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 an SEC-registered institutional registered investment adviser formed in 2005 and organized as a corporation with individual ownership. The firm works with both high-net-worth individuals and families as well as institutional clients, providing fee-based portfolio management charged as a percentage of assets under management. Its stated advisory services focus on portfolio management for individuals and small businesses as well as portfolio management for businesses or institutions. The firm does not identify as an active ESG investor, and its filings indicate it is not registered as a multi-state adviser or pension consultant.
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 2
William 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
$7.7M in ETFs
100%
$7.7M
0%
$0
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| SCHWAB US LARGE-CAP ETF (SCHX) | Schwab | Passive | Large Blend | $2.7M | 93,009 | 35.34% |
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
Similar firms
Shum Financial Group, Inc.
RIAAlameda, CA
Adelante Capital Management LLC
RIAAlameda, CA
Kevin Kennedy, LLC
RIAAlameda, CA
BCN Financial, Inc.
RIAAlameda, CA
Fireside Finances, LLC
RIAAlameda, CA
Asia Global Asset Management, Inc
RIAAlameda, CA