POTENTIA RIA, LLC
Legal name: POTENTIA WEALTH
CRD #329135 SEC #801-129366 SAN JOSE, CA 408-288-7886
SEC Registered
Total AUM
$485.5M
Discretionary
$485.5M
Employees
14
Clients
25
Accounts
1,162
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- California
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- May 14, 2025
- Branch Offices
- 1
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| SWANSON, KEVIN, C. | I | CHIEF COMPLIANCE OFFICER, OWNER, IAR | E | Control |
| SWANSON, KEVIN, C. | I | CHIEF COMPLIANCE OFFICER, OWNER, IAR | E | Control |
| SWANSON, KEVIN, C. | I | CHIEF COMPLIANCE OFFICER, OWNER, IAR | E | Control |
| SWANSON, KEVIN, C. | I | CHIEF COMPLIANCE OFFICER, OWNER, IAR | E | Control |
| SWANSON, KEVIN, C. | I | CHIEF COMPLIANCE OFFICER, OWNER, IAR | E | Control |
| SWANSON, KEVIN, C. | I | CHIEF COMPLIANCE OFFICER, OWNER, IAR | E | Control |
| SWANSON, KEVIN, C. | I | CHIEF COMPLIANCE OFFICER, OWNER, IAR | E | Control |
| SWANSON, KEVIN, C. | I | CHIEF COMPLIANCE OFFICER, OWNER, IAR | E | Control |
| SWANSON, KEVIN, C. | I | CHIEF COMPLIANCE OFFICER, OWNER, IAR | E | Control |
| MORRIS, NICOLE, MARIE | I | PARTNER | B | Control |
Registrations
Federal
IA
May 14, 2025 REGISTERED
Notice Filings (8)
AZ CA CO FL NY OR TX WA
Address
1226 LINCOLN AVESUITE 200
SAN JOSE, CA 95125
United States
Phone: 408-288-7886