Adam J. Roberts

POTENTIA WEALTH

San Jose, CA 95125

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CRD#: 6988854

Professional summary

Adam Joseph Roberts, AIF® is a registered financial advisor currently at POTENTIA WEALTH located in San Jose, California.

Adam is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. Adam has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1. Fixed Insurance, Investment Related, San Jose, CA, Sales of fixed insurance products, Insurance agent, sales of fixed insurance products

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adam Joseph Roberts's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

AIF^®

Accredited Investment Fiduciary

Experience

Current

April 1, 2024 - Present

POTENTIA WEALTH

Office #1: 1226 Lincoln Ave Suite 200, San Jose, CA 95125

RIA

CRD#: 329135

San Jose, CA

Past

May 6, 2021 - April 3, 2024

MARINER ADVISOR NETWORK

RIA

CRD#: 283824

San Jose, CA

Past

August 20, 2019 - January 21, 2022

LPL FINANCIAL LLC

CRD#: 6413

SAN JOSE, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

POTENTIA WEALTH

POTENTIA RIA, LLC | POTENTIA WEALTH

CRD#: 329135 / SEC#: 801-129366

RIA

Registered Investment Advisory firm - (1/12/2024 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(4/2/2024)

IAR

Florida
(6/15/2024)

IAR

Oregon
(4/1/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/14/2021

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 3/29/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 6/21/2019

Securities Industry Essentials Examination

Current Firm

POTENTIA WEALTH

POTENTIA RIA, LLC | POTENTIA WEALTH

CRD#: 329135 / SEC#: 801-129366

RIA

Registered Investment Advisory firm - (1/12/2024 Approved)

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Contact information

Main Address

1226 Lincoln Ave Suite 200, San Jose, CA 95125

Mailing Address

Phone number

(408) 288-7886

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

POTENTIA 2025 ANNUAL ADV PART 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	1,162
AUM (Assets Under Management)	$ 485,539,198

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Adam J. Roberts

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adam Joseph Roberts's CRS (Customer Relationship Summary).

Certified licenses

Experience

POTENTIA WEALTH

MARINER ADVISOR NETWORK

LPL FINANCIAL LLC

Primary Firm SEC Registration

POTENTIA WEALTH

State Registrations and Notice Filings

Exams

Series 66

Date: 4/14/2021

Series 7TO

Date: 3/29/2024

SIE

Date: 6/21/2019

Current Firm

POTENTIA WEALTH

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

POTENTIA WEALTH

TRUST BUT VERIFY

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