C
Clifton, Roger Lambert
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$15,200,000
Clients
4
100% high-net-worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor with up to 2 employees
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
4
LowAverage account size
$3,800,000
About
The firm provides financial and investment counseling to individuals and high‑net‑worth individuals on a non‑discretionary basis. It generally works with accounts subject to a $1 million minimum and currently advises approximately $15.2 million across four client accounts.
The adviser uses charting, fundamental, technical and cyclical analysis to develop recommendations and typically emphasizes mutual funds as the primary holding in client programs. Because the firm does not accept trading authority, clients are responsible for effecting transactions and accounts are reviewed at least quarterly with additional communication as needed.
Operating as a long‑established sole proprietorship since 1982, the firm’s near‑exclusive non‑discretionary model and very small client roster are uncommon among independent advisers. Administrative practices such as quarterly fee billing with direct withdrawals through the client custodian are formalized, and the firm does not accept performance‑based fees, custody of client assets, or proxy voting authority.
Client services
Portfolio management
Expertise
Wealth management
Fee options
$0 - $1,000,000: 1.0% per annum $1,000,000 - $2,000,000: 0.8% per annum $2,000,000 - $3,000,000: 0.6% per annum $3,000,000+: 0.4% per annum
Account minimum: $1,000,000
Main office location
Clifton, Roger Lambert
Westport MA, United States
Number of offices
1
Most active in
Clifton, Roger Lambert has reported serving >5 clients in these states in the last 12 months.
Massachusetts
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
-
Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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