Phocas Financial Corporation
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$826,944,166
Total clients
25
24% high-net worth
Total advisors
3
of 8 employees
Firm size
Team
4-10 advisors or $500M+ in AUM
Average clients per advisor
8
Average account size
$33,077,767
About
Phocas Financial Corporation is an SEC-registered investment adviser managing approximately $827 million on a discretionary basis. The firm provides discretionary portfolio management to a concentrated client base that includes individuals and high-net-worth clients as well as pooled investment vehicles, state and municipal government entities, corporate plans, and other investment advisers.
Phocas offers focused strategies — U.S. Small Cap Value, REITs, and Equity Income — that rely on fundamental research, GICS sector–peer decile ranking algorithms, valuation and ratio analysis, and an emphasis on low turnover and moderate risk; portfolios are constructed to meet client-specific policies and guidelines. The firm outsources its investment operations (trade matching, recordkeeping, reporting and performance analysis) to STP Investment Services and delivers regular performance reporting to clients on a quarterly basis.
Compared with many peers, Phocas explicitly serves pooled vehicles and government clients and provides portfolio management for pooled vehicles while generally focusing on investment management rather than comprehensive financial planning. The firm also identifies itself as a minority‑owned emerging institutional manager, uses third‑party performance and data vendors, has a formal ISS-based proxy voting process, and maintains documented cybersecurity and business-continuity programs.
Client services
Expertise
Fee options
$10,000,000+: 1% of assets per annum (Institutional Clients for each strategy: Small Cap Value, REITs, Equity Income) $1,000,000+: 1.0% of assets per annum (Private Wealth Management Clients)
Account minimum: $1,000,000 for Individuals; $10,000,000 for Institutional Clients Fee-only: Advisory fees based on assets under management, no commissions
Main office location
Phocas Financial Corporation
1080 Marina Village Parkway, Suite 520
Alameda CA 94501-1001, United States
Number of offices
1
Most active in
California
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
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