Roger Thomas has been an investment adviser representative at Orca Investment Management since August 2010, and is not listed among the firm’s executive officers or direct owners. Roger Thomas holds a Bachelor of Business Administration in Accounting from Western Michigan University and a Master of Business Administration in Finance and Real Estate from The University of Texas at Austin.
Orca Investment Management, LLC is a Lake Oswego, OR firm with $212M under management, 364 clients and 3 advisers across 2 offices, as of its May 2026 filing.
Roger Thomas joined Orca Investment Management, LLC in early 2010, after winding down the registered investment advisor he had co-founded with former co-workers. Earlier he worked at MetLife, ending in its Portfolio Management Unit, and from 1998 oversaw the Public Investments Department of a Portland-based registered investment advisor.
Roger Thomas’ longest registration is the current one, 16 years at Orca Investment Management since 2010. Before joining Orca Investment Management in 2010, Roger Thomas was registered through Cardinal Point Investments, LLC.
- – present · 16 yearsLake Oswego, OR · Adviser representative · Firm CRD 144377
- Cardinal Point Investments, LLC– · 5 yearsPortland, OR · Adviser representative · Firm CRD 109222
Investment adviser representative registrations
Roger Thomas is registered as an investment adviser representative in Oregon, since August 2010.
- OregonSince 18 August 2010
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 20 November 2000 |
- Name
- Uniform Investment Adviser Law Examination
- Full name
- Roger Keith Thomas
- CRD
- 4377628
- Firm
- Orca Investment Management · CRD 144377
- Office
- 6 CENTERPOINTE DRIVE, SUITE 300, Lake Oswego, OR 97035
- Registration
- Investment adviser registration
- In the industry since
- June 2005
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- orcaim.com
Where does Roger Thomas work?
Roger Thomas is an investment adviser representative registered through Orca Investment Management, LLC since August 2010, and is not listed among the firm’s executive officers or direct owners.
Is Roger Thomas a financial advisor?
Yes. Roger Thomas has a current investment-adviser registration in Oregon, through Orca Investment Management since August 2010.
How many years of experience does Roger Thomas have?
Roger Thomas has 21 years in the financial industry, since June 2005, across 2 adviser firms.
What exams has Roger Thomas passed?
Roger Thomas passed the Series 65 in November 2000.
Where did Roger Thomas work before Orca Investment Management?
Before Orca Investment Management, Roger Thomas was registered through Cardinal Point Investments, LLC, November 2002 to December 2007.
Where is Roger Thomas based?
Roger Thomas’ registered office is in Lake Oswego, OR.
Is Roger Thomas registered with FINRA?
No. Roger Thomas has no current broker registration.
How can I verify Roger Thomas’ record?
Search CRD 4377628 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Roger Thomas’ full registration record.