SEC-registered wealth management firm Broker-dealer affiliated
Potomac Investment Company
As of its Form ADV filed August 20, 2026, Potomac Investment Company, an SEC-registered, broker-dealer affiliated wealth management firm in The Villages, Florida, reported $107.0 million in regulatory assets under management across 41 accounts, ranking #588 among all wealth firms in Florida by assets.
Registration
- Main office
- The Villages, FL
- Registration
- SEC-registered, Approved
- CRD number
- 14553
- SEC file number
- 801-135351
- Registered since
- April 6, 2026
- Latest Form ADV filing
- August 20, 2026
- Organized as
- Other (specify)
- Fiscal year ends
- December
- Other offices
- 1
Key figures
- Regulatory assets under management
- $107.0 million
- Discretionary
- $107.0 million (100.0%)
- Non-discretionary
- $0
- Accounts
- 41 (41 discretionary)
- Clients
- 33, approximate as reported
- Employees
- 2
- Advisory staff
- 2 performing investment advisory functions
- Average account
- $2.6 million
- Asset growth, 1 year
- Not reported
- Asset growth, 3-year annual rate
- Not reported
- Asset growth, 5-year annual rate
- Not reported
- Client growth, 1 year
- Not reported
Broker-dealer affiliated. The firm is itself a broker-dealer as well as an investment adviser (Form ADV Item 6.A(1)). It is ranked among all wealth firms, the directory's view that includes wirehouses and broker-dealer firms, not in the main lists of independent RIAs. How firms are classed.
Growth rates come from the SEC's yearly snapshots and are left blank when the years are not comparable.
Rankings
Among all wealth firms, including wirehouses and broker-dealer firms.
Assets over time
Data table
| As of | RAUM |
|---|---|
| October 2, 2026 | $107.0 million |
Clients and services
Client mix
| Measure | Bar | RAUM |
|---|---|---|
| High net worth individuals 18 clients | $67.8 million | |
| Charitable organizations 5 clients | $35.9 million | |
| Individuals (other than high net worth) 9 clients | $2.0 million | |
| Corporations or other businesses 1 client | $1.2 million |
How the firm is paid
- A percentage of assets under management
- Commissions
Advisory services
- Financial planning
- Portfolio management for individuals or small businesses
Financial planning clients (Item 5.H): 0.
Wrap fee program sponsor or portfolio manager: no.
Other business, affiliations and custody
Other business activities (Item 6.A)
- Broker-dealer
- Registered representative of a broker-dealer
- Registered municipal advisor
Financial industry affiliations (Item 7.A)
- Broker-dealer
- Other investment adviser
Custody (Item 9)
The firm reported custody of client cash or securities, $107.0 million in total.
Investment adviser representatives
- IARs registered with the firm
- 2
- Also registered through a broker-dealer
- 2
- Employees who are IARs (Form ADV 5.B(3))
- 1
2 of the firm's 2 IARs are registered in jurisdictions that require IAR CE. IAR CE requirements by state.
Counts only. AdvisorIQ does not list individual people.
Disclosures
On Form ADV Item 11 the firm answered yes to 1 disclosure question. See the detail on IAPD.
Succession and acquired firms
On Form ADV Item 4 the firm did not report succeeding to another adviser's business.
Similar-sized firms in Florida
| Firm | City | RAUM |
|---|---|---|
| Sherpa Capital Management | Jupiter | $107.5 million |
| Omnitrust Wealth Management, Inc. | Jacksonville | $107.2 million |
| Stillblue Financial Partners, LLC | Jacksonville | $107.1 million |
| Elevate Financial Planning and Wealth Management | St. Petersburg | $107.1 million |
| Stonex International Advisors Inc | Miami | $106.7 million |
The five wealth firms, broker-dealer affiliated firms included, nearest in regulatory assets with a main office in the same state.
Elsewhere
- Potomac Investment Company on IAPD: Form ADV, brochures and disclosure detail.
- Wealth management firms in Florida
Firm data as of October 2, 2026, from ia100226.zip. Figures are as the firm reported them; corrections are made on Form ADV and appear after the next monthly reload.
Data as of October 2, 2026, from Form ADV. Sources: SEC registered adviser data (ia100226.zip) and IAPD compilation reports. How the directory is built.