Joan W. Lamb

RUTHERFORD INVESTMENT MANAGEMENT

PORTLAND, OR 97223

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CRD#: 1225050

Professional summary

Joan W Robertson Lamb, who also goes by Joan W Robertson, Joan Robertson Spogli, Joan W Robertson Spogli, is a registered financial advisor currently at RUTHERFORD INVESTMENT MANAGEMENT located in Portland, Oregon.

Joan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Joan has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joan W Robertson | Joan Robertson Spogli | Joan W Robertson Spogli

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.

College of the Desert Foundation, non-investment related, Palm Desert, CA, the purpose of the foundation is to act as an advocate for the college and to secure financial support, enhancing the educational opportunities for all students, Board Member since April 2023, approximately 10 hours a month (none during trading hours), Board Members are responsible for evaluating, select, and supervise outside money managers to manage the Foundation investment assets.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joan W Robertson Lamb'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®

None

Experience

Current

October 15, 2014 - Present

RUTHERFORD INVESTMENT MANAGEMENT

Office #1: 10300 Sw Greenburg Road Suite 115, Portland, OR 97223

RIA

CRD#: 167545

PORTLAND, OR

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".

RUTHERFORD INVESTMENT MANAGEMENT

RUTHERFORD INVESTMENT MANAGEMENT | WD RUTHERFORD LLC

CRD#: 167545 / SEC#: 801-117368

RIA

Registered Investment Advisory firm - (9/20/2019 Approved)

Oregon

Registered Investment Advisory firm - (10/21/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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
(5/31/2024)

IAR

Idaho
(6/30/2025)

IAR

Oregon
(10/15/2014)

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

State Security Law Exam

IAR

Series 65

Date: 10/15/2014

Uniform Investment Adviser Law Examination

Current Firm

RUTHERFORD INVESTMENT MANAGEMENT

RUTHERFORD INVESTMENT MANAGEMENT | WD RUTHERFORD LLC

CRD#: 167545 / SEC#: 801-117368

RIA

Registered Investment Advisory firm - (9/20/2019 Approved)

Oregon

Registered Investment Advisory firm - (10/21/2019 Terminated)

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Contact information

Main Address

10300 Sw Greenburg Road Suite 115, Portland, OR 97223

Mailing Address

Phone number

(503) 452-1210

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

FORM ADV PART 2 - (1/25/2025)

Regulatory assets under management

Total Number of Accounts	116
AUM (Assets Under Management)	$ 216,353,445

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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Joan W. Lamb

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joan W Robertson Lamb's CRS (Customer Relationship Summary).

Certified licenses

Experience

RUTHERFORD INVESTMENT MANAGEMENT

Primary Firm SEC Registration

RUTHERFORD INVESTMENT MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 10/15/2014

Current Firm

RUTHERFORD INVESTMENT MANAGEMENT

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RUTHERFORD INVESTMENT MANAGEMENT

TRUST BUT VERIFY

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