DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

MATTHEW EDWARD HERMAN

Advisor at INTEGRITY ALLIANCE, LLC

URBANDALE, IA | Somersworth, NH

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:cbde9689-2ea6-29be-d825-669a03e604d2

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:38 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 2
On other graphs: 0
Observed: Dec 10, 2003 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: INTEGRITY ALLIANCE, LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 20, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 5
Exams: S66
First exam: Aug 20, 2003
First registration: Dec 10, 2003
Dual registered: yes, broker-dealer
Other names: MATTHEW E. HERMAN
IAPD individual key: 4686382

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
INTEGRITY ALLIANCE, LLC	Bd affiliated wealth	Mar 4, 2026	n/a	yes	Somersworth, NH\|URBANDALE, IA	Current employment
CAPITAL ANALYSTS	Bd affiliated wealth	Feb 14, 2019	Feb 24, 2026	no	Dover, NH	Previous registration
LINCOLN INVESTMENT	Independent wealth	Feb 14, 2019	Feb 24, 2026	no	Dover, NH\|Fort Washington, PA\|Dover, NH	Previous registration
REGAL INVESTMENT ADVISORS LLC	Bd affiliated wealth	Jan 25, 2019	Feb 15, 2019	no	Dover, NH\|KENTWOOD, MI	Previous registration
QUESTAR ASSET MANAGEMENT, INC.	Former SEC adviser	Feb 18, 2016	Jan 28, 2019	no	AUGUSTA, ME\|SCARBOROUGH, ME\|MINNEAPOLIS, MN\|ROCHESTER, NH\|DOVER, NH	Previous registration
CONCOURSE FINANCIAL GROUP ADVISORS	Former SEC adviser	Mar 7, 2010	Mar 10, 2016	no	SCARBOROUGH, ME\|SCARBOROUGH, ME	Previous registration
UVEST FINANCIAL SERVICES GROUP, INC.	n/a	Oct 31, 2005	May 28, 2010	no	SCARBOROUGH, ME\|CHICAGO, IL\|SCARBOROUGH, ME	Previous registration
PRUCO SECURITIES, LLC	No RAUM reported	Dec 10, 2003	Oct 4, 2005	no	PORTSMOUTH, NH	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
CAPITAL ANALYSTS	INTEGRITY ALLIANCE, LLC	Feb 24, 2026	Mar 4, 2026	8	Firm change	Ibd to ibd
LINCOLN INVESTMENT	CAPITAL ANALYSTS	Feb 24, 2026	Feb 14, 2019	-2,567	Firm change after gap	RIA to ibd
REGAL INVESTMENT ADVISORS LLC	LINCOLN INVESTMENT	Feb 15, 2019	Feb 14, 2019	-1	Firm change	Ibd to ibd
QUESTAR ASSET MANAGEMENT, INC.	REGAL INVESTMENT ADVISORS LLC	Jan 28, 2019	Jan 25, 2019	-3	Firm change	Ibd to ibd
CONCOURSE FINANCIAL GROUP ADVISORS	QUESTAR ASSET MANAGEMENT, INC.	Mar 10, 2016	Feb 18, 2016	-21	Firm change	Other
UVEST FINANCIAL SERVICES GROUP, INC.	CONCOURSE FINANCIAL GROUP ADVISORS	May 28, 2010	Mar 7, 2010	-82	Firm change after gap	Other
PRUCO SECURITIES, LLC	UVEST FINANCIAL SERVICES GROUP, INC.	Oct 4, 2005	Oct 31, 2005	27	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
162200:139627:NH:2026-02-24	Feb 24, 2026	Mar 4, 2026	DOVER, NH	Firm change
519:162200:NH:2026-02-24	Feb 24, 2026	Feb 14, 2019	DOVER, NH	Firm change after gap

Relationships

Registered with (8)

→ INTEGRITY ALLIANCE, LLCRegistered adviserregistration: current employment
Mar 4, 2026 to presentfactForm ADV
→ CAPITAL ANALYSTSRegistered adviserregistration: previous registration
Feb 14, 2019 to Feb 24, 2026factForm ADV
→ LINCOLN INVESTMENTRegistered adviserregistration: previous registration
Feb 14, 2019 to Feb 24, 2026factForm ADV
→ REGAL INVESTMENT ADVISORS LLCRegistered adviserregistration: previous registration
Jan 25, 2019 to Feb 15, 2019factForm ADV
→ QUESTAR ASSET MANAGEMENT, INC.Registered adviserregistration: previous registration
Feb 18, 2016 to Jan 28, 2019factForm ADV
→ CONCOURSE FINANCIAL GROUP ADVISORSRegistered adviserregistration: previous registration
Mar 7, 2010 to Mar 10, 2016factForm ADV
→ UVEST FINANCIAL SERVICES GROUP, INC.Registered adviserregistration: previous registration
Oct 31, 2005 to May 28, 2010factForm ADV
→ PRUCO SECURITIES, LLCRegistered adviserregistration: previous registration
Dec 10, 2003 to Oct 4, 2005factForm ADV

Dated events

Occurred
Feb 24, 2026
Advisor changed firm
Matthew Edward Herman left Capital Analysts for Integrity Alliance, Llc (registered 2026-03-04)
Form ADVobserved 4 days ago
Occurred
Feb 24, 2026
Advisor changed firm
Matthew Edward Herman left Lincoln Investment for Capital Analysts (registered 2019-02-14)
Form ADVobserved 4 days ago