DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

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SEC-registered adviser

P••••••• W•••••

Independent wealth managerSan Jose, CaliforniaCRD 329135SEC 801-129366websiteIAPD
Legal name P••••••• R••• L••
Latest filing Mar 31, 2026
First filing on the tape Dec 15, 2023 · 10 filings
SEC status approved since Jan 12, 2024
RAUM
$569M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$534M individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$63.2M
derived; firm RAUM over IAPD count
Employees
16
7 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$569M as of Mar 31, 2026
Mar 28, 2025$486M then
HNW client RAUM$453M as of Mar 31, 2026
Mar 28, 2025$0 then
State-registered IARs (5.B.3)7 as of Mar 31, 2026
Mar 28, 20258 then
Employees (5.A)16 as of Mar 31, 2026
Mar 28, 202514 then
Private funds: no history
RAUM +17% over the last fiscal yearIARs 8 to 7
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
  • HNW wealth manager · p••••••-client share of RAUM at least 50 percent and HNW share of p••••••-client RAUM 50 to 90 percent
  • Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
RAUM per advisor
$63.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
80derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.2MderivedHNW RAUM over HNW clients
Average account
$454,187derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.8derivedItem 5.A over advisors
Advisors per office
4.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+17%derivedbetween the last two annual amendments
Advisor growth, one year
-13%derivedItem 5.B.3 between annual amendments
Client growth, one year
+23%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Wrap fee program
$472MreportedItem 5.I
Custody
$255M, 475 clientsreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$453M80%
  • Individuals$80.9M14%
  • Corporations and businesses$34.9M6.1%
  • Pension and profit-sharing plans$256,3890.0%
  • Charitable organizations$146,8750.0%
Individual clients
330reported
HNW clients
392reported
Pension plan clients
2reported
Charitable clients
1reported
Accounts
1,253reported
Financial planning clients
26-50reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
$255M for 475 clientsreported
Compensation
% of AUM, fixedreported
Class basis
private_client_share=0.94 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
9 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
R••••••••• K•••••••San Jose, CaApr 1, 202422 y2
K•••• C• S••••••Certified Financial PlannerSan Jose, CaApr 1, 202422 y4
A••• J••••• R••••••Certified Financial PlannerSan Jose, CaApr 2, 202410 y1
A••••• C••Certified Financial PlannerSan Jose, CaJan 1, 202517 y2
C•••• S••••• P•••San Jose, CaJan 1, 202519 y1
C••••••••• R•• M••••San Jose, Ca Feb 25, 202514 y0
S••••• L••••• S••••••San Jose, CaMay 27, 202512 y2
E•••• L••• B•••••Escondido, Ca May 27, 202520 y1
S•••••• L••••••• C•••••San Jose, CaMay 19, 202612 y1
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 11% of current headcount1 left over 36 months
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • S••••••• K••••• C• · Chief Compliance Officer, Owner, Iarcontrol
      since 11/2023 · owns 75% or more
    Related persons
    Schedule D 7.A
    • K•••• S••••••
      insurancen
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    San Jose, Ca · principal911
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    ADV anomalies
    1 against comparable advisers; where to look, not conclusions
    • HNW share shiftChange between filings · filing Mar 31, 2026
      HNW share of RAUM moved from 0.0% to 80.0% between the annual amendments of 2025-03-28 and 2026-03-31
      peers: independent wealth managers, $500M to $1B (1,482)
    How anomalies are measured
    What changed
    consecutive filings, newest first
    • Accounts · 1,162 to 1,253
      May 14, 2025 to Mar 31, 2026
    • Advisory employees · 8 to 7
      May 14, 2025 to Mar 31, 2026
    • Charity clients · 0 to 1
      May 14, 2025 to Mar 31, 2026
    • Corporate clients · 0 to 6
      May 14, 2025 to Mar 31, 2026
    • HNW clients · 0 to 392
      May 14, 2025 to Mar 31, 2026
    • Individual clients · 587 to 330
      May 14, 2025 to Mar 31, 2026
    • Pension plan clients · 0 to 2
      May 14, 2025 to Mar 31, 2026
    • Assets in custody · $19.2M to $255M
      May 14, 2025 to Mar 31, 2026
    • Employees · 14 to 16
      May 14, 2025 to Mar 31, 2026
    • fin p••••••• clients · 11-25 to 26-50
      May 14, 2025 to Mar 31, 2026
    • State-registered IARs · 8 to 7
      May 14, 2025 to Mar 31, 2026
    • Discretionary RAUM · $486M to $569M
      May 14, 2025 to Mar 31, 2026
    • HNW RAUM · $0 to $453M
      May 14, 2025 to Mar 31, 2026
    • Individual RAUM · $486M to $80.9M
      May 14, 2025 to Mar 31, 2026
    • Pension RAUM · $0 to $256,389
      May 14, 2025 to Mar 31, 2026
    • RAUM · $486M to $569M
      May 14, 2025 to Mar 31, 2026
    • Wrap assets (manager) · $490M to $0
      May 14, 2025 to Mar 31, 2026
    • fin p••••••• clients · 11-25 to 11-25
      Mar 28, 2025 to May 14, 2025
    • Accounts · 859 to 1,162
      Jul 24, 2024 to Mar 28, 2025
    • Advisory employees · 6 to 8
      Jul 24, 2024 to Mar 28, 2025
    • a••••••y activity count · 2 to 3
      Jul 24, 2024 to Mar 28, 2025
    • HNW clients · 58 to 0
      Jul 24, 2024 to Mar 28, 2025
    • Assets in custody · unset to 19200000.0
      Jul 24, 2024 to Mar 28, 2025
    • Custody of client assets · false to true
      Jul 24, 2024 to Mar 28, 2025
    • State-registered IARs · 6 to 8
      Jul 24, 2024 to Mar 28, 2025
    • Other offices · 0 to 1
      Jul 24, 2024 to Mar 28, 2025
    • Discretionary RAUM · $310M to $486M
      Jul 24, 2024 to Mar 28, 2025
    • HNW RAUM · $115M to $0
      Jul 24, 2024 to Mar 28, 2025
    • Individual RAUM · $195M to $486M
      Jul 24, 2024 to Mar 28, 2025
    • RAUM · $310M to $486M
      Jul 24, 2024 to Mar 28, 2025
    • Wrap assets (manager) · unset to 490000000.0
      Jul 24, 2024 to Mar 28, 2025
    • Wrap assets (sponsor) · unset to 0.0
      Jul 24, 2024 to Mar 28, 2025
    • Accounts · 0 to 859
      Apr 1, 2024 to May 10, 2024
    • Advisory employees · 5 to 6
      Apr 1, 2024 to May 10, 2024
    • a••••••y activity count · 4 to 2
      Apr 1, 2024 to May 10, 2024
    • BD registered reps · 1 to 2
      Apr 1, 2024 to May 10, 2024
    • HNW clients · 0 to 58
      Apr 1, 2024 to May 10, 2024
    • Individual clients · 0 to 587
      Apr 1, 2024 to May 10, 2024
    • Employees · 8 to 14
      Apr 1, 2024 to May 10, 2024
    • fin p••••••• clients · 0 to 11-25
      Apr 1, 2024 to May 10, 2024
    Signals
    4 dated events
    • T••• M•••••• B••••• left P••••••• W••••• for P•••••• A•••••• G••••• L•• (registered 2026-05-21)
      May 14, 2026 · a•••••• firm change · fact
    • P••••••• W••••• reported RAUM $485.5M, up 57% from $309.9M (2024-07-24 to 2025-03-28)
      Mar 28, 2025 · RAUM change · derived
    • 7 a••••••s left M•••••• A•••••• N•••••• (San Jose, CA) for P••••••• W••••• a day apart
      Apr 2, 2024 · Team lift-out · derived
    • P••••••• R••• L•• filed its initial SEC registration (Form ADV)
      Dec 15, 2023 · First SEC registration · fact
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    How to reach
    public business contact points only, each with its source
    Business phone
    408-288-7886reportedpublished by the firm, firm site, Sep 15, 2026
    Firm profile
    linkedin.com/company/potentia-wealthreportedpublic record, Form ADV, Sep 18, 2026
    Website
    PotentiaWealth.comreportedpublic record, Form ADV, Sep 18, 2026
    Principal office phone
    408-288-7886reportedpublic record, Form ADV, Mar 31, 2026
    Contact form
    potentiawealth.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
    Team page
    potentiawealth.com/teamreportedpublished by the firm, firm site, Sep 15, 2026
    Provenance
    Form ADV
    SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
    Advisors
    IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
    Class
    Independent wealth managerderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    $63.2Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026