SourcingSourcing

POTENTIA RIA, LLC

C39
CRD 329135·SEC 801-129366·SAN JOSE, CA
AUM
$569.1M
$500M-$1B
Est. Revenue
$5.7M
@ 1% on AUM
Est. EBITDA
$1.7M
@ 30% margin
Est. Deal Value
$13.7M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
POTENTIA RIA, LLC
CRD
329135
SEC file #
801-129366
EIN
—
DBA names
Potentia Wealth

Economics

AUM
$569.1M
AUM band
$500M-$1B
AUM trajectory
'25'26
$485.5M → $569.1M▲ +17%
Client mix
Individuals High Net Worth392
Individuals Other330
Corporations6
Pension Profit Sharing Plans2
Charitable Organizations1

Operations

Employees (total)
16
Advisory staff (per ADV)
7
Advisory staff (5-yr trend)
'25'26
8 advisors → 7 advisors▼ -12%
Primary office
SAN JOSE CA
Branches
—

Custodian & Brokerage

Primary custodian
LPL Financiallow confidence
Services offered
Financial planningPortfolio mgmt — individualsPortfolio mgmt — businesses
Fee basis
% of AUMFixed fees

Filings

Latest ADV filing
03/31/2026
ADV-W filed at
—
Website
potentiawealth.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
SWANSON, KEVIN, C.
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
2
Control Persons
SWANSON, KEVIN, C.
MORRIS, NICOLE, MARIE
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
POTENTIAWEALTH.COM
Rdap Domain Creation Date
2020-05-21T19:03:19Z
Rdap Firm Age Years
6
Rdap Firm Age Band
5-10y
Rdap Registrar
GoDaddy.com, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Local market & wealth

Rank targets by how wealthy the local market is

Soi High Wealth Score
0.4939
Soi Zip Pct 200k Plus
0.3046
Soi Zip Returns 200k Plus
7,740
Soi Zip Total AGI
5,759,263
Fdic Zip Total Deposits
32,848,570,000
Fdic Zip Branch Count
238
Fdic Zip Top Banks
Wells Fargo Bank, National Association
Bank of America, National Association

Compliance & brand

Firm Registration Status
active

All other collected signals (24)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
5
Bc Firm Active IA Count
9
Bc Firm IAR Count
9
Custodian Candidates
Full
Lpl Financial9
E*trade4
Fdic Zip Branches Raw
Home Savings of America, FSBSan Jose, CA
EurekaBank, a Federal Savings BankSan Jose, CA
Fdic Zip HHI
1306.47
Fdic Zip Top Bank Share Pct
23.91
Fdic Zip Year
2025
Firm Has Custody
Yes
Mailing Office Differs
No
Rdap Domain Expiration Date
2027-01-31T11:59:59Z
Rdap Domain Last Changed
2026-02-01T16:34:06Z
Rdap Nameservers
Ns59.domaincontrol.comNs60.domaincontrol.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Delete ProhibitedClient Renew ProhibitedClient Transfer ProhibitedClient Update Prohibited
Soi Year
2022
Soi Zip Distribution
Stub 1
AGI49,613
Returns4,280
Stub 2
AGI126,416
Returns3,370
Stub 3
AGI190,158
Returns3,060
Soi Zip Total Business Income
155,642
Soi Zip Total Cap Gains
386,560
Soi Zip Total Dividends
137,186
Soi Zip Total Returns
25,410
Top Owner CRD
4723624
Trust Company Affiliate
No

People (10)

10
SWANSON, KEVIN, C.
IAR · Direct Owner · 87.5%
4723624
MORRIS, NICOLE, MARIE
Direct Owner · 17.5%
6612465
CRAIG STEVEN PINE
IAR
5326216
Sandra Louise Swanson
IAR
6396379
Christopher Roy Meade
IAR
7133031
RAGHUNANDAN KRISHNAN
IAR
4768762
ADAM JOSEPH ROBERTS
IAR
6988854
AUSTIN CUA
IAR
6909514
EMILY LINN BRILLO
IAR
5122430
SHANNON LORRAINE CORPUZ
IAR
6379256