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4745 W. 136Th Street, Leawood, KS 66224 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KS | RA | APPROVED | 2022-03-10 |
| TX | RA | APPROVED_RES | 2022-03-10 |
| MO | RA | APPROVED | 2021-02-09 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lawing Financial Inc. | Overland Park | KS | 08/1996 | 11/2017 |
| Cambridge Investment Research, Inc | Fairfield | IA | 07/2010 | 10/2017 |
| Prevail Innovative Wealth Advisors F/K/A Lf Wealth Advisors | Leawood | MO | 12/2020 | Present |
| Prevail Strategies, Llc | Leawood | KS | 06/2017 | Present |
| Prevail Alternative Assets, Llc | Leawood | KS | 03/2021 | Present |
1) PREVAIL STRATEGIES, LLC - CEO. 6/2017 TO PRESENT. INVESTMENT RELATED. SALES AND MARKETING OF FIXED INSURANCE PRODUCTS. 10 HRS/WEEK SPENT ON THIS ACTIVITY. 2) SEABREEZE ONE - MANAGING MEMBER. 11/2017 TO PRESENT. NOT INVESTMENT RELATED. HOLDING COMPANY THAT OWNS AND OPERATES AN AIRPLANE UNDER TO DRY LEASE TO ENTITIES.1 HR/MONTH SPENT ON THIS ACTIVITY. 3) KB COMMERCIAL, LLC, 5/2015 TO PRESENT AS OWNING MEMBER OF LLC. LLC OWNS COMMERCIAL RENTAL BUILDING. NOT INVESTMENT RELATED - DEVOTES 2 HR/MO - NONE DURING TRADING HOURS. 20E DUNDEE CIRCLE, VILLAGE OF LOCH LLOYD, MO 64012. 4) PREVAIL ALTERNATIVE ASSETS, LLC - MEMBER AND MAJORITY OWNER. 03/2021 TO PRESENT. INVESTMENT RELATED. DUTIES INCLUDE REVIEWING POTENTIAL REAL ESTATE TRANSACTIONS. 10 HRS/WEEK SPENT ON THIS ACTIVITY. COMPENSATION IS IN THE FORM OF DISTRIBUTIONS IF PREO IS PROFITABLE. 5) DLB OPPORTUNITIES, LLC - MEMBER. 04/2021 TO PRESENT. INVESTMENT RELATED. DUTIES INCLUDE REVIEWING REAL ESTATE TRANSACTIONS. 2 HRS/WEEK SPENT ON THIS ACTIVITY. 6) BUSINESS CONSULTING SERVICE, LLC - MANAGING MEMBER, MENTOR AND CONSULTANT FOR INDIVIDUALS AND COMPANIES. NOT INVESTMENT RELATED. 10 HRS/MONTH SPENT ON THIS ACTIVITY. 7) LAWING FAMILY FOUNDATION - PRESIDENT. 09/2021 TO PRESENT. INVESTMENT RELATED. DUTIES INCLUDE CEO OF THE FOUNDATION, GENERAL EXECUTIVE POWERS AND DUTIES OF SUPERVISION AND MANAGEMENT, INCLUDING SUPERVISION OF INVESTMENT STRATEGY. 2 HRS/MONTH SPENT ON THIS ACTIVITY, DURING TRADING HOURS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2022-03-08 |
| S66 | Uniform Combined State Law Examination | 2001-02-20 |
| S63 | Uniform Securities Agent State Law Examination | 1988-05-11 |
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