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MP

Matthew Pols

THE HERBST GROUP
WESTPORT, CT
Some features on this profile are disabled
CRD#: 7959142
MP

Professional summary

Matthew Pols is a registered financial advisor currently at THE HERBST GROUP, LLC located in Westport, Connecticut.

Matthew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2024. Matthew has worked at 2 firms and has passed the Series 65 exam.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

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 Pols'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

August 7, 2025 - Present

THE HERBST GROUP, LLC

RIA
CRD#: 309319
WESTPORT, CT
Past

August 14, 2024 - February 28, 2025

CAPITAL MANAGEMENT GROUP

RIA
CRD#: 292838
Charleston, SC

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".
TH
THE HERBST GROUP, LLC
ANEW WEALTH MANAGEMENT | THE HERBST GROUP, LLC

CRD#: 309319 / SEC#: 801-118872

RIA
Registered Investment Advisory firm - (6/5/2020 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
(8/7/2025)
IAR
New York
(8/7/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 7/16/2024
Uniform Investment Adviser Law Examination

Current Firm

TH
THE HERBST GROUP, LLC
ANEW WEALTH MANAGEMENT | THE HERBST GROUP, LLC

CRD#: 309319 / SEC#: 801-118872

RIA
Registered Investment Advisory firm - (6/5/2020 Approved)
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Contact information

Main Address
Westport, CT
Mailing Address
Phone number
(212) 488-1701
Established
Firm type
Fiscal year end
# of Employees
6

SEC notice filing (6 States and Territories)

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Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

THE HERBST GROUP DISCLOSURE BROCHURE, WRAP FEE PROGRAM BROCHURE, BROCHURE SUPPLEMENTS, AND PRIVACY POLICY (11/11/2025)

Regulatory assets under management

Total Number of Accounts297
AUM (Assets Under Management)$ 206,957,094

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.

Company Information

THE HERBST GROUP, LLC

CRD#: 309319Westport, CT

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