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.
Registered advisor
Carolina Nmn Ortiz
Certified Financial Planner
Feed of 09/14/2026
Also filed as Carolina Cruz
At current firm
3 y
since Jun 16, 2023
In the industry
24 y
since Sep 3, 2002 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Shared Vision Wealth Group independent RIA currentsince Jun 16, 2023 · Carlsbad, Ca
- Northwest Asset Management independent RIAFeb 27, 2020 to Sep 22, 2023 · Chula Vista, Ca
- Usaa Investment Services Company no RAUMJan 8, 2018 to Mar 5, 2020 · San Antonio, Tx
- Usaa Financial Planning Services formerJul 9, 2013 to Jan 8, 2018 · San Diego, Ca
- Cuso Financial Services, L.P. formerFeb 23, 2012 to Jun 14, 2013 · Chula Vista, Ca
- U.S. Bancorp Advisors, LLC BD affiliatedFeb 15, 2005 to Feb 23, 2012 · San Diego, Ca
Moves
a registration end followed by a registration begin elsewhere
- Northwest Asset Management to Shared Vision Wealth Groupleft Sep 22, 2023, registered Jun 16, 2023 (-98 days) · RIA to a newly registered adviser
- Usaa Investment Services Company to Northwest Asset Managementleft Mar 5, 2020, registered Feb 27, 2020 (-7 days) · Affiliated broker-dealer or bank to independent RIA
- Usaa Financial Planning Services to Usaa Investment Services Companyleft Jan 8, 2018, registered Jan 8, 2018 (0 days) · corporate re-registration, not a move
- Cuso Financial Services, L.P. to Usaa Financial Planning Servicesleft Jun 14, 2013, registered Jul 9, 2013 (25 days) · Other
- U.S. Bancorp Advisors, LLC to Cuso Financial Services, L.P.left Feb 23, 2012, registered Feb 23, 2012 (0 days) · Other
Signals
- Carolina Nmn Ortiz left Northwest Asset Management for Shared Vision Wealth Group (registered 2023-06-16)Sep 22, 2023 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Independent wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address