Wealth manager, wrap-program sponsor · SAN Jose, CA
Potentia Wealth
Potentia RIA, LLC · SEC-registered investment adviser · CRD 329135 · SEC 801-129366
At a glance
Potentia Wealth is an SEC-registered investment adviser based in SAN Jose, California, with $569 million in regulatory assets under management as of its Form ADV filed March 31, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 722 individual clients. By Form ADV it is a wealth manager (wrap-program sponsor), ranked 2,591st of 8,915 wealth managers and 7,298th of 17,210 SEC-registered advisers by assets.
Main office 408-288-7886potentiawealth.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $569M
- Rank among wealth managers
- #2,591 of 8,915
- Rank among all SEC RIAs
- #7,298 of 17,210
- Rank in California
- #846 of 1,873
- Individual clients
- 722
- High-net-worth clients
- 392
- Accounts
- 1,253
- Discretionary
- 100% of AUM
- Employees
- 16
- Advisory staff
- 7
- Offices
- 2
Owners and executives on its Form ADV
- Kevin C. SwansonChief Compliance Officer, Owner, IAR
- Nicole M. MorrisPartner
Custody and brokerage
Broker-dealer
Hybrid RIA
Potentia Wealth is a hybrid RIA: 2 of its employees are also registered representatives of a broker-dealer.
Its Form ADV brochure (filed March 2026) names LPL Financial, an unaffiliated broker-dealer, as the broker-dealer its advisers are registered with.
Certain IARs of Potentia are also registered with LPL Financial as FINRA broker-dealer registered representatives.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 392 | $453M | 80% |
| Individuals | 330 | $81M | 14% |
| Corporations or other businesses | 6 | $35M | 6% |
| Pension and profit sharing plans | 2 | $0M | <1% |
| Charitable organizations | 1 | $0M | <1% |
Disciplinary disclosures
Potentia Wealth reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for businesses and institutions
How it’s paid
- A percentage of assets under management
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗potentiawealth.com ↗
AtlasMembers
The full record on Potentia Wealth
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, 2 years of filings
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- Growth over one, three and five years
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- Rank against 5,086 peers of its type and size
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- Owners and executives, with titles and stakes
- 2 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Potentia Wealth manage?
Potentia Wealth reports $569 million in regulatory assets under management across 1,253 accounts, 100% of it on a discretionary basis, on its Form ADV filed March 31, 2026.
What kind of firm is Potentia Wealth?
Potentia Wealth is a wealth manager by its Form ADV answers. At least half of its regulatory assets are managed for individuals and high-net-worth individuals.
Who are Potentia Wealth’s clients?
By assets, its largest client types are high-net-worth individuals ($453 million, 392 clients); individuals ($81 million, 330 clients); corporations or other businesses ($35 million, 6 clients).
Does Potentia Wealth have any disciplinary history?
Potentia Wealth reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Potentia Wealth’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-03-31), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →