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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

C•••••• V•••••••

C••••• P••••••• P•••••••independent RIALeawood, KsIA-onlyIAPD 5081034

Certified Financial Planner

Feed of 09/14/2026

Also filed as Carolyn A Vertovec

At current firm

1 y

since Mar 31, 2025

In the industry

19 y

since Oct 23, 2006 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C••••• P••••••• P••••••• independent RIA current
since Mar 31, 2025 · Leawood, Ks
L•• F•••••••• L•• BD affiliated
Jul 2, 2024 to Oct 14, 2024 · San Diego, Ca
U•• F•••••••• S••••••• I••• wirehouse
Nov 17, 2021 to Apr 16, 2024 · Fort Myers, Fl
P•••• S••••••••• L•• no RAUM
Jul 23, 2020 to Nov 11, 2021 · Overland Park, Ks
F••••• I••••••••• independent RIA
Sep 20, 2019 to May 15, 2020 · Plano, Tx
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Nov 26, 2010 to Sep 13, 2019 · Kansas City, Mo
V•• A••••••• S••••••• former
Sep 23, 2009 to Sep 30, 2010 · Leawood, Ks
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Oct 24, 2006 to Jun 23, 2009 · Washington, Dc

Moves

a registration end followed by a registration begin elsewhere

L•• F•••••••• L•• to C••••• P••••••• P•••••••
left Oct 14, 2024, registered Mar 31, 2025 (168 days) · Affiliated broker-dealer or bank to independent RIA
U•• F•••••••• S••••••• I••• to L•• F•••••••• L••
left Apr 16, 2024, registered Jul 2, 2024 (77 days) · Wirehouse to affiliated broker-dealer or bank
P•••• S••••••••• L•• to U•• F•••••••• S••••••• I•••
left Nov 11, 2021, registered Nov 17, 2021 (6 days) · Affiliated broker-dealer or bank to wirehouse
F••••• I••••••••• to P•••• S••••••••• L••
left May 15, 2020, registered Jul 23, 2020 (69 days) · RIA to affiliated broker-dealer or bank
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F••••• I•••••••••
left Sep 13, 2019, registered Sep 20, 2019 (7 days) · Wirehouse to independent RIA
V•• A••••••• S••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Sep 30, 2010, registered Nov 26, 2010 (57 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to V•• A••••••• S•••••••
left Jun 23, 2009, registered Sep 23, 2009 (92 days) · Other

Signals

C•••••• V••••••• left L•• F•••••••• L•• for C••••• P••••••• P••••••• (registered 2025-03-31)
Oct 14, 2024 · Advisor changed firm · fact
C•••••• V••••••• left U•• F•••••••• S••••••• I••• for L•• F•••••••• L•• (registered 2024-07-02)
Apr 16, 2024 · 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: 19derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address