# PHOCAS FINANCIAL CORPORATION

PHOCAS FINANCIAL CORPORATION of ALAMEDA, CA is an SEC-registered investment adviser.

## Registration

- CRD: 135470
- Type: SEC-registered investment adviser
- SEC file number: 801-64317
- Location: 1080 MARINA VILLAGE PARKWAY, SUITE 520, ALAMEDA, CA, 94501-1001
- Phone: 510-523-5800
- Latest filing: 2026-05-12
- Regulatory AUM: $682.7M
- Discretionary AUM: $682.7M
- Clients: 10
- Accounts: 52

## Business model

- Compensation: % of AUM
- Clients served: High net worth, Pooled vehicles

## Officers, owners & control persons (17)

| Name | Role | Location |
| --- | --- | --- |
| William Franz Kim Schaff | CEO, CFO AND DIRECTOR; CEO EMERITUS AND ADVISOR | — |
| James Archie Murray | PORTFOLIO MANAGER | — |
| Frances K Chiu | CHIEF COMPLIANCE OFFICER | — |
| Kevin Francis Granger | PRINCIPAL | — |
| Yolanda Waggoner Foreman | CEO; PRESIDENT | — |
| RUBIN KENNETH ALAN | DIRECTOR | — |
| SCHAFF WILLIAM FRANZ KIM | CEO, CFO AND DIRECTOR; CEO, PRESIDENT, CFO AND DIRECTOR; CEO, PRESIDENT, CFO, CHIEF COMPLIANCE OFFICER AND DIRECTOR | — |
| MURRAY JAMES ARCHIE | ASSISTANT PORTFOLIO MANAGER; PORTFOLIO MANAGER; PORTFOLIO MANAGER AND CHIEF COMPLIANCE OFFICER (+1 more) | — |
| SCHAFF CYNTHIA | DIRECTOR | — |
| BLOCK STEPHEN LEE | PORTFOLIO MANAGER | — |
| CHIU FRANCES K | CHIEF COMPLIANCE OFFICER | — |
| CHIU FRANCES | CHIEF COMPLIANCE OFFICER | — |
| JONES HAROLD EDWIN | CHIEF COMPLIANCE OFFICER | — |
| FOREMAN YOLANDA WAGGONER | PRESIDENT | — |
| GRANGER KEVIN FRANCIS | PORTOFLIO MANAGER; PRINCIPAL | — |
| Frances K. Chiu | CHIEF COMPLIANCE OFFICER | — |
| Justin Moore Wallace | PORTFOLIO MANAGER | — |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/135470/brochure
- Similar advisers: https://search.stillhousedata.com/firm/135470/similar
- Related entities: https://search.stillhousedata.com/firm/135470/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/135470

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.