Finance Officer

0000870156-19-000039.txt : 20191025 0000870156-19-000039.hdr.sgml : 20191025 20191025123838 ACCESSION NUMBER: 0000870156-19-000039 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190930 FILED AS OF DATE: 20191025 DATE AS OF CHANGE: 20191025 EFFECTIVENESS DATE: 20191025 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: 191168846 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 13F-HR LIVE false false false 0001600435 XXXXXXXX 09-30-2019 09-30-2019 Wakefield Asset Management LLLP

7887 E BELLEVIEW AVE SUITE 800 ENGLEWOOD CO 80111

13F HOLDINGS REPORT 028-18951 N Jenny Yaeger Finance Officer 303-771-0630 Jenny Yaeger Englewood CO 10-24-2019 3 148 229635 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 AUTOZONE INC COM 053332102 1098 1012 SH DFND 1,2,3 1012 0 0 AMGEN INC COM 031162100 212 1098 SH DFND 1,2,3 1098 0 0 ALPHABET INC CAP STK CL A 02079K305 1379 1129 SH DFND 1,2,3 1129 0 0 KLA CORPORATION COM NEW 482480100 246 1543 SH DFND 1,2,3 1543 0 0 PEPSICO INC COM 713448108 217 1581 SH DFND 1,2,3 1581 0 0 CHIPOTLE MEXICAN GRILL INC COM 169656105 1556 1851 SH DFND 1,2,3 1851 0 0 DOVER CORP COM 260003108 226 2265 SH DFND 1,2,3 2265 0 0 OMNICOM GROUP INC COM 681919106 218 2779 SH DFND 1,2,3 2779 0 0 GILEAD SCIENCES INC COM 375558103 202 3181 SH DFND 1,2,3 3181 0 0 ISHARES TR U.S. MED DVC ETF 464288810 825 3335 SH DFND 1,2,3 3335 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 226 3743 SH DFND 1,2,3 3743 0 0 CINTAS CORP COM 172908105 1020 3804 SH DFND 1,2,3 3804 0 0 PRINCIPAL FINL GROUP INC COM 74251V102 220 3856 SH DFND 1,2,3 3856 0 0 GARMIN LTD SHS H2906T109 348 4112 SH DFND 1,2,3 4112 0 0 HAEMONETICS CORP COM 405024100 520 4122 SH DFND 1,2,3 4122 0 0 ANTHEM INC COM 036752103 1000 4163 SH DFND 1,2,3 4163 0 0 CYBERARK SOFTWARE LTD SHS M2682V108 421 4221 SH DFND 1,2,3 4221 0 0 METLIFE INC COM 59156R108 203 4315 SH DFND 1,2,3 4315 0 0 NETAPP INC COM 64110D104 232 4413 SH DFND 1,2,3 4413 0 0 OSI SYSTEMS INC COM 671044105 520 5118 SH DFND 1,2,3 5118 0 0 FTI CONSULTING INC COM 302941109 552 5209 SH DFND 1,2,3 5209 0 0 TOPBUILD CORP COM 89055F103 595 6168 SH DFND 1,2,3 6168 0 0 QUALYS INC COM 74758T303 471 6235 SH DFND 1,2,3 6235 0 0 SCHWAB STRATEGIC TR US REIT ETF 808524847 297 6296 SH DFND 1,2,3 6296 0 0 TETRA TECH INC NEW COM 88162G103 568 6544 SH DFND 1,2,3 6544 0 0 AMERICAS CAR MART INC COM 03062T105 604 6590 SH DFND 1,2,3 6590 0 0 ISHARES INC MSCI STH KOR ETF 464286772 373 6629 SH DFND 1,2,3 6629 0 0 MEDPACE HLDGS INC COM 58506Q109 564 6714 SH DFND 1,2,3 6714 0 0 LOCKHEED MARTIN CORP COM 539830109 2769 7100 SH DFND 1,2,3 7100 0 0 GENOMIC HEALTH INC COM 37244C101 494 7280 SH DFND 1,2,3 7280 0 0 GENERAC HLDGS INC COM 368736104 585 7468 SH DFND 1,2,3 7468 0 0 CITY HLDG CO COM 177835105 573 7521 SH DFND 1,2,3 7521 0 0 SYNOPSYS INC COM 871607107 1050 7648 SH DFND 1,2,3 7648 0 0 FIFTH THIRD BANCORP COM 316773100 220 8020 SH DFND 1,2,3 8020 0 0 MATERION CORP COM 576690101 502 8179 SH DFND 1,2,3 8179 0 0 MEDTRONIC PLC SHS G5960L103 963 8868 SH DFND 1,2,3 8868 0 0 SKYWEST INC COM 830879102 511 8904 SH DFND 1,2,3 8904 0 0 ATMOS ENERGY CORP COM 049560105 1025 8997 SH DFND 1,2,3 8997 0 0 ISHARES TR US HLTHCR PR ETF 464288828 1522 9412 SH DFND 1,2,3 9412 0 0 PORTLAND GEN ELEC CO COM NEW 736508847 553 9809 SH DFND 1,2,3 9809 0 0 PROCTER & GAMBLE CO COM 742718109 1230 9890 SH DFND 1,2,3 9890 0 0 HASBRO INC COM 418056107 1195 10069 SH DFND 1,2,3 10069 0 0 TACTILE SYS TECHNOLOGY INC COM 87357P100 451 10663 SH DFND 1,2,3 10663 0 0 SPS COMMERCE INC COM 78463M107 509 10823 SH DFND 1,2,3 10823 0 0 DRIL QUIP INC COM 262037104 545 10855 SH DFND 1,2,3 10855 0 0 SLEEP NUMBER CORP COM 83125X103 483 11697 SH DFND 1,2,3 11697 0 0 ISHARES TR GLOB HLTHCRE ETF 464287325 757 12389 SH DFND 1,2,3 12389 0 0 STARBUCKS CORP COM 855244109 1104 12484 SH DFND 1,2,3 12484 0 0 NEWELL BRANDS INC COM 651229106 241 12854 SH DFND 1,2,3 12854 0 0 HEWLETT PACKARD ENTERPRISE C COM 42824C109 200 13202 SH DFND 1,2,3 13202 0 0 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 941 13489 SH DFND 1,2,3 13489 0 0 WORLD FUEL SVCS CORP COM 981475106 544 13618 SH DFND 1,2,3 13618 0 0 LAUDER ESTEE COS INC CL A 518439104 2740 13771 SH DFND 1,2,3 13771 0 0 INGERSOLL-RAND PLC SHS G47791101 1700 13797 SH DFND 1,2,3 13797 0 0 FIRST BANCORP N C COM 318910106 496 13818 SH DFND 1,2,3 13818 0 0 MOTOROLA SOLUTIONS INC COM NEW 620076307 2463 14451 SH DFND 1,2,3 14451 0 0 CARMAX INC COM 143130102 1392 15822 SH DFND 1,2,3 15822 0 0 BOOT BARN HLDGS INC COM 099406100 577 16547 SH DFND 1,2,3 16547 0 0 ZUMIEZ INC COM 989817101 533 16823 SH DFND 1,2,3 16823 0 0 AMERICAN EQTY INVT LIFE HLD COM 025676206 413 17066 SH DFND 1,2,3 17066 0 0 AKAMAI TECHNOLOGIES INC COM 00971T101 1562 17092 SH DFND 1,2,3 17092 0 0 AUTOMATIC DATA PROCESSING IN COM 053015103 2762 17108 SH DFND 1,2,3 17108 0 0 HILTON WORLDWIDE HLDGS INC COM 43300A203 1617 17369 SH DFND 1,2,3 17369 0 0 MODEL N INC COM 607525102 493 17752 SH DFND 1,2,3 17752 0 0 OFFICE PPTYS INCOME TR COM SHS BEN INT 67623C109 549 17908 SH DFND 1,2,3 17908 0 0 KOPPERS HOLDINGS INC COM 50060P106 525 17960 SH DFND 1,2,3 17960 0 0 WW INTL INC COM 98262P101 682 18033 SH DFND 1,2,3 18033 0 0 TENET HEALTHCARE CORP COM NEW 88033G407 402 18191 SH DFND 1,2,3 18191 0 0 INVESCO EXCHNG TRADED FD TR EMRNG MKT SVRG 46138E784 545 18698 SH DFND 1,2,3 18698 0 0 H & E EQUIPMENT SERVICES INC COM 404030108 547 18949 SH DFND 1,2,3 18949 0 0 CROWN CASTLE INTL CORP NEW COM 22822V101 2656 19105 SH DFND 1,2,3 19105 0 0 SEAWORLD ENTMT INC COM 81282V100 504 19147 SH DFND 1,2,3 19147 0 0 PENNYMAC FINL SVCS INC COM 70932M107 597 19661 SH DFND 1,2,3 19661 0 0 NMI HLDGS INC CL A 629209305 520 19806 SH DFND 1,2,3 19806 0 0 UNITED TECHNOLOGIES CORP COM 913017109 2708 19835 SH DFND 1,2,3 19835 0 0 ARTISAN PARTNERS ASSET MGMT CL A 04316A108 565 19995 SH DFND 1,2,3 19995 0 0 RALPH LAUREN CORP CL A 751212101 2065 21629 SH DFND 1,2,3 21629 0 0 FIRST BUS FINL SVCS INC WIS COM 319390100 528 21925 SH DFND 1,2,3 21925 0 0 PRICE T ROWE GROUP INC COM 74144T108 2506 21935 SH DFND 1,2,3 21935 0 0 TRIUMPH GROUP INC NEW COM 896818101 504 22033 SH DFND 1,2,3 22033 0 0 RADWARE LTD ORD M81873107 535 22058 SH DFND 1,2,3 22058 0 0 KBR INC COM 48242W106 555 22612 SH DFND 1,2,3 22612 0 0 FISERV INC COM 337738108 2364 22825 SH DFND 1,2,3 22825 0 0 HILLTOP HOLDINGS INC COM 432748101 550 23029 SH DFND 1,2,3 23029 0 0 ISHARES TR CORE S&P SCP ETF 464287804 1821 23388 SH DFND 1,2,3 23388 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 3266 23515 SH DFND 1,2,3 23515 0 0 HIBBETT SPORTS INC COM 428567101 544 23764 SH DFND 1,2,3 23764 0 0 PENNYMAC MTG INVT TR COM 70931T103 529 23776 SH DFND 1,2,3 23776 0 0 RADIAN GROUP INC COM 750236101 566 24770 SH DFND 1,2,3 24770 0 0 ALLSTATE CORP COM 020002101 2716 24990 SH DFND 1,2,3 24990 0 0 MERITOR INC COM 59001K100 464 25065 SH DFND 1,2,3 25065 0 0 TWITTER INC COM 90184L102 1040 25250 SH DFND 1,2,3 25250 0 0 PHILLIPS 66 COM 718546104 2667 26045 SH DFND 1,2,3 26045 0 0 KEYSIGHT TECHNOLOGIES INC COM 49338L103 2587 26602 SH DFND 1,2,3 26602 0 0 TARGET CORP COM 87612E106 2869 26835 SH DFND 1,2,3 26835 0 0 LATTICE SEMICONDUCTOR CORP COM 518415104 524 28670 SH DFND 1,2,3 28670 0 0 NOBLE ENERGY INC COM 655044105 647 28821 SH DFND 1,2,3 28821 0 0 BAXTER INTL INC COM 071813109 2540 29040 SH DFND 1,2,3 29040 0 0 GENERAL MLS INC COM 370334104 1645 29838 SH DFND 1,2,3 29838 0 0 AMETEK INC NEW COM 031100100 2740 29845 SH DFND 1,2,3 29845 0 0 E L F BEAUTY INC COM 26856L103 524 29927 SH DFND 1,2,3 29927 0 0 PROGRESSIVE CORP OHIO COM 743315103 2404 31117 SH DFND 1,2,3 31117 0 0 INOVALON HLDGS INC COM CL A 45781D101 523 31896 SH DFND 1,2,3 31896 0 0 ISHARES TR CORE US AGGBD ET 464287226 3747 33113 SH DFND 1,2,3 33113 0 0 ISHARES INC MSCI CDA ETF 464286509 968 33484 SH DFND 1,2,3 33484 0 0 INVESCO DB US DLR INDEX TR BEARISH FD 46141D104 697 34497 SH DFND 1,2,3 34497 0 0 AMERESCO INC CL A 02361E108 576 35816 SH DFND 1,2,3 35816 0 0 ONEOK INC NEW COM 682680103 2888 39187 SH DFND 1,2,3 39187 0 0 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 3620 42872 SH DFND 1,2,3 42872 0 0 DELTA AIR LINES INC DEL COM NEW 247361702 2533 43977 SH DFND 1,2,3 43977 0 0 VILLAGE FARMS INTL INC COM 92707Y108 401 44287 SH DFND 1,2,3 44287 0 0 BRISTOL MYERS SQUIBB CO COM 110122108 2494 49188 SH DFND 1,2,3 49188 0 0 NUVEEN SELECT TAX FREE INCM SH BEN INT 67063X100 810 50394 SH DFND 1,2,3 50394 0 0 MUELLER WTR PRODS INC COM SER A 624758108 569 50658 SH DFND 1,2,3 50658 0 0 D R HORTON INC COM 23331A109 2682 50886 SH DFND 1,2,3 50886 0 0 ACCO BRANDS CORP COM 00081T108 537 54422 SH DFND 1,2,3 54422 0 0 BLACKROCK MUNI INTER DR FD I COM 09253X102 777 54761 SH DFND 1,2,3 54761 0 0 BLACKROCK MUNIYIELD INVST FD COM 09254R104 785 54887 SH DFND 1,2,3 54887 0 0 ISHARES TR EAFE GRWTH ETF 464288885 4472 55544 SH DFND 1,2,3 55544 0 0 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 5761 56629 SH DFND 1,2,3 56629 0 0 JPMORGAN CHASE & CO ALERIAN ML ETN 46625H365 1325 56952 SH DFND 1,2,3 56952 0 0 FEDERATED PREM MUN INC FD COM 31423P108 815 57418 SH DFND 1,2,3 57418 0 0 BLACKROCK MUNIHLDS INVSTM QL COM 09254P108 790 58374 SH DFND 1,2,3 58374 0 0 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 4208 59328 SH DFND 1,2,3 59328 0 0 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 1920 60251 SH DFND 1,2,3 60251 0 0 BLACKROCK MUNIHOLDNGS QLTY I COM 09254A101 790 61773 SH DFND 1,2,3 61773 0 0 ARCH CAP GROUP LTD ORD G0450A105 2602 61983 SH DFND 1,2,3 61983 0 0 VECTOR GROUP LTD COM 92240M108 801 67265 SH DFND 1,2,3 67265 0 0 SCHWAB STRATEGIC TR US AGGREGATE B 808524839 4450 82629 SH DFND 1,2,3 82629 0 0 ALLY FINL INC COM 02005N100 2742 82677 SH DFND 1,2,3 82677 0 0 EATON VANCE MUN BD FD COM 27827X101 1225 94500 SH DFND 1,2,3 94500 0 0 VANECK VECTORS ETF TR VIETNAM ETF 92189F817 1543 94579 SH DFND 1,2,3 94579 0 0 AES CORP COM 00130H105 1551 94930 SH DFND 1,2,3 94930 0 0 ARCONIC INC COM 03965L100 2562 98544 SH DFND 1,2,3 98544 0 0 JP MORGAN EXCHANGE TRADED FD ULTRA SHRT INC 46641Q837 4997 99090 SH DFND 1,2,3 99090 0 0 TECHNIPFMC PLC COM G87110105 2581 106921 SH DFND 1,2,3 106921 0 0 DELAWARE INVT NAT MUNI INC F SH BEN INT 24610T108 1566 116423 SH DFND 1,2,3 116423 0 0 ALLIANCEBERNSTEIN NATL MUNI COM 01864U106 1619 117509 SH DFND 1,2,3 117509 0 0 ISHARES TR EAFE VALUE ETF 464288877 5663 119542 SH DFND 1,2,3 119542 0 0 PIONEER MUN HIGH INCOME ADV COM 723762100 1491 136319 SH DFND 1,2,3 136319 0 0 DWS MUN INCOME TR NEW COM 233368109 1596 137709 SH DFND 1,2,3 137709 0 0 DELAWARE INV CO MUN INC FD I COM 246101109 2125 143680 SH DFND 1,2,3 143680 0 0 PROSHARES TR SHORT QQQ NEW 74347B714 4480 161517 SH DFND 1,2,3 161517 0 0 VANGUARD SCOTTSDALE FDS MORTG-BACK SEC 92206C771 12721 238841 SH DFND 1,2,3 238841 0 0 SCHWAB STRATEGIC TR EMRG MKTEQ ETF 808524706 7429 295607 SH DFND 1,2,3 295607 0 0 WESTERN ASST INFLTN LKD INM COM SH BEN INT 95766Q106 3567 307744 SH DFND 1,2,3 307744 0 0 WESTERN AST INFL LKD OPP & I COM 95766R104 3598 324704 SH DFND 1,2,3 324704 0 0 INVESCO EXCHNG TRADED FD TR FTSE RAFI DEV 46138E743 12910 325594 SH DFND 1,2,3 325594 0 0