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PHOCAS FINANCIAL CORPORATION
CRD 135470File 801-64317
APPROVED
Retail clients
Filing as of May 12, 2026
Feed vintage Oct 1, 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 | Change |
|---|---|---|---|---|
| May 1, 2026 | Employees | 8 | 10 | increased by2 |
| May 1, 2026 | Clients | 39 | 36 | decreased by3 |
| May 1, 2026 | AUM | $826,944,166 | $682,712,667 | decreased by$144,231,499 |
| May 1, 2026 | Accounts | 54 | 52 | decreased by2 |
| Apr 1, 2026 | Clients | 40 | 39 | decreased by1 |
| Apr 1, 2026 | AUM | $793,398,331 | $826,944,166 | increased by$33,545,835 |
| Apr 1, 2026 | Accounts | 40 | 54 | increased by14 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 10 | 8 | decreased by2 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 106 | 40 | decreased by66 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $924,276,719 | $793,398,331 | decreased by$130,878,388 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 107 | 40 | decreased by67 |
| Apr 1, 2022 | Employees | 12 | 10 | decreased by2 |
| Apr 1, 2022 | Clients | 61 | 106 | increased by45 |
| Apr 1, 2022 | AUM | $743,474,824 | $924,276,719 | increased by$180,801,895 |
| Apr 1, 2022 | Accounts | 182 | 107 | decreased by75 |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “PHOCAS FINANCIAL” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“PHOCAS FINANCIAL” may also match similarly-named firms). Confirm identity against each filing.
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.