Lambert Capital Management
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
The firm provides discretionary portfolio management and investment advice primarily to individual clients, charging fees based on a percentage of assets under management; the practice operates as a single-advisor registered investment adviser with roughly $4.16 million in AUM and a very small client roster. Services focus on tailored portfolio management for individuals rather than institutional mandates.
Advisory oversight and client service are provided directly by the firm’s principal, who brings multi-decade industry experience including prior work as a registered representative and holds securities exams. The brochure indicates a hands-on, personalized approach consistent with the firm’s small scale, and notes the principal also serves as the firm’s chief compliance officer with no internal supervisory staff beyond the firm’s code of ethics.
The firm discloses several atypical outside activities: a sole proprietorship in entertainment and talent management, a private equity vehicle that invests the principals’ own capital in growth companies, and a charitable foundation supporting performing arts in local schools. The brochure states clients are not solicited to participate in the private equity activities, reports no material disciplinary history, and indicates the principal does not receive additional outside compensation.
Client services
Expertise
Main office
1332 Santa Barbara St.
Santa Barbara CA 93101
Advisors at this office
1
Most active in
California
Also doing business as
Lambert Capital Management · Lambert, Joseph Neil
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is not active or affiliated with:
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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.
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