Phocas Financial Corporation
● SEC registered since 2005CRD 135470SEC# 801-64317Alameda, CA
Reg. AUM
$27.9M
Employees
2
Accounts
27
Location
Alameda, CA
About Phocas Financial Corporation
Phocas Financial is an employee-owned investment firm offering small cap value, REIT, and equity income strategies. It practices active management in less efficient markets and has specialized REIT expertise spanning real estate and equities.
Summary based on the firm’s website.
Phocas Financial Corporation assets under management
Phocas Financial Corporation operates as an SEC-registered investment adviser based in Alameda, CA. The firm has been registered since 2005. It reports $27.9 million in regulatory assets under management and employs 2 people.
Phocas Financial Corporation owners & executives
3 reported| Name | Title | Ownership | Since |
|---|---|---|---|
| Frances K. Chiu Control | Chief Compliance Officer | 25-50% | 2009 |
| James Archie Murray Control | President | 25-50% | 2026 |
| William Franz Kim Schaff Control | Adviser | 25-50% | 2026 |
Frequently asked questions
How much does Phocas Financial Corporation manage?
Phocas Financial Corporation reports $27.9 million in regulatory assets under management on its Form ADV.
How many employees does Phocas Financial Corporation have?
Phocas Financial Corporation reports 2 employees.
Where is Phocas Financial Corporation located?
Phocas Financial Corporation is based in Alameda, CA and has been SEC-registered since 2005.
Does Phocas Financial Corporation disclose fund performance?
Phocas Financial Corporation is not required to publicly disclose fund returns. Form ADV filings include assets, ownership, and service providers, shown above.
Contact & registration
| Address | 1080 Marina Village Parkway, Suite 520, Alameda, CA 94501-1001 |
| Phone | 510-523-5800 |
| Fax | 510-523-5801 |
| Office hours | 8:00 a.m. To 4:00 p.m. |
| SEC region | San Francisco Regional Office (SFRO) |
| CIK | 1356783 |
| Discloses disciplinary history | No |
Regulatory AUM
$27.9M▼ 96%
Mar '25Form ADV, monthlyOct '26
How this firm compares
Regulatory AUMTop 97%
Larger than 3% of 16,389 advisers
EmployeesTop 86%
More than 14% of 16,799 advisers
Assets under management
$27.9Mregulatory AUM
Discretionary $27.9M