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R•••••• T•••••• K•••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)38 years in industry

R•••••• T•••••• K•••••••

Advisor at A••••••••• F•••••••• S•••••••• L••

GOSHEN, NY | Naples, FL | Fishkill, NY

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Search this name across graphsid dfx:ria:38165cd8-931b-400d-3bdf-ba9e740ee833

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:32 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Feb 16, 2005 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: A••••••••• F•••••••• S•••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 30, 1988earliest registration or exam on IAPD
Years in industry: 38derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms

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
A••••••••• F•••••••• S•••••••• L••	National bd RIA	Oct 20, 2021	n/a	yes	Naples, FL\|GOSHEN, NY\|Fishkill, NY\|Naples, FL	Current employment
G••• G••••••• P••••••• S•••••••	Former SEC adviser	Mar 27, 2015	Oct 28, 2021	no

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
G••• G••••••• P••••••• S•••••••	A••••••••• F•••••••• S•••••••• L••	Oct 28, 2021	Oct 20, 2021	-8	Firm change	RIA to ibd
G••• G••••••• P••••••• S••••••• I••	G••• G••••••• P••••••• S•••••••	Mar 18, 2015

Team moves

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

Team	Left	Joined	From	Kind
173565:6363:NY:2021-10-28	Oct 28, 2021	Oct 20, 2021	LOCUST VALLEY, NY	Firm change
110784:173565:NY:2015-03-18	Mar 18, 2015	Mar 27, 2015	SUFFERN, NY	Firm change

Relationships

Registered with (3)

→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: current employment
Oct 20, 2021 to presentfactForm ADV
→ G••• G••••••• P••••••• S•••••••Registered adviserregistration: previous registration
Mar 27, 2015 to Oct 28, 2021factForm ADV
→ G••• G••••••• P••••••• S••••••• I••Registered adviserregistration: previous registration
Feb 16, 2005 to Mar 18, 2015factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:38165cd8-931b-400d-3bdf-ba9e740ee833
First observed: Feb 16, 2005
Last observed: Sep 14, 2026 7 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.