Broker-dealer firm
Potomac Investment Company
SEC-registered investment adviser · CRD 14553 · SEC 801-135351
At a glance
Potomac Investment Company is an SEC-registered investment adviser based in United States, with $107 million in regulatory assets under management as of its Form ADV filed August 20, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 27 individual clients. By Form ADV it is a broker-dealer firm, ranked 331st of 391 broker-dealer firms and 15,220th of 17,210 SEC-registered advisers by assets.
- Regulatory AUM
- $107M
- Rank among broker-dealer firms
- #331 of 391
- Rank among all SEC RIAs
- #15,220 of 17,210
- Individual clients
- 27
- High-net-worth clients
- 18
- Accounts
- 41
- Discretionary
- 100% of AUM
- Employees
- 2
- Advisory staff
- 2
- Offices
- 2
Owners and executives on its Form ADV
- Carol Schwartz GreenwaldPresident/cco
Custody and brokerage
Custodian
Potomac Investment Company’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.
Broker-dealer
Hybrid RIA
Potomac Investment Company is a hybrid RIA: 1 of its employees are also registered representatives of a broker-dealer. It names an affiliated broker-dealer: Potomac Investment Company.
- Potomac Investment Company ↗CRD 14553
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 18 | $68M | 63% |
| Charitable organizations | 5 | $36M | 34% |
| Individuals | 9 | $2M | 2% |
| Corporations or other businesses | 1 | $1M | 1% |
Disciplinary disclosures
Potomac Investment Company answers yes to 2 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
How it’s paid
- A percentage of assets under management
- Commissions
Form ADV and brochures on the SEC’s adviser search ↗
AtlasMembers
The full record on Potomac Investment Company
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, 1 years of filings
- Locked
- Growth over one, three and five years
- Locked
- Rank against 103 peers of its type and size
- Locked
- Owners and executives, with titles and stakes
- 1 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- 1Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Potomac Investment Company manage?
Potomac Investment Company reports $107 million in regulatory assets under management across 41 accounts, 100% of it on a discretionary basis, on its Form ADV filed August 20, 2026.
What kind of firm is Potomac Investment Company?
Potomac Investment Company is a broker-dealer firm by its Form ADV answers. The firm is itself registered as a broker-dealer as well as an investment adviser.
Who are Potomac Investment Company’s clients?
By assets, its largest client types are high-net-worth individuals ($68 million, 18 clients); charitable organizations ($36 million, 5 clients); individuals ($2 million, 9 clients).
Does Potomac Investment Company have any disciplinary history?
Potomac Investment Company answers yes to 2 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is Potomac Investment Company’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 (2026-08-20), 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 →