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RIA / WealthAdvisor23 years in industry

STEVEN JAMES LAMBERT

Advisor at SLR ADVISORS

SANTA ROSA, CA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:00 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 1
On other graphs: 0
Observed: Jul 7, 2005 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: SLR ADVISORS
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 2, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Jul 2, 2003
First registration: Jul 7, 2005
Dual registered: no
Other names: STEVE LAMBERT
IAPD individual key: 4662696

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
SLR ADVISORS	State registered	Apr 11, 2025	n/a	yes	SANTA ROSA, CA	Current employment
SLR FINANCIAL	n/a	Jan 16, 2019	Dec 9, 2023	no	SANTA ROSA, CA	Previous registration
SLR FINANCIAL	n/a	Aug 8, 2013	Dec 31, 2018	no	SANTA ROSA, CA	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Apr 13, 2012	Oct 28, 2015	no	NOVATO, CA\|SANTA ROSA, CA\|SAN DIEGO, CA\|NOVATO, CA\|SANTA ROSA, CA\|PETALUMA, CA\|SANTA ROSA, CA\|SANTA ROSA, CA\|UKIAH, CA\|SANTA ROSA, CA	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	May 2, 2009	Apr 17, 2012	no	SANTA ROSA, CA\|SANTA ROSA, CA\|ROHNERT PARK, CA\|SANTA ROSA, CA\|PETALUMA, CA\|SEBASTOPOL, CA\|PETALUMA, CA\|PETALUMA, CA\|PETALUMA, CA\|SANTA ROSA, CA\|SANTA ROSA, CA\|SANTA ROSA, CA	Previous registration
WAMU INVESTMENTS, INC.	n/a	Nov 2, 2007	May 2, 2009	no	SANTA ROSA, CA\|ROHNERT PARK, CA\|OAKLAND, CA\|SANTA ROSA, CA\|SANTA ROSA, CA	Previous registration
INVESTORS CAPITAL ADVISORY	Former SEC adviser	Mar 16, 2007	Oct 30, 2007	no	TULSA, OK\|SANTA ROSA, CA	Previous registration
WELLS FARGO INVESTMENTS, LLC	n/a	Jul 7, 2005	Aug 31, 2005	no	NOVATO, CA	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
SLR FINANCIAL	SLR ADVISORS	Dec 9, 2023	Apr 11, 2025	489	Firm change after gap	Other
LPL FINANCIAL LLC	SLR FINANCIAL	Oct 28, 2015	Aug 8, 2013	-811	Firm change after gap	Other
CHASE INVESTMENT SERVICES CORP.	LPL FINANCIAL LLC	Apr 17, 2012	Apr 13, 2012	-4	Firm change	Other
WAMU INVESTMENTS, INC.	CHASE INVESTMENT SERVICES CORP.	May 2, 2009	May 2, 2009	0	Bulk transfer	Other
INVESTORS CAPITAL ADVISORY	WAMU INVESTMENTS, INC.	Oct 30, 2007	Nov 2, 2007	3	Firm change	Other
WELLS FARGO INVESTMENTS, LLC	INVESTORS CAPITAL ADVISORY	Aug 31, 2005	Mar 16, 2007	562	Firm change after gap	Other

Relationships

Registered with (7)

→ SLR ADVISORSRegistered adviserregistration: current employment
Apr 11, 2025 to presentfactForm ADV
→ SLR FINANCIALRegistered adviserregistration: previous registration
Jan 16, 2019 to Dec 9, 2023factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Apr 13, 2012 to Oct 28, 2015factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
May 2, 2009 to Apr 17, 2012factForm ADV
→ WAMU INVESTMENTS, INC.Registered adviserregistration: previous registration
Nov 2, 2007 to May 2, 2009factForm ADV
→ INVESTORS CAPITAL ADVISORYRegistered adviserregistration: previous registration
Mar 16, 2007 to Oct 30, 2007factForm ADV
→ WELLS FARGO INVESTMENTS, LLCRegistered adviserregistration: previous registration
Jul 7, 2005 to Aug 31, 2005factForm ADV

Dated events

Occurred
Dec 9, 2023
Advisor changed firm
Steven James Lambert left Slr Financial for Slr Advisors (registered 2025-04-11)
Form ADVobserved 4 days ago