DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
Richard A Yemm
Certified Financial Planner
Feed of 09/15/2026
Also filed as Dick Yemm
At current firm
1 y
since Sep 24, 2024
In the industry
34 y
since Apr 14, 1992 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- Secure Asset Management, L.L.C. independent RIA currentsince Sep 24, 2024 · Vero Beach, Fl
- Scf Investment Advisors, Inc. formerAug 3, 2021 to Sep 19, 2024 · Vero Beach, Fl
- Securities America Advisors, Inc. formerNov 6, 2020 to Aug 5, 2021 · Vero Beach, Fl
- Kms Financial Services, Inc formerJul 3, 2019 to Nov 6, 2020 · Seattle, Wa
- Kovack Advisors, Inc. BD affiliatedJan 23, 2014 to Jul 2, 2019 · Ft. Lauderdale, Fl
- Cetera Advisors LLC formerNov 8, 2001 to Dec 26, 2013 · Greenwood Village, Co
Moves
a registration end followed by a registration begin elsewhere
- Scf Investment Advisors, Inc. to Secure Asset Management, L.L.C.left Sep 19, 2024, registered Sep 24, 2024 (5 days) · Affiliated broker-dealer or bank to independent RIA
- Securities America Advisors, Inc. to Scf Investment Advisors, Inc.left Aug 5, 2021, registered Aug 3, 2021 (-2 days) · Affiliated broker-dealer or bank to another
- Kms Financial Services, Inc to Securities America Advisors, Inc.left Nov 6, 2020, registered Nov 6, 2020 (0 days) · corporate re-registration, not a move
- Kovack Advisors, Inc. to Kms Financial Services, Incleft Jul 2, 2019, registered Jul 3, 2019 (1 days) · Affiliated broker-dealer or bank to another
- Cetera Advisors LLC to Kovack Advisors, Inc.left Dec 26, 2013, registered Jan 23, 2014 (28 days) · Other
Signals
- Richard A Yemm left Scf Investment Advisors, Inc. for Secure Asset Management, L.L.C. (registered 2024-09-24)Sep 19, 2024 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Independent wealth managerderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address