DFX Intelligence

Data Factory

RIA / WealthAdvisor32 years in industry

TAMARA LYNN HUMPHRIES

Advisor at MARINER

Eugene, OR

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:885af202-b7e6-0440-e17c-25850682ac6f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:02 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Dec 4, 2006 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: MARINER
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 8, 1993earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Nov 8, 1993
First registration: Dec 4, 2006
Dual registered: no
Other names: TAMI L HUMPHRIES|TAMI HUMPHRIES
IAPD individual key: 2282995

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
Mariner	Bd affiliated wealth	Jun 17, 2021	n/a	yes	Eugene, OR	Current employment
SAPIENT PRIVATE WEALTH MANAGEMENT, LLC	Independent wealth	Nov 28, 2011	Jun 17, 2021	no	EUGENE, OR	Previous registration
SAPIENT PRIVATE WEALTH MANAGEMENT, LLC	Former SEC adviser	Sep 24, 2010	Nov 28, 2011	no	EUGENE, OR	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Oct 11, 2010	no	EUGENE, OR	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Dec 4, 2006	Jun 1, 2009	no	EUGENE, OR\|EUGENE, OR	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
SAPIENT PRIVATE WEALTH MANAGEMENT, LLC	Mariner	Jun 17, 2021	Jun 17, 2021	0	Firm change	RIA to ibd
SAPIENT PRIVATE WEALTH MANAGEMENT, LLC	SAPIENT PRIVATE WEALTH MANAGEMENT, LLC	Nov 28, 2011	Nov 28, 2011	0	Channel change	Other
MORGAN STANLEY	SAPIENT PRIVATE WEALTH MANAGEMENT, LLC	Oct 11, 2010	Sep 24, 2010	-17	Firm change	Other
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other

Relationships

Registered with (5)

→ MARINERRegistered adviserregistration: current employment
Jun 17, 2021 to presentfactForm ADV
→ SAPIENT PRIVATE WEALTH MANAGEMENT, LLCRegistered adviserregistration: previous registration
Nov 28, 2011 to Jun 17, 2021factForm ADV
→ SAPIENT PRIVATE WEALTH MANAGEMENT, LLCRegistered adviserregistration: previous registration
Sep 24, 2010 to Nov 28, 2011factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Oct 11, 2010factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Dec 4, 2006 to Jun 1, 2009factForm ADV

Dated events

No dated event names this entity yet.