Matthew C. Smith

COLLAR CAPITAL MANAGEMENT

Santa Barbara, CA

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CRD#: 4240416

Professional summary

Matthew Clay Smith, who also goes by Matt Smith, is a registered financial advisor currently at COLLAR CAPITAL MANAGEMENT, LLC located in Santa Barbara, California.

Matthew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Matthew has worked at 2 firms and has passed the Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Matt Smith

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 Clay Smith'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®

None

Experience

Current

July 17, 2025 - Present

COLLAR CAPITAL MANAGEMENT, LLC

RIA

CRD#: 152325

Santa Barbara, CA

Past

February 13, 2008 - May 8, 2008

LIBERTAS CAPITAL AMERICAS

CRD#: 140108

NEW YORK, NY

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".

COLLAR CAPITAL MANAGEMENT, LLC

CRD#: 152325 / SEC#: 801-130159

RIA

Registered Investment Advisory firm - (4/30/2024 Approved)

California

Registered Investment Advisory firm - (7/12/2024 Terminated)

Louisiana

Registered Investment Advisory firm - (6/26/2024 Terminated)

New Jersey

Registered Investment Advisory firm - (4/30/2019 Terminated)

Texas

Registered Investment Advisory firm - (6/12/2024 Terminated)

Wisconsin

Registered Investment Advisory firm - (6/12/2024 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

California
(7/17/2025)

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

Series 63

Date: 10/12/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/21/2007

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/7/2008

General Securities Principal Examination

Current Firm

COLLAR CAPITAL MANAGEMENT, LLC

CRD#: 152325 / SEC#: 801-130159

RIA

Registered Investment Advisory firm - (4/30/2024 Approved)

California

Registered Investment Advisory firm - (7/12/2024 Terminated)

Louisiana

Registered Investment Advisory firm - (6/26/2024 Terminated)

New Jersey

Registered Investment Advisory firm - (4/30/2019 Terminated)

Texas

Registered Investment Advisory firm - (6/12/2024 Terminated)

Wisconsin

Registered Investment Advisory firm - (6/12/2024 Terminated)

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Contact information

Main Address

100 West Lawrence St. Suite 418, Appleton, WI 54911

Mailing Address

Phone number

(920) 830-1556

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CCM - ADV PART 2: FIRM BROCHURE (2/13/2026)

Regulatory assets under management

Total Number of Accounts	297
AUM (Assets Under Management)	$ 176,262,609

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.

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Matthew C. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Matthew Clay Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

COLLAR CAPITAL MANAGEMENT, LLC

LIBERTAS CAPITAL AMERICAS

Primary Firm SEC Registration

COLLAR CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/12/2007

Series 7

Date: 9/21/2007

Series 24

Date: 1/7/2008

Current Firm

COLLAR CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

COLLAR CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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