{"url":"https://nivawealth.com/firms/prevail-wealth-management-164532","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/164532","regulatoryAum":260809981,"crd":"164532","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"4853983","suffix":null,"lastName":"MUTAL","firstName":"AMY","middleName":"MARIE"}],"total":1,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2022-04-01","regulatoryAum":128241413,"clients":236,"employees":6,"offices":2},{"filedOn":"2023-06-23","regulatoryAum":157667706,"clients":290,"employees":7,"offices":2},{"filedOn":"2024-04-01","regulatoryAum":180839000,"clients":225,"employees":6,"offices":2},{"filedOn":"2025-05-22","regulatoryAum":214644813,"clients":240,"employees":5,"offices":2},{"filedOn":"2026-03-30","regulatoryAum":260809981,"clients":264,"employees":5,"offices":2}],"secFileNumber":"801-122532","legalName":"Prevail Wealth Management LLC","displayName":"Prevail Wealth Management","slug":"prevail-wealth-management-164532","website":null,"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/71999177/","founded":"2012","organization":"Washington limited liability company","fiscalYearEnd":"December","headquarters":{"street":"520 Kirkland Way, Ste 201","city":"Kirkland","state":"WA","stateName":"Washington","country":"United States","postalCode":"98033"},"tradeNames":[],"registration":{"secApproved":"19 October 2021","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":987916.5946969697,"staff":{"employees":5,"advisory":1,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":260809981,"discretionary":260809981,"discretionaryAccounts":746,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":178,"regulatoryAum":64027268},{"label":"High-net-worth individuals","clients":86,"regulatoryAum":196782713}],"feePrograms":[{"role":"main","program":"Investment Advisory Services","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1033729","versionId":1033729,"ratePeriod":"annual","fee_billing":"both","submittedOn":"2026-03-30","documentName":"PWM FIRM BROCHURE ADV PART 2A","fee_rate_low":0.2,"fee_rate_high":1.5,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":"annual","fee_minimum_annual":3000},{"role":"other","program":"Retirement Plan Services","summary":"Annual asset-based fee not to exceed 1.00%, billed quarterly in advance under the retirement plan advisory agreement.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1033729","versionId":1033729,"submittedOn":"2026-03-30","documentName":"PWM FIRM BROCHURE ADV PART 2A"},{"role":"other","program":"Standalone Financial Planning","summary":"Hourly rate of $250 depending on circumstances, typically from $1,000 to over $5,000; negotiable and agreed before the engagement.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1033729","versionId":1033729,"submittedOn":"2026-03-30","documentName":"PWM FIRM BROCHURE ADV PART 2A"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T14:33:02.751289+00:00","documents":[{"name":"PWM FIRM BROCHURE ADV PART 2A","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1033729","versionId":1033729,"submittedOn":"2026-03-30"},{"name":null,"status":"not_downloaded","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1033730","versionId":1033730,"submittedOn":null}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":1}],"custodyNote":"Prevail Wealth Management does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Amy Mutal","title":"Principal Owner/Chief Compliance Officer","crd":"4853983"}],"ownership":[{"label":"Amy Mutal","detail":"Principal owner/chief compliance officer in the 75% or more ownership band and a control person, since May 2012."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":0},"listedOfficeAddresses":2,"foreignOffices":[],"officesByState":[{"state":"Washington","offices":2,"addresses":[{"street":"520 Kirkland Way, Ste 201","city":"Kirkland","headquarters":true},{"street":"520 Kirkland Way","city":"Kirkland"}]}],"brochureServices":["divorce planning","philanthropic planning","retirement plan services"],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"425-448-1818","stateRegisteredReps":1,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses"],"financialPlanningClients":"251-500","assetMix":[{"label":"Exchange-traded equity securities","percent":67},{"label":"Non-exchange-traded equity securities","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":29},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":1},{"label":"Cash and cash equivalents","percent":2}],"privateFunds":0},"sources":{"adv1FilingDate":"30 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/164532/PDF/164532.pdf","brochureDate":"30 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1033729","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Prevail Wealth Management have?","answer":"Prevail Wealth Management has 264 clients and manages $261 million for them, as of March 2026. They include 178 individual clients and 86 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 30 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Prevail Wealth Management offer?","answer":"Prevail Wealth Management provides financial planning, portfolio management for individuals and small businesses, divorce planning, philanthropic planning, and retirement plan services.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Prevail Wealth Management charge?","answer":"Prevail Wealth Management charges 0.20%–1.50% a year for its Investment Advisory Services. The fee is billed in advance or in arrears, is negotiable and has a $3,000 annual minimum.","source":"PWM FIRM BROCHURE ADV PART 2A, filed 30 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Prevail Wealth Management use?","answer":"Prevail Wealth Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $1. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 30 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Prevail Wealth Management have?","answer":"Prevail Wealth Management has 1 investment adviser representative registered with state securities authorities, out of 5 employees, and 1 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Prevail Wealth Management invest in?","answer":"At the end of its last fiscal year, Prevail Wealth Management’s separately managed accounts held 67% exchange-traded equities, 29% registered funds (mutual funds, ETFs, BDCs), 2% cash and equivalents, 1% non-exchange-traded equities and 1% pooled vehicles (private funds and similar).","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Prevail Wealth Management?","answer":"Prevail Wealth Management’s direct owner is Amy Mutal (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 30 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Prevail Wealth Management get paid?","answer":"Prevail Wealth Management is paid through a percentage of assets under management, hourly charges and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Prevail Wealth Management?","answer":"Prevail Wealth Management’s main office is at 520 Kirkland Way, Ste 201, Kirkland, WA 98033. Its phone number is 425-448-1818.","source":"Form ADV Part 1A, Item 1.F, filed 30 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}