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.
SEC-registered adviser
Prevail Wealth Management
Legal name Prevail Wealth Management LLC
Latest filing Mar 30, 2026
First filing on the tape Sep 22, 2021 · 9 filings
SEC status approved since Oct 19, 2021
RAUM
$261M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$261M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$261M
derived; firm RAUM over IAPD count
Employees
5
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$261M as of Mar 30, 2026
Apr 1, 2022$128M then
HNW client RAUM$197M as of Mar 30, 2026
Apr 1, 2022$105M then
State-registered IARs (5.B.3)1 as of Mar 30, 2026
Apr 1, 20222 then
Employees (5.A)5 as of Mar 30, 2026
Apr 1, 20226 then
Private funds: no history
RAUM +22% over the last fiscal year+18% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $261MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 264derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $349,611derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 5.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +10%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$197M75%
- Individuals$64.0M25%
- Individual clients
- 178reported
- HNW clients
- 86reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 746reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Amy Marie Mutal | Kirkland, Wa | May 28, 2025 | 21 y | 5 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Amy Marie Mutal to Cutler Investment GroupDec 31, 2021 · Other
- Saloni Gupta to Ameriprise Financial Services, LLCJan 28, 2020 · RIA to affiliated broker-dealer or bank
Joined, latest
- Amy Marie Mutal from Cutler Investment GroupOct 25, 2022 · Other
- Amy Marie Mutal from Edward JonesOct 16, 2012 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Marie Amy Mutal · Principal Owner/Chief Compliance Officercontrolsince 05/2012 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Kirkland, WA2 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- account count surgeChange between filings · filing Mar 30, 2026accounts (Item 5.F.2.f) moved from 240.0 to 746.0 (+211.0%) between the annual amendments of 2025-03-27 and 2026-03-30; the peer median change was +5.0% (3688 comparable advisers, 99.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,688) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 240 to 746May 22, 2025 to Mar 30, 2026
- HNW clients · 79 to 86May 22, 2025 to Mar 30, 2026
- Individual clients · 161 to 178May 22, 2025 to Mar 30, 2026
- Financial planning clients · 101-250 to 251-500May 22, 2025 to Mar 30, 2026
- Discretionary RAUM · $215M to $261MMay 22, 2025 to Mar 30, 2026
- HNW RAUM · $164M to $197MMay 22, 2025 to Mar 30, 2026
- Individual RAUM · $50.6M to $64.0MMay 22, 2025 to Mar 30, 2026
- RAUM · $215M to $261MMay 22, 2025 to Mar 30, 2026
- Financial planning clients · 101-250 to 101-250Mar 27, 2025 to May 22, 2025
- Accounts · 695 to 240Apr 1, 2024 to Mar 27, 2025
- Advisory employees · 2 to 1Apr 1, 2024 to Mar 27, 2025
- HNW clients · 58 to 79Apr 1, 2024 to Mar 27, 2025
- Individual clients · 165 to 161Apr 1, 2024 to Mar 27, 2025
- Pension plan clients · 2 to 0Apr 1, 2024 to Mar 27, 2025
- Employees · 6 to 5Apr 1, 2024 to Mar 27, 2025
- State-registered IARs · 2 to 1Apr 1, 2024 to Mar 27, 2025
- Discretionary RAUM · $181M to $215MApr 1, 2024 to Mar 27, 2025
- HNW RAUM · $127M to $164MApr 1, 2024 to Mar 27, 2025
- Individual RAUM · $53.4M to $50.6MApr 1, 2024 to Mar 27, 2025
- Pension RAUM · unset to 0.0Apr 1, 2024 to Mar 27, 2025
- RAUM · $181M to $215MApr 1, 2024 to Mar 27, 2025
- Accounts · 659 to 695Jun 23, 2023 to Apr 1, 2024
- HNW clients · 41 to 58Jun 23, 2023 to Apr 1, 2024
- Individual clients · 247 to 165Jun 23, 2023 to Apr 1, 2024
- Employees · 7 to 6Jun 23, 2023 to Apr 1, 2024
- Discretionary RAUM · $156M to $181MJun 23, 2023 to Apr 1, 2024
- HNW RAUM · $92.3M to $127MJun 23, 2023 to Apr 1, 2024
- Individual RAUM · $63.8M to $53.4MJun 23, 2023 to Apr 1, 2024
- Non-discretionary RAUM · $1.5M to $0Jun 23, 2023 to Apr 1, 2024
- Pension RAUM · 1548751.0 to unsetJun 23, 2023 to Apr 1, 2024
- RAUM · $158M to $181MJun 23, 2023 to Apr 1, 2024
- Accounts · 514 to 659Oct 25, 2022 to Apr 3, 2023
- Charity clients · unset to 0.0Oct 25, 2022 to Apr 3, 2023
- Corporate clients · unset to 0.0Oct 25, 2022 to Apr 3, 2023
- HNW clients · 72 to 41Oct 25, 2022 to Apr 3, 2023
- Individual clients · 164 to 247Oct 25, 2022 to Apr 3, 2023
- Pension plan clients · unset to 2.0Oct 25, 2022 to Apr 3, 2023
- Pooled vehicle clients · unset to 0.0Oct 25, 2022 to Apr 3, 2023
- Employees · 6 to 7Oct 25, 2022 to Apr 3, 2023
- Discretionary RAUM · $127M to $156MOct 25, 2022 to Apr 3, 2023
Signals
1 dated events
- Prevail Wealth Management filed its initial SEC registration (Form ADV)Sep 22, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- info@prevailwealth.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 425-448-1818reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/71999177reportedpublic record, Form ADV, Sep 17, 2026
- Website
- prevailwealth.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 425-448-1818reportedpublic record, Form ADV, Mar 30, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $261Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026