Phocas Financial Corporation
● SEC registered since 2005CRD 135470SEC# 801-64317Alameda, CA
Reg. AUM
$682.7M
Employees
10
Accounts
52
Location
Alameda, CA
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 $682.7 million in regulatory assets under management and employs 10 people.
Phocas Financial Corporation owners & executives
6 reported| Name | Title | Ownership | Since |
|---|---|---|---|
| Frances K. Chiu | Chief Compliance Officer | Under 5% | 2009 |
| James Archie Murray | Portfolio Manager | 10-25% | 2005 |
| Justin Moore Wallace | Portfolio Manager | 5-10% | 2026 |
See all 6 owners & executives — unlock the full record.
Join to unlock · $37/moFrequently asked questions
How much does Phocas Financial Corporation manage?
Phocas Financial Corporation reports $682.7 million in regulatory assets under management on its Form ADV.
How many employees does Phocas Financial Corporation have?
Phocas Financial Corporation reports 10 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
$682.7M▼ 14%
Mar '25Form ADV, monthlyJun '26
How this firm compares
Regulatory AUMTop 41%
Larger than 59% of 16,271 advisers
EmployeesTop 40%
More than 60% of 16,825 advisers
Assets under management
$682.7Mregulatory AUM
Discretionary $682.7M