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POTENTIA WEALTH

SAN JOSE, CA · CRD 329135 · IAPD ↗ · potentiawealth.com · 408-288-7886

$569.1MRegulatory AUM
7Advisory reps
16Employees
0Clients
26-50Planning clients
0Private funds
8States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

61
April 2026 — POTENTIA WEALTH reports 26-50 financial-planning clients, up from 11-25.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
70
April 2026 — POTENTIA WEALTH crossed $500M in regulatory AUM ($485.5M -> $569.1M).
Regulatory AUM crossed $500M.
Portfolio / reporting / TAMPCRMIntegration & migration consulting
53
April 2025 — POTENTIA WEALTH added office(s): 0 -> 1 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
63
April 2025 — POTENTIA WEALTH began participating in a wrap-fee program.
Firm began participating in a wrap-fee program (Item 5I(1)).
Portfolio / reporting / TAMPCompliance
68
April 2025 — POTENTIA WEALTH now reports custody of client assets ($19.2M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
69
April 2025 — POTENTIA WEALTH reported RAUM up 57% ($309.9M -> $485.5M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
70
April 2025 — POTENTIA WEALTH grew from 6 to 8 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
64
June 2024 — POTENTIA WEALTH reports 11-25 financial-planning clients, up from 0.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
73
June 2024 — POTENTIA WEALTH's provisional registration is now fully approved.
120-day provisional registration became a full approval.
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
50
April 2024 — POTENTIA WEALTH notice-filed in AZ, CO, FL, NY, OR, TX, WA.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
95
February 2024 — POTENTIA WEALTH (SAN JOSE, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 5 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.