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.
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SEC-registered adviser
W•••• S••••• C•••••• M••••••••• L••
Latest filing Apr 24, 2026
First filing on the tape Jun 29, 2021 · 11 filings
SEC status approved since Jul 29, 2021
RAUM
$203M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$203M as of Apr 24, 2026
Mar 31, 2022$185M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 24, 2026
Mar 31, 20220 then
Employees (5.A)4 as of Apr 24, 2026
Mar 31, 20226 then
Private funds4 as of Apr 24, 2026
Mar 31, 20223 then
RAUM +8.3% over the last fiscal year+11% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 24, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $50.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- yesreportedItem 9.A
- 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$203M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| W•••• S••••• O••••••••• F••• V• L• | Private Equity Fund | $112M | 19 | Mar 30, 2020 |
| W••• V• S••••••• L• | Private Equity Fund | $98.4M | 7 | Mar 29, 2021 |
| W•••• S••••• O••••••••• F••• I• L•no longer reported | Private Equity Fund | $19.9M | 37 | Mar 28, 2018 |
| W•••• S••••• O••••••••• F••• I• L• | Private Equity Fund | $14.3M | 21 | Mar 28, 2018 |
Owners and control persons
Schedule A and B, latest filing
- C••••••• R•••••• M•••••• · Founder, President And Chief Investment Officercontrolsince 09/2010 · owns less than 5%
- C••••••• R•••••• M•••••• · Managing Directorcontrolsince 11/2019 · owns 50% to 75% of W•••• S••••• C•••••• H••••••• L••
- V••••••••• M•••••• A••••• · Chief Compliance Officersince 12/2024 · owns less than 5%
Entity owners
- W•••• S••••• C•••••• H••••••• L•• · Managing Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- W••• I• G• L••pooled vehicle sponsorn
- W••• V• G• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 3 to 4Apr 23, 2025 to Mar 31, 2026
- Pooled vehicle clients · 3 to 4Apr 23, 2025 to Mar 31, 2026
- Employees · 3 to 4Apr 23, 2025 to Mar 31, 2026
- Private funds · 3 to 4Apr 23, 2025 to Mar 31, 2026
- Discretionary RAUM · $188M to $203MApr 23, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $188M to $203MApr 23, 2025 to Mar 31, 2026
- RAUM · $188M to $203MApr 23, 2025 to Mar 31, 2026
- Pooled vehicle clients · 4 to 3Dec 17, 2024 to Apr 23, 2025
- Financial planning clients · unset to Dec 17, 2024 to Apr 23, 2025
- Discretionary RAUM · $146M to $188MDec 17, 2024 to Apr 23, 2025
- Pooled vehicle RAUM · $146M to $188MDec 17, 2024 to Apr 23, 2025
- RAUM · $146M to $188MDec 17, 2024 to Apr 23, 2025
- Advisory employees · 4 to 3May 23, 2024 to Dec 17, 2024
- Pooled vehicle clients · 3 to 4May 23, 2024 to Dec 17, 2024
- Employees · 4 to 3May 23, 2024 to Dec 17, 2024
- Discretionary RAUM · $148M to $146MMay 12, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $148M to $146MMay 12, 2023 to Mar 27, 2024
- RAUM · $148M to $146MMay 12, 2023 to Mar 27, 2024
- Employees · 6 to 4Feb 14, 2023 to Mar 28, 2023
- Discretionary RAUM · $185M to $148MFeb 14, 2023 to Mar 28, 2023
- Pooled vehicle RAUM · $185M to $148MFeb 14, 2023 to Mar 28, 2023
- RAUM · $185M to $148MFeb 14, 2023 to Mar 28, 2023
- Accounts · 5 to 4Jun 29, 2021 to Mar 31, 2022
- Pooled vehicle clients · 4 to 3Jun 29, 2021 to Mar 31, 2022
- Assets in custody · $19.9M to $0Jun 29, 2021 to Mar 31, 2022
- Private funds · 8 to 3Jun 29, 2021 to Mar 31, 2022
- Discretionary RAUM · $211M to $185MJun 29, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $211M to $185MJun 29, 2021 to Mar 31, 2022
- RAUM · $211M to $185MJun 29, 2021 to Mar 31, 2022
Signals
4 dated events
- Gail Kayla Kreuzberger (Chief Compliance Officer & Chief Financial Officer) no longer on Schedule A of W•••• S••••• C•••••• M••••••••• L•• (listed 2024-05-23, absent 2024-12-17)Dec 17, 2024 · Control person left · inference
- Gail Kayla Kreuzberger (Chief Compliance Officer & Chief Financial Officer) appeared on Schedule A of W•••• S••••• C•••••• M••••••••• L••Feb 14, 2023 · Control person joined · fact
- Smeltzer Stephanie Mccoy (Chief Operating Officer And Chief Compliance Officer) no longer on Schedule A of W•••• S••••• C•••••• M••••••••• L•• (listed 2022-03-31, absent 2023-02-14)Feb 14, 2023 · Control person left · inference
- W•••• S••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jun 29, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- W•••• S••••• C•••••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- W•••• S••••• C•••••• M••••••••• L•• · Private Equityshared crd · organization
- W•••• S••••• C•••••• M••••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/wazee-street-capital-managementreportedpublic record, Form ADV, Sep 19, 2026
- Website
- w•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 303-645-9300reportedpublic record, Form ADV, Apr 24, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026