Matthew Herman
Matthew Herman is a registered investment advisor at Integrity Alliance, LLC, based in Dover, NH, with 22 years of industry experience. Matthew operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 14,148 clients with $2.4B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Integrity Alliance offers investment management through various programs.
Edge Program:
- Fees include a program fee (up to 0.35% annually), an advisor fee (up to 2.00% annually), and potential third-party sub-advisor fees.
Select Program:
- Fees range from 1.00% to 2.80% annually on the first $1,000,000, 1.00% to 2.20% on the next $2,000,000, and 0.50% to 1.75% on assets over $3,000,000.
- A 0.10% trading platform fee is added to the maximum account fee for accounts with the broker-dealer arm.
Fees are assessed on all assets, including cash and money market balances. Margin accounts may incur additional fees. Fees are typically charged quarterly in advance, pro-rated for mid-quarter openings, and adjusted for significant deposits or withdrawals.
Location
642 Central Ave, Dover, NH, 03820
Get directionsHistory
Regulatory History (4)
Customer Dispute
October 2018Customer Dispute
January 2013Regulatory
October 2010Criminal
February 2002Other Business ActivitiesSells Insurance
Matthew owns real estate, including the building where Gateway Retirement Solutions is located, and co-owns Gateway Property & Casualty, managing its insurance aspects. He also oversees insurance agents for American Senior Benefits and has ownership stakes in Seacoast Services Group and MWSG Holdings, LLC, dedicating about half his time to these activities.
Employment History
Current Registrations
Integrity Alliance, LLC
Integrity Alliance, LLC.Broker
Previous Registrations
Lincoln InvestmentBroker
Lincoln Investment
Capital Analysts
Regal Investment Advisors LLC
Regulus Advisors, LLCBroker
Questar Asset Management, INC.
Questar Capital CorporationBroker
Proequities, INC.Broker
Investment Advisors
Uvest Financial Services Group, INC.
Uvest Financial Services Group, INC.Broker
Prudential Financial Planning Services
Pruco Securities, LLC.Broker
State Registrations11 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.