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
Ashley Rose Mcneal
Feed of 09/14/2026
Also filed as Rose Mcneal
At current firm
4 y
since Nov 5, 2021
In the industry
10 y
since Jan 1, 2016 (earliest exam, job or registration)
Prior registered firms
7
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
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
- RBC Capital Markets, LLC national BD currentsince Nov 5, 2021 · Minneapolis, Mn
- Colliers Securities LLC BD affiliatedSep 2, 2020 to Jul 19, 2021 · Minneapolis, Mn
- Sagepoint Financial, Inc. formerJan 9, 2019 to Sep 11, 2020 · Scottsdale, Az
- Woodbury Financial Services, Inc. formerJan 9, 2019 to Sep 11, 2020 · Oakdale, Mn
- Osaic Wealth, Inc. BD affiliatedJan 9, 2019 to Sep 11, 2020 · Scottsdale, Az
- Fsc Securities Corporation formerJan 9, 2019 to Sep 11, 2020 · Atlanta, Ga
- Thrivent Investment Management Inc. BD affiliatedMar 23, 2017 to Dec 26, 2018 · Minneapolis, Mn
- Ameriprise Financial Services, LLC national BDApr 11, 2016 to Feb 1, 2017 · Minneapolis, Mn
Moves
a registration end followed by a registration begin elsewhere
- Colliers Securities LLC to RBC Capital Markets, LLCleft Jul 19, 2021, registered Nov 5, 2021 (109 days) · RIA to affiliated broker-dealer or bank
- Osaic Wealth, Inc. to Sagepoint Financial, Inc.left Sep 11, 2020, registered Jan 9, 2019 (-611 days) · channel change inside one enterprise, not a move
- Woodbury Financial Services, Inc. to Fsc Securities Corporationleft Sep 11, 2020, registered Jan 9, 2019 (-611 days) · Affiliated broker-dealer or bank to another
- Sagepoint Financial, Inc. to Woodbury Financial Services, Inc.left Sep 11, 2020, registered Jan 9, 2019 (-611 days) · channel change inside one enterprise, not a move
- Fsc Securities Corporation to Osaic Wealth, Inc.left Sep 11, 2020, registered Jan 9, 2019 (-611 days) · channel change inside one enterprise, not a move · moved with a team
- Thrivent Investment Management Inc. to Sagepoint Financial, Inc.left Dec 26, 2018, registered Jan 9, 2019 (14 days) · Affiliated broker-dealer or bank to another
- Ameriprise Financial Services, LLC to Thrivent Investment Management Inc.left Feb 1, 2017, registered Mar 23, 2017 (50 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
- National broker-dealer RIAderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address