PI
Potomac Investment Company
State-registered
Broker-Dealer (Dually Registered) · Small ($100M–$1B)
CRD 14553
· SEC file 801-135351
·
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ADV data as of Apr 03, 2026
- Regulatory AUM
- $107M
- Discretionary
- $107M
- Clients
- 33
- Avg AUM / client
- $3.2M
- Accounts
- 41
- Employees
- 2
AUM over time
$107M
$107M
Jan 16, 2026
Apr 3, 2026
Reported AUM from Form ADV filings, plotted by filing date · as of Apr 03, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 9 | $2.0M | 1.91% |
| High net worth individuals | 18 | $67.8M | 63.4% |
| Charitable organizations | 5 | $35.9M | 33.5% |
| Corporations and other businesses | 1 | $1.2M | 1.16% |
People (1)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Carol Schwartz Greenwald | Registered representative | Jan 2002 (25y) |
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) | 04/03/2026 | 1.33 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
- • Commissions
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
Custody
Firm reports having custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Apr 03, 2026.
View current Form ADV (SEC/IAPD) ↗