PHOCAS FINANCIAL CORPORATION
Firm details
- Headquarters
- ALAMEDA, California
- CRD number
- 135470
- Registered since
- June 1, 2005
- Website
- phocasfinancial.com
- Fee structure
- Percentage of AUM
- Client types
- State / Municipal Government89.86%
- Individuals8.39%
- Charitable Organizations1.06%
- HNWI0.65%
- Corporations / Businesses0.04%
- Services
- Portfolio Management for IndividualsPortfolio Management for Institutional Clients
Firm profile
FINTRXOverview
Phocas Financial Corporation is a privately owned advisory firm that provides portfolio management for both individual and family clients as well as business and institutional accounts. Registered with the SEC since 2005, the firm charges fees based on a percentage of assets under management and focuses its advisory work on discretionary portfolio management. It does not identify as an active ESG investor and is not organized as a multi-state adviser or a related adviser.
Assets & Accounts
Public Holdings
Investments & Alternatives
Location & Offices
Investment profile
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient base
Client personas
Asset composition
- Exchange Traded Equities95%
- Cash & Cash Equivalents3%
- State & Local Bonds1%
- Public Funds/Mutual Funds1%
Owners & executives
2 of 2WILLIAM SCHAFF
CEO & Portfolio ManagerCRD 1577475
FRANCES CHIU
Chief Compliance OfficerCRD 5248204
Contacts
3 of 4JAMES MURRAY
Portfolio ManagerCRD 2651053
JUSTIN WALLACE
Portfolio ManagerCRD 4825002
KEVIN GRANGER
PrincipalCRD 2093058
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXETF holdings
1 of 10Active vs passive
$7.9M in ETFs
100%
$7.9M
0%
$0
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| SCHWAB US LARGE-CAP ETF (SCHX) | Schwab | Passive | Large Blend | $2.5M | 95,994 | 31.11% |
Location
ALAMEDA, CA
ALAMEDA
Location
ALAMEDA, CA
Headquartered in ALAMEDA, CA, anchoring the San Jose-San Francisco-Oakland, CA metro in the West.
- Metro area
- San Jose-San Francisco-Oakland, CA
- Region
- West
- County
- ALAMEDA
- Address
- 1080 Marina Village Pkwy
- Time zone
- PT (UTC-8)
- Office locations
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