Potentia Ria, Llc
- Regulatory AUM
- $569M
- Discretionary
- $569M
- Clients
- 731
- Avg AUM / client
- $779K
- Accounts
- 1,253
- Employees
- 16
AUM over time
Annual snapshots from Form ADV filings · as of Mar 31, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 330 | $80.9M | 14.2% |
| High net worth individuals | 392 | $453M | 79.6% |
| Pension and profit sharing plans | 2 | $256K | 0.05% |
| Charitable organizations | 1 | $147K | 0.03% |
| Corporations and other businesses | 6 | $34.9M | 6.13% |
People (9)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Kevin C. Swanson | Chief Compliance Officer, Owner, Iar | CFP | Nov 2023 (3y) | 75% or more |
| Raghunandan Krishnan | Registered representative | Apr 2024 (2y) | ||
| Adam Joseph Roberts | Registered representative | CFP | Apr 2024 (2y) | |
| Austin Cua | Registered representative | CFP | Jan 2025 (2y) | |
| Craig Steven Pine | Registered representative | Jan 2025 (2y) | ||
| Christopher Roy Meade | Registered representative | Feb 2025 (1y) | ||
| Emily Linn Brillo | Registered representative | May 2025 (1y) | ||
| Sandra Louise Swanson | Registered representative | May 2025 (1y) | ||
| Shannon Lorraine Corpuz | Registered representative | May 2026 (0y) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/31/2026 | 1.08 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- LPL Financial $569M (100% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 31, 2026.
View current Form ADV (SEC/IAPD) ↗