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 Innovative Wealth Advisors, LLC

Independent wealth managerLeawood, KansasCRD 288641SEC 801-123758websiteIAPD
Latest filing Apr 28, 2026
First filing on the tape May 12, 2017 · 37 filings
SEC status approved since Apr 19, 2022
RAUM
$932M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
71%
$661M individuals and HNW
Advisors
29
registered through the firm on IAPD
RAUM per advisor
$32.1M
derived; firm RAUM over IAPD count
Employees
41
31 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
1
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$932M as of Apr 28, 2026
Mar 28, 2018$57.3M then
HNW client RAUM$451M as of Apr 28, 2026
Mar 28, 2018$0 then
State-registered IARs (5.B.3)31 as of Apr 28, 2026
Mar 28, 20182 then
Employees (5.A)41 as of Apr 28, 2026
Mar 28, 20183 then
Private funds1 as of Apr 28, 2026
Apr 14, 20251 then
RAUM +19% over the last fiscal year+52% a year over threeIARs 33 to 31
Practice profile
derived from the filing of Apr 28, 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
  • Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
  • RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
  • Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
RAUM per advisor
$32.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
27derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.8MderivedHNW RAUM over HNW clients
Average account
$433,618derivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
26%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.4derivedItem 5.A over advisors
Advisors per office
9.7derived3 offices incl. principal (1.F.5)
RAUM growth, one year
+19%derivedbetween the last two annual amendments
Advisor growth, one year
-6.1%derivedItem 5.B.3 between annual amendments
Client growth, one year
+28%derived
Compensation
percentage of assets, fixed fees, performance-based, commissionsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, publications, otherreportedItem 5.G
Wrap fee program
$659MreportedItem 5.I
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
  • is an insurance broker or agent (6.A.6)
  • 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$451M48%
  • Pension and profit-sharing plans$240M26%
  • Individuals$211M23%
  • Pooled investment vehicles$21.2M2.3%
  • Corporations and businesses$9.5M1.0%
  • Charitable organizations$126,0790.0%
Individual clients
626reported
HNW clients
162reported
Pension plan clients
29reported
Charitable clients
n/areported
Accounts
2,149reported
Financial planning clients
0reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, performance, commissionsreported
Class basis
private_client_share=0.71 fund_share=0.02 institutional_share=0.26 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
29 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Bradley Christopher LawingSpringfield, Mo Jul 7, 201720 y2
Andrew Franklin StaffordLeawood, KsAug 18, 201713 y1
Jered Roger HuntLeawood, KsOct 29, 202016 y3
Adam Michael DoranLeawood, KsNov 18, 202021 y0
Craig Wells GordonLeawood, KsDec 1, 202024 y0
Paul Douglas AndresLeawood, Ks Dec 11, 202016 y0
Brian Timothy PfannenstielLeawood, KsJan 13, 202127 y0
Brett Eugene NelsonLeawood, KsJan 27, 202112 y0
Kerry Lee LawingLeawood, KsFeb 9, 202138 y3
Heather Ann HeckadonLeawood, KsJun 1, 202128 y0
Roger Dale IrieLeawood, Ks Jun 18, 202114 y0
Stephen Gregory UnderwoodLeawood, KsJul 1, 202112 y0
Gary Randall BrattonLeawood, KsJul 21, 202128 y0
Jordan Christopher ChapmanLeawood, KsNov 16, 202111 y0
Bryan M FarwellLeawood, KsJan 6, 202215 y4
Thomas Richard WrightLeawood, KsNov 7, 202333 y8
Madison Leigh ParkerCertified Financial PlannerLeawood, KsJan 11, 202415 y2
Dylan S SalesLeawood, KsJul 15, 202411 y1
Garrett Matthew StutzLeawood, KsAug 23, 202414 y0
Jay Frederick HaffleyLeawood, KsNov 20, 202425 y6
Lillian Grace SalesLeawood, KsNov 26, 202412 y0
Jesse Andre HernandezLeawood, KsDec 2, 202430 y2
Matthew Wentworth BurleighChartered Financial AnalystLeawood, KsDec 4, 202433 y0
Jason Grant MontgomeryCertified Financial PlannerLeawood, KsDec 5, 202429 y2
James Edward MeyerLeawood, KsDec 9, 202414 y0
Jacob J ColeLeawood, KsDec 17, 202412 y0
Wade Robert KotarbaLeawood, KsJan 1, 202510 y0
William James KeechLeawood, KsJul 9, 202511 y1
Andy J HolmesLeawood, KsJan 2, 202611 y1
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 3.4% of current headcount1 left over 36 months
Left, latest
Joined, latest
Every departureEvery arrival
Private funds
1 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
Prevail Venture Capital Fund I LP$21.2M58Apr 28, 2026
Owners and control persons
Schedule A and B, latest filing
  • Christopher Bradley Lawing · Vice President And Membercontrol
    since 05/2017 · owns 25% to 50%
  • Lee Kerry Lawing · Chief Executive Officer And Membercontrol
    since 02/2021 · owns 25% to 50%
  • Franklin Andrew Stafford · Chief Compliance Officer, President And Membercontrol
    since 08/2017 · owns 10% to 25%
  • Ann Heather Renfro · Member And Member
    since 02/2021 · owns 5% to 10%
  • Kay Marcia Vander Wal · Member
    since 02/2021 · owns less than 5%
Related persons
Schedule D 7.A
  • Cw Frankford Prevail, LLC
    n
  • Prevail Alternative Assets, LLC
    y
  • Prevail Real Estate Opportunies, LLC
    n
  • Prevail Strategies LLC
    real estaten
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Leawood, Ks · principal2911
Offices
Schedule D 1.F, the 25 largest
  • Leawood, KS1 employees
  • , 1 employees
  • Springfield, MO
ADV anomalies
2 against comparable advisers; where to look, not conclusions
  • business activity changedChange between filings · filing Apr 28, 2026
    financial planning (Item 5.G.1): no on the filing of 2026-03-19, yes on the filing of 2026-04-28
    peers: independent wealth managers, $500M to $1B (1,482)
  • control person changedChange between filings · filing Apr 28, 2026
    LAWING, KERRY, LEE (CHIEF EXECUTIVE OFFICER AND MEMBER) left Schedule A between the filings of 2022-03-19 and 2026-04-28
    peers: independent wealth managers, $500M to $1B (1,482)
How anomalies are measured
What changed
consecutive filings, newest first
  • Advisory activities · 4 to 5
    Mar 19, 2026 to Apr 28, 2026
  • Financial planning clients · to 0
    Mar 19, 2026 to Apr 28, 2026
  • Accounts · 1,953 to 2,149
    Jan 26, 2026 to Mar 19, 2026
  • Advisory employees · 33 to 31
    Jan 26, 2026 to Mar 19, 2026
  • Corporate clients · unset to 4.0
    Jan 26, 2026 to Mar 19, 2026
  • HNW clients · 147 to 162
    Jan 26, 2026 to Mar 19, 2026
  • Individual clients · 540 to 626
    Jan 26, 2026 to Mar 19, 2026
  • Pension plan clients · 36 to 29
    Jan 26, 2026 to Mar 19, 2026
  • Employees · 45 to 41
    Jan 26, 2026 to Mar 19, 2026
  • State-registered IARs · 33 to 31
    Jan 26, 2026 to Mar 19, 2026
  • Discretionary RAUM · $806M to $926M
    Jan 26, 2026 to Mar 19, 2026
  • HNW RAUM · $380M to $451M
    Jan 26, 2026 to Mar 19, 2026
  • Individual RAUM · $162M to $211M
    Jan 26, 2026 to Mar 19, 2026
  • Non-discretionary RAUM · $9.5M to $5.8M
    Jan 26, 2026 to Mar 19, 2026
  • Pension RAUM · $250M to $240M
    Jan 26, 2026 to Mar 19, 2026
  • Pooled vehicle RAUM · $3.9M to $21.2M
    Jan 26, 2026 to Mar 19, 2026
  • RAUM · $815M to $932M
    Jan 26, 2026 to Mar 19, 2026
  • Accounts · 1,678 to 1,953
    Apr 14, 2025 to Jun 12, 2025
  • Charity clients · 0.0 to unset
    Apr 14, 2025 to Jun 12, 2025
  • Corporate clients · 0.0 to unset
    Apr 14, 2025 to Jun 12, 2025
  • HNW clients · 141 to 147
    Apr 14, 2025 to Jun 12, 2025
  • Individual clients · 476 to 540
    Apr 14, 2025 to Jun 12, 2025
  • Pension plan clients · 39 to 36
    Apr 14, 2025 to Jun 12, 2025
  • Pooled vehicle clients · 2 to 1
    Apr 14, 2025 to Jun 12, 2025
  • Financial planning clients · unset to
    Apr 14, 2025 to Jun 12, 2025
  • Discretionary RAUM · $739M to $806M
    Apr 14, 2025 to Jun 12, 2025
  • HNW RAUM · $357M to $380M
    Apr 14, 2025 to Jun 12, 2025
  • Individual RAUM · $136M to $162M
    Apr 14, 2025 to Jun 12, 2025
  • Non-discretionary RAUM · $40.8M to $9.5M
    Apr 14, 2025 to Jun 12, 2025
  • Pension RAUM · $264M to $250M
    Apr 14, 2025 to Jun 12, 2025
  • Pooled vehicle RAUM · $7.7M to $3.9M
    Apr 14, 2025 to Jun 12, 2025
  • RAUM · $780M to $815M
    Apr 14, 2025 to Jun 12, 2025
  • Accounts · 1,398 to 1,678
    Dec 23, 2024 to Apr 14, 2025
  • Advisory employees · 10 to 33
    Dec 23, 2024 to Apr 14, 2025
  • HNW clients · 127 to 141
    Dec 23, 2024 to Apr 14, 2025
  • Individual clients · 381 to 476
    Dec 23, 2024 to Apr 14, 2025
  • Pension plan clients · 0 to 39
    Dec 23, 2024 to Apr 14, 2025
  • Pooled vehicle clients · 0 to 2
    Dec 23, 2024 to Apr 14, 2025
  • Assets in custody · 213095045.0 to unset
    Dec 23, 2024 to Apr 14, 2025
  • Custody of client assets · true to false
    Dec 23, 2024 to Apr 14, 2025
Signals
9 dated events
  • George Erwin Cater left Prevail Innovative Wealth Advisors, Llc for On Investment Management Co (registered 2025-10-20)
    Sep 24, 2025 · Advisor changed firm · fact
  • Prevail Innovative Wealth Advisors, Llc reported RAUM $780.0M, up 56% from $501.2M (2024-12-23 to 2025-04-14)
    Apr 14, 2025 · RAUM change · derived
  • Prevail Innovative Wealth Advisors, Llc reported 33 state-registered advisory representatives, up from 23 (2024-12-23 to 2025-04-14)
    Apr 14, 2025 · Advisor headcount change · derived
  • Prevail Innovative Wealth Advisors, Llc reported RAUM $501.2M, up 32% from $379.7M (2024-03-26 to 2024-08-23)
    Aug 23, 2024 · RAUM change · derived
  • Prevail Innovative Wealth Advisors, Llc reported RAUM $379.7M, up 44% from $263.7M (2023-06-16 to 2024-03-26)
    Mar 26, 2024 · RAUM change · derived
  • Prevail Innovative Wealth Advisors, Llc reported RAUM $196.2M, up 243% from $57.3M (2018-08-13 to 2022-03-19)
    Mar 19, 2022 · RAUM change · derived
  • Prevail Innovative Wealth Advisors, Llc reported 17 state-registered advisory representatives, up from 3 (2018-08-13 to 2022-03-19)
    Mar 19, 2022 · Advisor headcount change · derived
  • Lee Kerry Lawing (Shareholder) appeared on Schedule A of Prevail Innovative Wealth Advisors, Llc
    Mar 19, 2022 · Control person joined · fact
  • Lf Wealth Advisors filed its initial SEC registration (Form ADV)
    May 12, 2017 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
How to reach
public business contact points only, each with its source
Business phone
913-295-9500reportedpublished by the firm, firm site, Sep 15, 2026
Firm profile
linkedin.com/company/prevailiwsreportedpublic record, Form ADV, Sep 18, 2026
Website
prevailiws.comreportedpublic record, Form ADV, Sep 18, 2026
Principal office phone
913-295-9500reportedpublic record, Form ADV, Apr 28, 2026
Contact form
prevailiws.com/contact/meetourteamreportedpublished by the firm, firm site, Sep 15, 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
$32.1Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026