PHOCAS FINANCIAL CORP.

HTTP://WWW.PHOCASFINANCIAL.COM ALAMEDA, CA Investment Advisor How do I update this listing?

Phocas Financial Corp. is based out of Alameda. Phocas Financial Corp. is a large advisory firm with 109 clients and discretionary assets under management (AUM) of $959,490,148 (Form ADV from 2019-05-22). Their last reported 13F filing for Q3 2019 included $937,958,000 in managed 13F securities and a top 10 holdings concentration of 17.34%. Phocas Financial Corp.'s largest holding is TopBuild Corp with shares held of 207,954. Phocas Financial Corp. has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 59 13F filings

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09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $937.958 Million
  • Prior Market Value $934.704 Million
  • New Purchases20 stocks
  • Additional Purchases20 stocks
  • Sold out of147 stocks
  • Reduced holdings in121 stocks
  • Top 10 Holdings % 17.34 %
  • Turnover % [1]:86.53%
  • Turnover Alt % [2]: 15.83 %
  • Time Held Top20:3.10 quarters
  • Time Held Top10:2.30 quarters
  • Time Held All:13.55 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-11-14

Performance for Q3 2019: 7.15%
Performance Last 4 Quarters: 5.23%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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13F Filings Available:
  • 2019-09-30 - 13F-HR (Subscription required)
  • 2019-06-30 - 13F-HR/A (Subscription required)
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR/A (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR/A (Subscription required)
  • 2018-03-31 - 13F-HR/A (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR/A (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)
  • 2016-09-30 - 13F-HR (Subscription required)
  • 2016-06-30 - 13F-HR (Subscription required)
  • 2016-03-31 - 13F-HR (Subscription required)
  • 2015-12-31 - 13F-HR (Subscription required)
  • 2015-09-30 - 13F-HR (Subscription required)
  • 2015-06-30 - 13F-HR (Subscription required)
  • 2015-03-31 - 13F-HR (Subscription required)
  • 2014-12-31 - 13F-HR (Subscription required)
  • 2014-09-30 - 13F-HR (Subscription required)
  • 2014-06-30 - 13F-HR (Subscription required)
  • 2014-03-31 - 13F-HR (Subscription required)
  • 2013-12-31 - 13F-HR/A (Subscription required)
  • 2013-12-31 - 13F-HR (Subscription required)
  • 2013-09-30 - 13F-HR (Subscription required)
  • 2013-06-30 - 13F-HR (Subscription required)
  • 2013-03-31 - 13F-HR (Subscription required)
  • 2012-12-31 - 13F-HR (Subscription required)
  • 2012-09-30 - 13F-HR (Subscription required)
  • 2012-06-30 - 13F-HR (Subscription required)
  • 2012-03-31 - 13F-HR (Subscription required)
  • 2011-12-31 - 13F-HR (Subscription required)
  • 2011-09-30 - 13F-HR (Subscription required)
  • 2011-06-30 - 13F-HR (Subscription required)
  • 2011-03-31 - 13F-HR (Subscription required)
  • 2010-12-31 - 13F-HR (Subscription required)
  • 2010-09-30 - 13F-HR (Subscription required)
  • 2010-06-30 - 13F-HR (Subscription required)
  • 2010-03-31 - 13F-HR (Subscription required)
  • 2009-12-31 - 13F-HR (Subscription required)
  • 2009-09-30 - 13F-HR (Subscription required)
  • 2009-06-30 - 13F-HR (Subscription required)
  • 2009-03-31 - 13F-HR (Subscription required)
  • 2008-12-31 - 13F-HR (Subscription required)
  • 2008-09-30 - 13F-HR (Subscription required)
  • 2008-06-30 - 13F-HR (Subscription required)
  • 2008-03-31 - 13F-HR (Subscription required)
  • 2007-09-30 - 13F-HR/A (Subscription required)
  • 2007-09-30 - 13F-HR (Subscription required)
  • 2007-06-30 - 13F-HR/A (Subscription required)
  • 2007-06-30 - 13F-HR (Subscription required)
  • 2007-03-31 - 13F-HR (Subscription required)
  • 2006-12-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

PHOCAS FINANCIAL CORPORATION
980 ATLANTIC AVENUE SUITE 106
ALAMEDA CA    94501-1001
Country: United States

Business Phone: 510-523-5800
Fax: 510-523-5801
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm,Investment advisor to an investment company
Form of Organization: Corporation
Organized in: CA
Number of employees: 11
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Performance-based fees
Amount of client funds and securities:
Total Number of Clients: 109
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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Form 4 - Recent Insider Transactions

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PHOCAS FINANCIAL CORPORATION

ownership team - last updated 2019-05-22
Name Title Start Date Direct/Indirect % Ownership
SCHAFF, WILLIAM, FRANZ KIM CEO, PRESIDENT, CFO AND DIRECTOR 03/01/2005 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
BERGER/BAY ISLE LLC CHIEF INVESTMENT OFFICER direct 1998-11-01
PHOCAS FINANCIAL CORPORATION CEO, PRESIDENT, CFO AND DIRECTOR direct 2005-03-01
BERGER/BAY ISLE LLC OWNER indirect 1989-02-01 2002-02-14
BAY ISLE FINANCIAL LLC PRESIDENT & CIO direct 2001-12-01 2004-12-17
PHOCAS FINANCIAL CORPORATION CEO, PRESIDENT, CFO, CHIEF COMPLIANCE OFFICER AND DIRECTOR direct 2005-03-01 2007-02-12
MURRAY, JAMES, ARCHIE PORTFOLIO MANAGER 03/01/2005 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
PHOCAS FINANCIAL CORPORATION ASSISTANT PORTFOLIO MANAGER direct 2005-03-01
PHOCAS FINANCIAL CORPORATION PORTFOLIO MANAGER direct 2005-03-01
PHOCAS FINANCIAL CORPORATION PORTFOLIO MANAGER AND CHIEF COMPLIANCE OFFICER direct 2005-03-01
PHOCAS FINANCIAL CORPORATION PORTFOLIO MANAGER & CHIEF COMPLIANCE OFFICER direct 2005-03-01
BLOCK, STEPHEN, LEE PORTFOLIO MANAGER 03/01/2006 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
BLOCK CAPITAL LLC PRESIDENT, MEMBER direct 2005-03-01
BLOCK CAPITAL LLC PRESIDENT, MANAGING MEMBER & CHIEF COMPLIANCE OFFICER direct 2005-03-01
PHOCAS FINANCIAL CORPORATION PORTFOLIO MANAGER direct 2006-03-01
CHIU, FRANCES CHIEF COMPLIANCE OFFICER 03/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
ASHFIELD & CO INC CHIEF COMPLIANCE OFFICER direct 2006-11-01
INSIGHT CAPITAL RESEARCH & MANAGEMENT INC CHIEF COMPLIANCE OFFICER direct 2008-05-01
PHOCAS FINANCIAL CORPORATION CHIEF COMPLIANCE OFFICER direct 2009-03-01
ASHFIELD CAPITAL PARTNERS, LLC CHIEF COMPLIANCE OFFICER direct 2006-11-01
GRANGER, KEVIN, FRANCIS PRINCIPAL 01/01/2012 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
PHOCAS FINANCIAL CORPORATION PORTOFLIO MANAGER direct 2012-01-01

PHOCAS FINANCIAL CORPORATION

ownership team - last updated 2019-03-28
Name Title Start Date Direct/Indirect % Ownership
SCHAFF, WILLIAM, FRANZ KIM CEO, PRESIDENT, CFO AND DIRECTOR 03/01/2005 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
BERGER/BAY ISLE LLC CHIEF INVESTMENT OFFICER direct 1998-11-01
PHOCAS FINANCIAL CORPORATION CEO, PRESIDENT, CFO AND DIRECTOR direct 2005-03-01
BERGER/BAY ISLE LLC OWNER indirect 1989-02-01 2002-02-14
BAY ISLE FINANCIAL LLC PRESIDENT & CIO direct 2001-12-01 2004-12-17
PHOCAS FINANCIAL CORPORATION CEO, PRESIDENT, CFO, CHIEF COMPLIANCE OFFICER AND DIRECTOR direct 2005-03-01 2007-02-12
MURRAY, JAMES, ARCHIE PORTFOLIO MANAGER 03/01/2005 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
PHOCAS FINANCIAL CORPORATION ASSISTANT PORTFOLIO MANAGER direct 2005-03-01
PHOCAS FINANCIAL CORPORATION PORTFOLIO MANAGER direct 2005-03-01
PHOCAS FINANCIAL CORPORATION PORTFOLIO MANAGER AND CHIEF COMPLIANCE OFFICER direct 2005-03-01
PHOCAS FINANCIAL CORPORATION PORTFOLIO MANAGER & CHIEF COMPLIANCE OFFICER direct 2005-03-01
BLOCK, STEPHEN, LEE PORTFOLIO MANAGER 03/01/2006 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
BLOCK CAPITAL LLC PRESIDENT, MEMBER direct 2005-03-01
BLOCK CAPITAL LLC PRESIDENT, MANAGING MEMBER & CHIEF COMPLIANCE OFFICER direct 2005-03-01
PHOCAS FINANCIAL CORPORATION PORTFOLIO MANAGER direct 2006-03-01
CHIU, FRANCES CHIEF COMPLIANCE OFFICER 03/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
ASHFIELD & CO INC CHIEF COMPLIANCE OFFICER direct 2006-11-01
INSIGHT CAPITAL RESEARCH & MANAGEMENT INC CHIEF COMPLIANCE OFFICER direct 2008-05-01
PHOCAS FINANCIAL CORPORATION CHIEF COMPLIANCE OFFICER direct 2009-03-01
ASHFIELD CAPITAL PARTNERS, LLC CHIEF COMPLIANCE OFFICER direct 2006-11-01
GRANGER, KEVIN, FRANCIS PRINCIPAL 01/01/2012 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
PHOCAS FINANCIAL CORPORATION PORTOFLIO MANAGER direct 2012-01-01

PHOCAS FINANCIAL CORPORATION

ownership team - last updated 2017-03-31
Name Title Start Date Direct/Indirect % Ownership
SCHAFF, WILLIAM, FRANZ KIM CEO, PRESIDENT, CFO AND DIRECTOR 03/01/2005 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
BERGER/BAY ISLE LLC CHIEF INVESTMENT OFFICER direct 1998-11-01
PHOCAS FINANCIAL CORPORATION CEO, PRESIDENT, CFO AND DIRECTOR direct 2005-03-01
BERGER/BAY ISLE LLC OWNER indirect 1989-02-01 2002-02-14
BAY ISLE FINANCIAL LLC PRESIDENT & CIO direct 2001-12-01 2004-12-17
PHOCAS FINANCIAL CORPORATION CEO, PRESIDENT, CFO, CHIEF COMPLIANCE OFFICER AND DIRECTOR direct 2005-03-01 2007-02-12
MURRAY, JAMES, ARCHIE PORTFOLIO MANAGER 03/01/2005 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
PHOCAS FINANCIAL CORPORATION ASSISTANT PORTFOLIO MANAGER direct 2005-03-01
PHOCAS FINANCIAL CORPORATION PORTFOLIO MANAGER direct 2005-03-01
PHOCAS FINANCIAL CORPORATION PORTFOLIO MANAGER AND CHIEF COMPLIANCE OFFICER direct 2005-03-01
PHOCAS FINANCIAL CORPORATION PORTFOLIO MANAGER & CHIEF COMPLIANCE OFFICER direct 2005-03-01
BLOCK, STEPHEN, LEE PORTFOLIO MANAGER 03/01/2006 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
BLOCK CAPITAL LLC PRESIDENT, MEMBER direct 2005-03-01
BLOCK CAPITAL LLC PRESIDENT, MANAGING MEMBER & CHIEF COMPLIANCE OFFICER direct 2005-03-01
PHOCAS FINANCIAL CORPORATION PORTFOLIO MANAGER direct 2006-03-01
CHIU, FRANCES CHIEF COMPLIANCE OFFICER 03/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
ASHFIELD & CO INC CHIEF COMPLIANCE OFFICER direct 2006-11-01
INSIGHT CAPITAL RESEARCH & MANAGEMENT INC CHIEF COMPLIANCE OFFICER direct 2008-05-01
PHOCAS FINANCIAL CORPORATION CHIEF COMPLIANCE OFFICER direct 2009-03-01
ASHFIELD CAPITAL PARTNERS, LLC CHIEF COMPLIANCE OFFICER direct 2006-11-01
GRANGER, KEVIN, FRANCIS PORTOFLIO MANAGER 01/01/2012 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
PHOCAS FINANCIAL CORPORATION PORTOFLIO MANAGER direct 2012-01-01

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