Matthew W. Sexton

CLEAR HARBOR ASSET MANAGEMENT

Stamford, CT 06901

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CRD#: 2906497

Professional summary

Matthew William Sexton, CFP®, CIMA®, who also goes by Matt W Sexton, is a registered financial advisor currently at CLEAR HARBOR ASSET MANAGEMENT, LLC located in Stamford, Connecticut.

Matthew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Matthew has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 55, Series 7 and Series 24 exams.

Core Areas of Focus

Alternative or Private Investments

Business Owners

Charitable Giving

College/Education Planning

Financial Psychology/Coaching

Generation X

Question & Answer

What are your service offerings?

Estate Planning

Tax Planning

Retirement Planning

Investment Planning

Comprehensive Financial Planni...

What is your minimum asset requirement?

Are you a "fiduciary"?

Yes

Aliases

Matt W Sexton

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Matthew William Sexton's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2017

CIMA^®

Certified Investment Management Analyst

Experience

Current

July 13, 2020 - Present

CLEAR HARBOR ASSET MANAGEMENT, LLC

Office #1: 263 Tresser Blvd. Suite 1502, Stamford, CT 06901

RIA

CRD#: 152242

Stamford, CT

Past

July 17, 2014 - May 28, 2015

STIFEL, NICOLAUS & COMPANY, INCORPORATED

RIA

CRD#: 793

GREENWICH, CT

Past

July 15, 2014 - May 28, 2015

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

GREENWICH, CT

Past

January 2, 2014 - July 10, 2014

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

NEW YORK, NY

Past

November 4, 2013 - July 10, 2014

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

NEW YORK, NY

Past

July 2, 2012 - November 6, 2013

VIRTU AMERICAS LLC

CRD#: 149823

JERSEY CITY, NJ

Past

March 1, 2004 - July 2, 2012

KNIGHT CAPITAL AMERICAS, L.P.

CRD#: 38599

JERSEY CITY, NJ

Past

October 20, 2003 - March 10, 2004

UBS CAPITAL MARKETS L.P.

CRD#: 2692

STAMFORD, CT

Past

June 21, 2000 - October 17, 2003

KNIGHT CAPITAL AMERICAS, L.P.

CRD#: 38599

JERSEY CITY, NJ

Past

August 30, 1999 - November 10, 1999

KNIGHT CAPITAL AMERICAS, L.P.

CRD#: 38599

JERSEY CITY, NJ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CLEAR HARBOR ASSET MANAGEMENT, LLC

CLEAR HARBOR ASSET MANAGEMENT, LLC | FALCON CAPITAL MANAGEMENT, INC. | DAUNTLESS MANAGEMENT LLC

CRD#: 152242 / SEC#: 801-70821

RIA

Registered Investment Advisory firm - (11/20/2009 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Connecticut
(7/13/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/26/2013

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/13/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 5/28/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 7/20/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 8/27/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/22/2006

General Securities Principal Examination

Current Firm

CLEAR HARBOR ASSET MANAGEMENT, LLC

CLEAR HARBOR ASSET MANAGEMENT, LLC | FALCON CAPITAL MANAGEMENT, INC. | DAUNTLESS MANAGEMENT LLC

CRD#: 152242 / SEC#: 801-70821

RIA

Registered Investment Advisory firm - (11/20/2009 Approved)

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Contact information

Main Address

263 Tresser Blvd. Suite 1502, Stamford, CT 06901

Mailing Address

Phone number

(212) 867-7310

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (20 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CLEAR HARBOR ASSET MANAGEMENT ADV PART 2A (3/27/2025)

Regulatory assets under management

Total Number of Accounts	1,667
AUM (Assets Under Management)	$ 1,742,800,000

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/13/2026	Cover Page	Report
12/18/2024	Cover Page	Report
01/23/2024	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

(xxx) xxx-xxxx

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Advisor Monitoring

Firm Stability Insights

Matthew W. Sexton

Professional summary

Core Areas of Focus

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Matthew William Sexton's CRS (Customer Relationship Summary).

Certified licenses

Experience

STIFEL, NICOLAUS & COMPANY, INCORPORATED

STIFEL, NICOLAUS & COMPANY, INCORPORATED

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

VIRTU AMERICAS LLC

KNIGHT CAPITAL AMERICAS, L.P.

UBS CAPITAL MARKETS L.P.

KNIGHT CAPITAL AMERICAS, L.P.

KNIGHT CAPITAL AMERICAS, L.P.

Primary Firm SEC Registration

CLEAR HARBOR ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/26/2013

Series 63

Date: 11/13/2004

SIE

Date: 5/28/2015

Series 55

Date: 7/20/2000

Series 7

Date: 8/27/1999

Series 24

Date: 8/22/2006

Current Firm

CLEAR HARBOR ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (20 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CLEAR HARBOR ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

Contact information

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