Chief Compliance Officer

0001376474-24-000050.txt : 20240125 0001376474-24-000050.hdr.sgml : 20240125 20240125150239 ACCESSION NUMBER: 0001376474-24-000050 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20231231 FILED AS OF DATE: 20240125 DATE AS OF CHANGE: 20240125 EFFECTIVENESS DATE: 20240125 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Wakefield Asset Management LLLP CENTRAL INDEX KEY: 0001600435 ORGANIZATION NAME: 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: 24561610 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 12-31-2023 12-31-2023 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 /s/ Greg Brittain Englewood CO 01-25-2024 3 145 269775131 false 1 028-19415 Wakefield Asset Management Corp 2 028-19414 Wakefield Wealth Management, LLLP 3 028-19416 Gervasini, Geoffrey Todd INFORMATION TABLE 2 informationtable.xml INFORMATION TABLE 3M CO COM 88579Y101 299865 2743 SH DFND 1,2,3 2743 0 0 ABBOTT LABS COM 002824100 490803 4459 SH DFND 1,2,3 4459 0 0 ABBVIE INC COM 00287Y109 1665308 10746 SH DFND 1,2,3 10746 0 0 ACADIA PHARMACEUTICALS INC COM 004225108 1108061 35390 SH DFND 1,2,3 35390 0 0 ACUSHNET HLDGS CORP COM 005098108 892782 14133 SH DFND 1,2,3 14133 0 0 AFLAC INC COM 001055102 3723060 45128 SH DFND 1,2,3 45128 0 0 ALPS ETF TR ALERIAN MLP 00162Q452 1217221 28627 SH DFND 1,2,3 28627 0 0 AMGEN INC COM 031162100 468033 1625 SH DFND 1,2,3 1625 0 0 AMPHASTAR PHARMACEUTICALS IN COM 03209R103 873817 14128 SH DFND 1,2,3 14128 0 0 APA CORPORATION COM 03743Q108 320337 8928 SH DFND 1,2,3 8928 0 0 ARCBEST CORP COM 03937C105 806249 6707 SH DFND 1,2,3 6707 0 0 ARCH CAP GROUP LTD ORD G0450A105 2942578 39620 SH DFND 1,2,3 39620 0 0 ASSURANT INC COM 04621X108 3345032 19853 SH DFND 1,2,3 19853 0 0 ATI INC COM 01741R102 840241 18479 SH DFND 1,2,3 18479 0 0 AXCELIS TECHNOLOGIES INC COM NEW 054540208 769970 5937 SH DFND 1,2,3 5937 0 0 AXIS CAP HLDGS LTD SHS G0692U109 843119 15222 SH DFND 1,2,3 15222 0 0 AXOS FINANCIAL INC COM 05465C100 1131094 20716 SH DFND 1,2,3 20716 0 0 BAKER HUGHES COMPANY CL A 05722G100 1744684 51044 SH DFND 1,2,3 51044 0 0 BLACKLINE INC COM 09239B109 793675 12711 SH DFND 1,2,3 12711 0 0 BLACKROCK MUN INCOME TR SH BEN INT 09248F109 1722766 171079 SH DFND 1,2,3 171079 0 0 BLACKROCK MUNI INCOME TR II COM 09249N101 1740392 162958 SH DFND 1,2,3 162958 0 0 BRINKER INTL INC COM 109641100 916410 21223 SH DFND 1,2,3 21223 0 0 BROADCOM INC COM 11135F101 478872 429 SH DFND 1,2,3 429 0 0 BUILDERS FIRSTSOURCE INC COM 12008R107 1419324 8502 SH DFND 1,2,3 8502 0 0 BUSINESS FIRST BANCSHARES IN COM 12326C105 1035646 42014 SH DFND 1,2,3 42014 0 0 CADENCE DESIGN SYSTEM INC COM 127387108 3120544 11457 SH DFND 1,2,3 11457 0 0 CARDINAL HEALTH INC COM 14149Y108 3228520 32021 SH DFND 1,2,3 32021 0 0 CARTERS INC COM 146229109 898905 12003 SH DFND 1,2,3 12003 0 0 CATERPILLAR INC COM 149123101 3951630 13365 SH DFND 1,2,3 13365 0 0 CBOE GLOBAL MKTS INC COM 12503M108 2944098 16488 SH DFND 1,2,3 16488 0 0 CHUYS HLDGS INC COM 171604101 872103 22812 SH DFND 1,2,3 22812 0 0 CME GROUP INC COM 12572Q105 427782 2031 SH DFND 1,2,3 2031 0 0 CNA FINL CORP COM 126117100 417896 9877 SH DFND 1,2,3 9877 0 0 CNX RES CORP COM 12653C108 966540 48327 SH DFND 1,2,3 48327 0 0 COEUR MNG INC COM NEW 192108504 361339 110840 SH DFND 1,2,3 110840 0 0 CONSOLIDATED EDISON INC COM 209115104 3057320 33608 SH DFND 1,2,3 33608 0 0 CUSTOMERS BANCORP INC COM 23204G100 1263031 21920 SH DFND 1,2,3 21920 0 0 D R HORTON INC COM 23331A109 3813331 25091 SH DFND 1,2,3 25091 0 0 DAVITA INC COM 23918K108 3011431 28746 SH DFND 1,2,3 28746 0 0 DELL TECHNOLOGIES INC CL C 24703L202 440717 5761 SH DFND 1,2,3 5761 0 0 DIREXION SHS ETF TR DAILY GOOGL BR1X 25461A601 689907 40061 SH DFND 1,2,3 40061 0 0 DIREXION SHS ETF TR DAILY MSFT BR 1X 25461A403 729943 46838 SH DFND 1,2,3 46838 0 0 DIREXION SHS ETF TR DAILY NVDA BEAR 25461A700 687246 30957 SH DFND 1,2,3 30957 0 0 DIREXION SHS ETF TR DLY AAPL BEAR 1X 25461A304 739298 36617 SH DFND 1,2,3 36617 0 0 DYCOM INDS INC COM 267475101 957089 8316 SH DFND 1,2,3 8316 0 0 DYNAVAX TECHNOLOGIES CORP COM NEW 268158201 828050 59231 SH DFND 1,2,3 59231 0 0 E L F BEAUTY INC COM 26856L103 975450 6758 SH DFND 1,2,3 6758 0 0 ENTERGY CORP NEW COM 29364G103 3417794 33776 SH DFND 1,2,3 33776 0 0 ESAB CORPORATION COM 29605J106 891000 10286 SH DFND 1,2,3 10286 0 0 ESSENTIAL PPTYS RLTY TR INC COM 29670E107 831134 32502 SH DFND 1,2,3 32502 0 0 EVERTEC INC COM 30040P103 933187 22794 SH DFND 1,2,3 22794 0 0 EXLSERVICE HOLDINGS INC COM 302081104 750828 24338 SH DFND 1,2,3 24338 0 0 FB FINL CORP COM 30257X104 1007448 25281 SH DFND 1,2,3 25281 0 0 FLEX LTD ORD Y2573F102 3414658 112103 SH DFND 1,2,3 112103 0 0 FLOWSERVE CORP COM 34354P105 866254 21011 SH DFND 1,2,3 21011 0 0 GARTNER INC COM 366651107 3246639 7197 SH DFND 1,2,3 7197 0 0 GOOSEHEAD INS INC COM CL A 38267D109 1040734 13730 SH DFND 1,2,3 13730 0 0 GRAINGER W W INC COM 384802104 3118361 3763 SH DFND 1,2,3 3763 0 0 HIBBETT INC COM 428567101 929058 12900 SH DFND 1,2,3 12900 0 0 INTEGER HLDGS CORP COM 45826H109 970588 9796 SH DFND 1,2,3 9796 0 0 INTEL CORP COM 458140100 2512712 50004 SH DFND 1,2,3 50004 0 0 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 4044257 25629 SH DFND 1,2,3 25629 0 0 INVESCO MUN OPPORTUNITY TR COM 46132C107 1731550 180182 SH DFND 1,2,3 180182 0 0 ISHARES INC CORE MSCI EMKT 46434G103 7594215 150143 SH DFND 1,2,3 150143 0 0 ISHARES INC MSCI CDA ETF 464286509 3141276 85640 SH DFND 1,2,3 85640 0 0 ISHARES INC MSCI STH KOR ETF 464286772 597241 9114 SH DFND 1,2,3 9114 0 0 ISHARES TR 20 YR TR BD ETF 464287432 797171 8062 SH DFND 1,2,3 8062 0 0 ISHARES TR BROAD USD HIGH 46435U853 458799 12622 SH DFND 1,2,3 12622 0 0 ISHARES TR CORE MSCI EAFE 46432F842 3085174 43855 SH DFND 1,2,3 43855 0 0 ISHARES TR EAFE GRWTH ETF 464288885 13658756 141030 SH DFND 1,2,3 141030 0 0 ISHARES TR EAFE VALUE ETF 464288877 13897415 266745 SH DFND 1,2,3 266745 0 0 ISHARES TR NATIONAL MUN ETF 464288414 936988 8643 SH DFND 1,2,3 8643 0 0 ISHARES TR RUS 1000 VAL ETF 464287598 3919730 23720 SH DFND 1,2,3 23720 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 1614712 8045 SH DFND 1,2,3 8045 0 0 ISHARES TR U.S. UTILITS ETF 464287697 1889146 23635 SH DFND 1,2,3 23635 0 0 ISHARES TR US CONSM STAPLES 464287812 1886619 9841 SH DFND 1,2,3 9841 0 0 ITRON INC COM 465741106 908839 12036 SH DFND 1,2,3 12036 0 0 JELD-WEN HLDG INC COM 47580P103 973699 51573 SH DFND 1,2,3 51573 0 0 JOHNSON & JOHNSON COM 478160104 1659250 10586 SH DFND 1,2,3 10586 0 0 JPMORGAN CHASE & CO COM 46625H100 4042597 23766 SH DFND 1,2,3 23766 0 0 KADANT INC COM 48282T104 870643 3106 SH DFND 1,2,3 3106 0 0 KIMBERLY-CLARK CORP COM 494368103 270136 2223 SH DFND 1,2,3 2223 0 0 KRAFT HEINZ CO COM 500754106 1859318 50279 SH DFND 1,2,3 50279 0 0 LAMB WESTON HLDGS INC COM 513272104 3302366 30552 SH DFND 1,2,3 30552 0 0 LEIDOS HOLDINGS INC COM 525327102 277961 2568 SH DFND 1,2,3 2568 0 0 LEMAITRE VASCULAR INC COM 525558201 831648 14652 SH DFND 1,2,3 14652 0 0 LULULEMON ATHLETICA INC COM 550021109 3604595 7050 SH DFND 1,2,3 7050 0 0 MAIN STR CAP CORP COM 56035L104 964591 22313 SH DFND 1,2,3 22313 0 0 MARATHON PETE CORP COM 56585A102 3433793 23145 SH DFND 1,2,3 23145 0 0 MCKESSON CORP COM 58155Q103 2939674 6349 SH DFND 1,2,3 6349 0 0 MEDPACE HLDGS INC COM 58506Q109 1105654 3607 SH DFND 1,2,3 3607 0 0 META PLATFORMS INC CL A 30303M102 3411113 9637 SH DFND 1,2,3 9637 0 0 MGP INGREDIENTS INC NEW COM 55303J106 932098 9461 SH DFND 1,2,3 9461 0 0 MOLSON COORS BEVERAGE CO CL B 60871R209 1560121 25488 SH DFND 1,2,3 25488 0 0 NETAPP INC COM 64110D104 399718 4534 SH DFND 1,2,3 4534 0 0 NEWMONT CORP COM 651639106 589518 14243 SH DFND 1,2,3 14243 0 0 NUVEEN AMT FREE QLTY MUN INC COM 670657105 1687004 153364 SH DFND 1,2,3 153364 0 0 NUVEEN MUN CR OPPORTUNITIES COM 670663103 720921 72309 SH DFND 1,2,3 72309 0 0 NUVEEN MUN HIGH INCOME OPPOR COM 670682103 732622 74152 SH DFND 1,2,3 74152 0 0 NUVEEN MUNICIPAL CREDIT INC COM SH BEN INT 67070X101 1682790 142368 SH DFND 1,2,3 142368 0 0 NUVEEN QUALITY MUNCP INCOME COM 67066V101 1708970 149255 SH DFND 1,2,3 149255 0 0 NXP SEMICONDUCTORS N V COM N6596X109 348435 1517 SH DFND 1,2,3 1517 0 0 OCCIDENTAL PETE CORP COM 674599105 2133699 35732 SH DFND 1,2,3 35732 0 0 OREILLY AUTOMOTIVE INC COM 67103H107 1940064 2042 SH DFND 1,2,3 2042 0 0 ORIGIN BANCORP INC COM 68621T102 875165 24604 SH DFND 1,2,3 24604 0 0 PACCAR INC COM 693718108 3636266 37174 SH DFND 1,2,3 37174 0 0 PAN AMERN SILVER CORP COM 697900108 620900 38022 SH DFND 1,2,3 38022 0 0 PAR PAC HOLDINGS INC COM NEW 69888T207 840002 23096 SH DFND 1,2,3 23096 0 0 PARK HOTELS & RESORTS INC COM 700517105 840606 54683 SH DFND 1,2,3 54683 0 0 PARKER-HANNIFIN CORP COM 701094104 293927 638 SH DFND 1,2,3 638 0 0 PAYMENTUS HOLDINGS INC COM CL A 70439P108 874862 48957 SH DFND 1,2,3 48957 0 0 PERION NETWORK LTD SHS NEW M78673114 890075 28833 SH DFND 1,2,3 28833 0 0 PIMCO MUN INCOME FD II COM 72200W106 738214 88916 SH DFND 1,2,3 88916 0 0 PIMCO MUN INCOME FD III COM 72201A103 731170 98914 SH DFND 1,2,3 98914 0 0 PPG INDS INC COM 693506107 3442342 23018 SH DFND 1,2,3 23018 0 0 PROG HOLDINGS INC COM NPV 74319R101 912062 29507 SH DFND 1,2,3 29507 0 0 PROSHARES TR SHORT QQQ NEW 74347B714 3499865 369184 SH DFND 1,2,3 369184 0 0 PROSHARES TR SHORT S&P 500 NE 74347B425 4208786 324002 SH DFND 1,2,3 324002 0 0 QUAKER HOUGHTON COM 747316107 988775 4633 SH DFND 1,2,3 4633 0 0 RALPH LAUREN CORP CL A 751212101 335133 2324 SH DFND 1,2,3 2324 0 0 RAPID7 INC COM 753422104 1000564 17523 SH DFND 1,2,3 17523 0 0 RESTAURANT BRANDS INTL INC COM 76131D103 442232 5660 SH DFND 1,2,3 5660 0 0 SBA COMMUNICATIONS CORP NEW CL A 78410G104 3542528 13964 SH DFND 1,2,3 13964 0 0 SCHWAB STRATEGIC TR EMRG MKTEQ ETF 808524706 4023839 162317 SH DFND 1,2,3 162317 0 0 SCHWAB STRATEGIC TR US AGGREGATE B 808524839 5798105 124369 SH DFND 1,2,3 124369 0 0 SCHWAB STRATEGIC TR US REIT ETF 808524847 571798 27610 SH DFND 1,2,3 27610 0 0 SNAP ON INC COM 833034101 3695419 12794 SH DFND 1,2,3 12794 0 0 SPROUTS FMRS MKT INC COM 85208M102 997706 20738 SH DFND 1,2,3 20738 0 0 SPX TECHNOLOGIES INC COM 78473E103 1108282 10972 SH DFND 1,2,3 10972 0 0 STRIDE INC COM 86333M108 857660 14446 SH DFND 1,2,3 14446 0 0 SYNOPSYS INC COM 871607107 1220337 2370 SH DFND 1,2,3 2370 0 0 TARGET CORP COM 87612E106 3613908 25375 SH DFND 1,2,3 25375 0 0 TRANE TECHNOLOGIES PLC SHS G8994E103 3523868 14448 SH DFND 1,2,3 14448 0 0 TTM TECHNOLOGIES INC COM 87305R109 884191 55926 SH DFND 1,2,3 55926 0 0 UNITIL CORP COM 913259107 896056 17045 SH DFND 1,2,3 17045 0 0 UPBOUND GROUP INC COM 76009N100 857831 25241 SH DFND 1,2,3 25241 0 0 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 5313025 12164 SH DFND 1,2,3 12164 0 0 VANGUARD INTL EQUITY INDEX F TT WRLD ST ETF 922042742 674996 6561 SH DFND 1,2,3 6561 0 0 VANGUARD SCOTTSDALE FDS VNG RUS2000IDX 92206C664 1421179 17524 SH DFND 1,2,3 17524 0 0 VERTIV HOLDINGS CO COM CL A 92537N108 3245964 67582 SH DFND 1,2,3 67582 0 0 WABASH NATL CORP COM 929566107 801958 31302 SH DFND 1,2,3 31302 0 0 WABTEC COM 929740108 3331760 26255 SH DFND 1,2,3 26255 0 0 WESTERN ASST INFLTN LKD INM COM SH BEN INT 95766Q106 756931 93218 SH DFND 1,2,3 93218 0 0 WESTERN AST INFL LKD OPP & I COM 95766R104 2480739 286129 SH DFND 1,2,3 286129 0 0 WSFS FINL CORP COM 929328102 939315 20451 SH DFND 1,2,3 20451 0 0