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.
Feed of 09/14/2026
Also filed as Kole Gordon Bosworth
At current firm
5 y
since Sep 8, 2021
In the industry
21 y
since Oct 15, 2004 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Morgan Stanley wirehouse currentsince Sep 8, 2021 · Tempe, Az
- Prospera Financial Services, Inc. BD affiliatedJul 2, 2021 to Aug 25, 2021 · Dallas, Tx
- Morgan Stanley wirehouseMar 14, 2016 to Jul 2, 2021 · Denver, Co
- Snowden Capital Advisors LLC BD affiliatedJan 30, 2015 to Mar 3, 2016 · New York, Ny
- Citigroup Global Markets Inc. BD affiliatedAug 29, 2014 to Jan 30, 2015 · New York, Ny
- Morgan Stanley wirehouseMar 11, 2013 to Aug 18, 2014 · Denver, Co
- Morgan Stanley wirehouseSep 16, 2009 to Aug 23, 2011 · South Jordan, Ut
Moves
a registration end followed by a registration begin elsewhere
- Prospera Financial Services, Inc. to Morgan Stanleyleft Aug 25, 2021, registered Sep 8, 2021 (14 days) · RIA to wirehouse
- Morgan Stanley to Prospera Financial Services, Inc.left Jul 2, 2021, registered Jul 2, 2021 (0 days) · Wirehouse to independent RIA
- Snowden Capital Advisors LLC to Morgan Stanleyleft Mar 3, 2016, registered Mar 14, 2016 (11 days) · Other
- Citigroup Global Markets Inc. to Snowden Capital Advisors LLCleft Jan 30, 2015, registered Jan 30, 2015 (0 days) · Other
- Morgan Stanley to Citigroup Global Markets Inc.left Aug 18, 2014, registered Aug 29, 2014 (11 days) · Other
Signals
No dated event on this person.
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
- Wirehousederived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address