PHOCAS FINANCIAL CORPORATION

Advisory Business

Type of Organization	Corporation
Fiscal Year End	DECEMBER
Legal Location	California, United States

Employees

Total Number of Employees	8
Investment Advisory/Research	4
Registered Broker-Dealer Representatives	0
Registered State Investment Advisers	2
Licensed Agents of an Insurance Company	0
No. of Firms/People that Solicit Clients	0

RAUM

Provides Management of Securities Portfolios	Yes

Type	Accounts	RAUM
Discretionary	69	$795.7M
Non-Discretionary	0	$0
Total	69	$795.7M

Clients

Type	Number	RAUM
Individuals	44	$55.4M
HNW Individuals	8	$5.7M
Banking or thrift institutions	0	$0
Investment companies	1	$19.4M
Business development companies	0	$0
Pooled investment vehicles	1	$37.9M
Pension and profit sharing plans	0	$0
Charitable organizations	2	$5.7M
State or municipal gov entities	13	$671.6M
Other investment advisers	0	$0
Insurance companies	0	$0
Sovereign wealth funds and foreign official institutions	0	$0
Corporations or other businesses	0	$0
Other	0	$0

Type	Number
No. of Non-RAUM Clients	0
No. of Non-U.S. Clients	0
No. of Financial Planning Clients	0

Services

Advisory Services	Portfolio management for individuals and/or small businessesPortfolio management for investment companiesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients
Compensation	% of AUM

Identifiers

SEC RIA File Number	801-64317
SEC ERA File Number	801-64317
SEC CIK Numbers	1356783
SEC CRD Numbers	135470
Legal Entity Identifier	None

Principal Office

1080 MARINA VILLAGE PARKWAY
SUITE 520
ALAMEDA
CA
United States

Websites

Chief Compliance Officer

No. Employees, Historic

RAUM, Historic

No. Clients, Historic