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PHOCAS FINANCIAL CORPORATION
CRD 135470File 801-64317
APPROVED
Retail clients
Filing as of May 12, 2026
Feed vintage Aug 17, 2026
Regulatory AUM
$682.7M
Above cohort median (national)
Discretionary AUM
$682.7M
Clients
36
52 accounts
Employees
10
Above cohort median in CA
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- SFRO
- Registration date
- Jun 1, 2005
- Principal office
- 1080 MARINA VILLAGE PARKWAY, SUITE 520, ALAMEDA, CA, 94501-1001
- Phone
- 510-523-5800
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $682.7M
- Discretionary AUM
- $682.7M
- Non-discretionary AUM
- $0
- Discretionary accounts
- 52
- Non-discretionary accounts
- 0
- Total accounts
- 52
- AUM per client
- $19.0M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 1 | $278K |
| Charitable organizations | 1 | $7.2M |
| High net worth individuals | 5 | $4.5M |
| State or municipal government entities | 11 | $613.5M |
| Individuals (other than high net worth individuals) | 18 | $57.3M |
Compensation & activities
ADV Items 5E, 5GCompensation
- A percentage of assets under your management
Advisory activities
- Portfolio management for businesses
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To |
|---|---|---|---|
| Aug 12, 2026 | Registration | — | APPROVED |
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.