFND 1,2,3 3135 0 0 RAPID7 INC COM 753422104 750216 16341 SH DFND 1,2,3 16341 0 0 ROYAL GOLD INC COM 780287108 455412 3511 SH DFND 1,2,3 3511 0 0 S & T BANCORP INC COM 783859101 768324 24430 SH DFND 1,2,3 24430 0 0 SCHWAB STRATEGIC TR EMRG MKTEQ ETF 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INC COM 876030107 361995 8397 SH DFND 1,2,3 8397 0 0 TECNOGLASS INC ORD SHS G87264100 844651 20128 SH DFND 1,2,3 20128 0 0 TEREX CORP NEW COM 880779103 838958 17341 SH DFND 1,2,3 17341 0 0 TRACTOR SUPPLY CO COM 892356106 1460539 6214 SH DFND 1,2,3 6214 0 0 TRANE TECHNOLOGIES PLC SHS G8994E103 3062716 16647 SH DFND 1,2,3 16647 0 0 UNITED AIRLS HLDGS INC COM 910047109 2601060 58781 SH DFND 1,2,3 58781 0 0 UNITED RENTALS INC COM 911363109 2477458 6260 SH DFND 1,2,3 6260 0 0 UNITIL CORP COM 913259107 772892 13550 SH DFND 1,2,3 13550 0 0 VALERO ENERGY CORP COM 91913Y100 2978646 21337 SH DFND 1,2,3 21337 0 0 VANECK ETF TRUST INDONESIA INDEX 92189F833 262752 14727 SH DFND 1,2,3 14727 0 0 VANECK ETF TRUST OIL SERVICES ETF 92189H607 600541 2167 SH DFND 1,2,3 2167 0 0 VANECK ETF TRUST PREFERRED SECURT 92189F429 2523315 142964 SH DFND 1,2,3 142964 0 0 VANECK ETF TRUST VANECK VIETNAM 92189F817 249983 20524 SH DFND 1,2,3 20524 0 0 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 4703884 12508 SH DFND 1,2,3 12508 0 0 VANGUARD INTL EQUITY INDEX F TT WRLD ST ETF 922042742 604203 6561 SH DFND 1,2,3 6561 0 0 VANGUARD SCOTTSDALE FDS VNG RUS2000IDX 92206C664 1176058 16316 SH DFND 1,2,3 16316 0 0 VICI PPTYS INC COM 925652109 2879566 88198 SH DFND 1,2,3 88198 0 0 WABASH NATL CORP COM 929566107 712791 28987 SH DFND 1,2,3 28987 0 0 WATSCO INC COM 942622200 390383 1227 SH DFND 1,2,3 1227 0 0 WELLS FARGO CO NEW COM 949746101 544216 14559 SH DFND 1,2,3 14559 0 0 WESTERN ASST INFLTN LKD INM COM SH BEN INT 95766Q106 639322 73910 SH DFND 1,2,3 73910 0 0 WESTERN AST INFL LKD OPP & I COM 95766R104 2302708 251662 SH DFND 1,2,3 251662 0 0