DFX Intelligence

Data Factory

RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

POTENTIA WEALTH

POTENTIA RIA, LLC, CRD 329135

SAN JOSE, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:01060242-ed2a-eeb0-1393-3cab821d86b2

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:41 AM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 4
On other graphs: 0
Observed: Dec 15, 2023 to Mar 31, 2026
10 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.94 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=2.0
Regulatory AUM: $569MItem 5.F on the latest filing (2026-03-31); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $569M
Private client RAUM: $534MderivedItem 5.D individuals plus high net worth individuals
Private client share: 94%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 9
RAUM per advisor: $63.2Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 16
Advisory employees: 7
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 1,253
Individual clients: 330
High net worth clients: 392
Custody, client assets: $255M
SEC number: 801-129366
CRD: 329135
Filings on the tape: 10
First filed: Dec 15, 2023
Latest filed: Mar 31, 2026
Organised: Limited Liability Company, CA
Website: potentiawealth.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
KEVIN C. SWANSON	Certified Financial Planner	SAN JOSE, CA	2	22	4	no
RAGHUNANDAN KRISHNAN	n/a	SAN JOSE, CA	2	22	2	yes
ADAM JOSEPH ROBERTS	Certified Financial Planner	SAN JOSE, CA	2	10	1	no
CRAIG STEVEN PINE	n/a	SAN JOSE, CA	1	19	1	yes
AUSTIN CUA	Certified Financial Planner	SAN JOSE, CA	1	17	2	no
Christopher Roy Meade	n/a	SAN JOSE, CA \| Sacramento, CA	1	14	n/a	yes
EMILY LINN BRILLO	n/a	Escondido, CA \| SAN JOSE, CA	1	20	1	yes
Sandra Louise Swanson	n/a	SAN JOSE, CA	1	12	2	no
SHANNON LORRAINE CORPUZ	n/a	SAN JOSE, CA	0	12	1	yes

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
SWANSON, KEVIN, C.	CHIEF COMPLIANCE OFFICER, OWNER, IAR	E	yes	11/2023	Dec 15, 2023	Jul 24, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
KEVIN SWANSON	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 31, 2026	$569M	$569M	16	7	1	n/a	n/a
2024	Mar 28, 2025	$486M	$486M	14	8	1	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
1	1	0	11.1%	0	0	0	9	1

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$569M	$486M	17.2%	n/a	n/a	16	14	1	1

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
MARINER ADVISOR NETWORK	7	Apr 2, 2024	May 27, 2025	SAN JOSE, CA	Team lift out	Ibd to new firm	4.5%

Relationships

Registered with (10)

← SHANNON LORRAINE CORPUZAdvisorregistration: current employment
May 19, 2026 to presentfactForm ADV
← EMILY LINN BRILLOAdvisorregistration: current employment
May 27, 2025 to presentfactForm ADV
← Sandra Louise SwansonAdvisorregistration: current employment
May 27, 2025 to presentfactForm ADV
← Christopher Roy MeadeAdvisorregistration: current employment
Feb 25, 2025 to presentfactForm ADV
← CRAIG STEVEN PINEAdvisorregistration: current employment
Jan 1, 2025 to presentfactForm ADV
← AUSTIN CUAAdvisorregistration: current employment
Jan 1, 2025 to presentfactForm ADV
← ADAM JOSEPH ROBERTSAdvisorregistration: current employment
Apr 2, 2024 to presentfactForm ADV
← KEVIN C. SWANSONAdvisorregistration: current employment
Apr 1, 2024 to presentfactForm ADV
← RAGHUNANDAN KRISHNANAdvisorregistration: current employment
Apr 1, 2024 to presentfactForm ADV
← TODD MICHAEL BARNEYAdvisorregistration: previous registration
Jul 29, 2024 to May 14, 2026factForm ADV

Moved with (1)

← MARINER ADVISOR NETWORKRegistered adviser7 advisors, team lift out
Apr 2, 2024 to May 27, 2025factForm ADV

Controls (1)

← SWANSON, KEVIN, C.OwnerCHIEF COMPLIANCE OFFICER, OWNER, IAR, ownership code E, individual
Dec 15, 2023 to Jul 24, 2024factForm ADV

Dated events

Occurred
May 14, 2026
Advisor changed firm
Todd Michael Barney left Potentia Wealth for Private Advisor Group, Llc (registered 2026-05-21)
Form ADVobserved 6 days ago
Occurred
Mar 28, 2025
Regulatory AUM changed
Potentia Wealth reported RAUM $485.5M, up 57% from $309.9M (2024-07-24 to 2025-03-28)
Form ADVobserved 6 days ago
$176M
Occurred
Apr 2, 2024
Team lift-out
7 advisors left Mariner Advisor Network (San Jose, CA) for Potentia Wealth a day apart
Form ADVobserved 5 days ago
7 advisors
Occurred
Dec 15, 2023
First Form ADV filing
Potentia Ria, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:01060242-ed2a-eeb0-1393-3cab821d86b2
First observed: Dec 15, 2023
Last observed: Mar 31, 2026 5 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

POTENTIA WEALTH

POTENTIA RIA, LLC, CRD 329135

SAN JOSE, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:01060242-ed2a-eeb0-1393-3cab821d86b2

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:41 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

KEVIN C. SWANSON

Certified Financial Planner

SAN JOSE, CA

RAGHUNANDAN KRISHNAN

n/a

SAN JOSE, CA

yes

ADAM JOSEPH ROBERTS

Certified Financial Planner

SAN JOSE, CA

CRAIG STEVEN PINE

n/a

SAN JOSE, CA

yes

AUSTIN CUA

Certified Financial Planner

SAN JOSE, CA

Christopher Roy Meade

n/a

SAN JOSE, CA | Sacramento, CA

n/a

yes

EMILY LINN BRILLO

n/a

Escondido, CA | SAN JOSE, CA

yes

Sandra Louise Swanson

n/a

SAN JOSE, CA

SHANNON LORRAINE CORPUZ

n/a

SAN JOSE, CA

yes

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

SWANSON, KEVIN, C.

CHIEF COMPLIANCE OFFICER, OWNER, IAR

yes

11/2023

Dec 15, 2023

Jul 24, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

KEVIN SWANSON

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 31, 2026

$569M

n/a

2024

Mar 28, 2025

$486M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

11.1%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$569M

$486M

17.2%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

MARINER ADVISOR NETWORK

Apr 2, 2024

May 27, 2025

SAN JOSE, CA

Team lift out

Ibd to new firm

4.5%