Matthew A. Yerkes

SHEA FINANCIAL ADVISORS

NEW RICHMOND, OH 45157

Some features on this profile are disabled

CRD#: 4547403

Professional summary

Matthew Albert Yerkes, who also goes by Matt Yerkes, is a registered financial advisor currently at SHEA FINANCIAL ADVISORS located in New Richmond, Ohio.

Matthew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Matthew has worked at 3 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Matt Yerkes

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 Albert Yerkes'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

February 23, 2015 - Present

SHEA FINANCIAL ADVISORS

Office #1: 3042 Parker Run Road, New Richmond, OH 45157

RIA

CRD#: 125606

NEW RICHMOND, OH

Past

October 1, 2012 - December 31, 2014

RITTER DANIHER FINANCIAL ADVISORY LLC

RIA

CRD#: 119901

CINCINNATI, OH

Past

February 28, 2000 - October 1, 2012

YERKES FINANCIAL ADVISORS, INC.

RIA

CRD#: 121194

CINCINNATI, OH

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".

SHEA FINANCIAL ADVISORS

BRIAN M. SHEA, CFP,EA | SHEA, BRIAN MICHAEL | SHEA FINANCIAL ADVISORS

CRD#: 125606 / SEC#: 801-132995

RIA

Registered Investment Advisory firm - (6/13/2025 Approved)

Connecticut

Registered Investment Advisory firm - (6/26/2025 Terminated)

New York

Registered Investment Advisory firm - (6/23/2025 Terminated)

Ohio

Registered Investment Advisory firm - (6/23/2025 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Ohio
(2/23/2015)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/17/1999

Uniform Investment Adviser Law Examination

Current Firm

SHEA FINANCIAL ADVISORS

BRIAN M. SHEA, CFP,EA | SHEA, BRIAN MICHAEL | SHEA FINANCIAL ADVISORS

CRD#: 125606 / SEC#: 801-132995

RIA

Registered Investment Advisory firm - (6/13/2025 Approved)

Connecticut

Registered Investment Advisory firm - (6/26/2025 Terminated)

New York

Registered Investment Advisory firm - (6/23/2025 Terminated)

Ohio

Registered Investment Advisory firm - (6/23/2025 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Norwalk, CT

Mailing Address

Phone number

(203) 966-9651

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SFA ADV PART 2A AMENDMENT FOR SEC REGISTRATION 05.14.25 (5/14/2025)

SFA ADV PART 2B SUPPLEMENT V.05.14.25 (5/14/2025)

Regulatory assets under management

Total Number of Accounts	252
AUM (Assets Under Management)	$ 116,521,879

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.

Similar Advisors

Elizabeth Miller

SUMMIT PLACE FINANCIAL ADVISORS, LLC

IAR

Summit, NJ

Stephen Cutillo

PARK AVENUE SECURITIES LLC

IAR

Kahului, HI

Tyrane Perry

J.P. MORGAN SECURITIES LLC

IAR

Atlanta, GA

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Matthew A. Yerkes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Matthew Albert Yerkes's CRS (Customer Relationship Summary).

Certified licenses

Experience

SHEA FINANCIAL ADVISORS

RITTER DANIHER FINANCIAL ADVISORY LLC

YERKES FINANCIAL ADVISORS, INC.

Primary Firm SEC Registration

SHEA FINANCIAL ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 12/17/1999

Current Firm

SHEA FINANCIAL ADVISORS

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SHEA FINANCIAL ADVISORS

TRUST BUT VERIFY

Similar Advisors