9AT: COLLAR CAPITAL MANAGEMENT, LLC

COLLAR CAPITAL MANAGEMENT, LLC

COLLAR CAPITAL MANAGEMENT, LLC

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Adviser Profile

As of Date	07/13/2026
Registration	SEC, Approved, 04/30/2024
Other registrations (9)	California, Terminated, 07/12/2024 Louisiana, Terminated, 06/26/2024 Texas, Terminated, 06/12/2024 Wisconsin, Terminated, 06/12/2024 Louisiana, Approved, 03/21/2022 New Jersey, Terminated, 04/30/2019 Texas, Conditional Restricted, 01/24/2015 California, Approved, 03/03/2011 Wisconsin, Approved, 02/18/2011
Former registrations	COLLAR CAPITAL MANAGEMENT, LLC
ADV Location	APPLETON, WI, United States
Contact Info	920 xxxxxxx
Websites

AUM^*	176,262,609 67%
of that, discretionary	166,323,509 57%
Number of Employees	3 50%
of those in investment advisory functions	3 50%
Private Fund GAV^*	0
Avg Account Size	593,477 22%
% High Net Worth	40.00% -38%
SMA’s	No
Private Funds	0

Adviser Type

- Large advisory firm

Client Types

- Individuals (other than high net worth individuals)
- High net worth individuals
- Pension and profit sharing plans

Advisory Activities

- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services

Compensation Arrangments

- A percentage of assets under your management
- Fixed fees (other than subscription fees)

Reported AUM

166M 143M 119M 95M 71M 48M 24M

2024 2025 2026

Discretionary

Non-discretionary

Private Funds

No private funds

Employees

Brochure Summary

Overview

7 Pension Consultations: Adviser’s annual fees for pension consulting services provided under this agreement shall be based on the market value of the assets and shall generally be calculated at up to 0.50% of all plan asset value. In addition to Adviser’s consulting fee, the Client may also incur certain charges imposed by unaffiliated third parties. Such charges include, but are not limited to, custodial fees, administrative fees, brokerage commissions, transaction fees, charges imposed directly by a mutual fund, index fund, or exchange traded fund purchased for the account which shall be disclosed in the fund’s prospectus (i.e., fund management fees and other fund expenses), wire transfer fees and other fees and taxes on brokerage accounts and securities transactions. The fee for pension consulting will be billed quarterly via invoice to the client, and shall be paid within ten (10) days of the billing period. Other Types of Fees & Expenses Our clients will incur transaction charges for trades executed in their accounts. These transaction fees are separate from our fees and will be disclosed by the custodian that the trades are executed through. Also, clients will pay the following separately incurred expenses, which we do not receive any part of: charges imposed directly by a mutual fund, index fund,

or exchange traded fund which shall be disclosed in the fund’s prospectus (i.e., fund management fees and other fund expenses). Terminations & Refunds We charge our individual client advisory fees daily in arrears. In the event that you wish to terminate our services, we will stop charging fees immediately or no later than 5 business days from the time of the termination request. You need to contact us in writing and state that you wish to terminate our services. Upon receipt of your letter of termination, we will discontinue charging of fees on the account(s), and the client may transfer the account or ask for liquidation of the assets. If we do not stop charging our daily fees within 5 business days, our firm will refund you any fees that were charged in error. Commissionable Securities Sales We do not sell securities for a commission. In order to sell securities for a commission, we would need to have our associated persons registered with a broker-dealer. We have chosen not to do so. We do not charge performance fees to our clients. We have the following types of clients:
• Individuals;
• High Net Worth Individuals. Our requirements for opening and maintaining accounts or otherwise engaging us:
• We do not require a minimum account balance for our Asset Management service.