Phocas Financial Corporation
- Regulatory AUM
- $683M
- Discretionary
- $683M
- Clients
- 36
- Avg AUM / client
- $19.0M
- Accounts
- 52
- Employees
- 10
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of May 12, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 18 | $57.3M | 8.39% |
| High net worth individuals | 5 | $4.5M | 0.65% |
| Charitable organizations | 1 | $7.2M | 1.06% |
| State or municipal government entities | 11 | $613M | 89.9% |
| Corporations and other businesses | 1 | $278K | 0.04% |
People (6)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| James Archie Murray | Portfolio Manager | CFA | Mar 2005 (21y) | 10% – 25% |
| William Franz Kim Schaff | Ceo, Cfo And Director | CFP CFA | Mar 2005 (21y) | 50% – 75% |
| Chiu, Frances, K. | Chief Compliance Officer | Mar 2009 (17y) | Less than 5% | |
| Granger, Kevin, Francis | Principal | Jan 2012 (15y) | 5% – 10% | |
| Foreman, Yolanda, Waggoner | President | Oct 2021 (5y) | 5% – 10% | |
| Justin Moore Wallace | Registered representative | CFA | Mar 2025 (1y) |
Undisclosed: 0% – 30% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 05/12/2026 | 860 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- Charles Schwab & Co. $153M (19% of AUM) Oct 2023
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: May 12, 2026.
View current Form ADV (SEC/IAPD) ↗