Carolyn J. Herzog

CORVUS WEALTH ADVISORS LLC

San Luis Obispo, CA 93401

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CRD#: 4159202

Professional summary

Carolyn Jane Herzog, CFP®, who also goes by Carolyn Jane Niner, is a registered financial advisor currently at CORVUS WEALTH ADVISORS LLC located in San Luis Obispo, California.

Carolyn is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Carolyn has worked at 2 firms .

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Carolyn Jane Niner

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

SLO Seed Ventures, investment-related, 90 Baron Canyon Ranch Rd., San Luis Obispo, CA 93401. SLO Seed Ventures is an angel investor membership group that invests in start-up companies. Carolyn is both a member and director - she has been a member since August 2016 and a director since September 2018. She spends approximately 4 hours per month at this activity. Primary duties include meeting attendance, start-up company due diligence and administrative/logistical management and oversight.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carolyn Jane Herzog's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2019

Experience

Current

January 12, 2021 - Present

CORVUS WEALTH ADVISORS LLC

Office #1: 1310 Osos Street, San Luis Obispo, CA 93401

RIA

CRD#: 311261

San Luis Obispo, CA

Past

May 26, 2016 - March 24, 2021

COMPASS FINANCIAL PLANNING, LLC

RIA

CRD#: 283585

SAN LUIS OBISPO, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CORVUS WEALTH ADVISORS LLC

CORVUS WEALTH ADVISORS LLC | CORVUS WEALTH ADVISORS, LLC

CRD#: 311261 / SEC#: 801-119912

RIA

Registered Investment Advisory firm - (12/15/2020 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(1/12/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

Current Firm

CORVUS WEALTH ADVISORS LLC

CORVUS WEALTH ADVISORS LLC | CORVUS WEALTH ADVISORS, LLC

CRD#: 311261 / SEC#: 801-119912

RIA

Registered Investment Advisory firm - (12/15/2020 Approved)

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Contact information

Main Address

615 S. Main Street Suite A, Templeton, CA 93465

Mailing Address

Phone number

(805) 434-2608

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CORVUS WEALTH ADVISORS, LLC - FORM ADV PART 2A (5/13/2025)

Regulatory assets under management

Total Number of Accounts	1,320
AUM (Assets Under Management)	$ 870,591,493

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Carolyn J. Herzog

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carolyn Jane Herzog's CRS (Customer Relationship Summary).

Certified licenses

Experience

CORVUS WEALTH ADVISORS LLC

COMPASS FINANCIAL PLANNING, LLC

Primary Firm SEC Registration

CORVUS WEALTH ADVISORS LLC

State Registrations and Notice Filings

Exams

Current Firm

CORVUS WEALTH ADVISORS LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CORVUS WEALTH ADVISORS LLC

TRUST BUT VERIFY

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