William F. Schaff

PHOCAS FINANCIAL

ALAMEDA, CA 94501

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CRD#: 1577475

Professional summary

William Franz Kim Schaff, CFP®, who also goes by Bill Schaff, William Schaff, is a registered financial advisor currently at PHOCAS FINANCIAL CORPORATION located in Alameda, California.

William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. William has worked at 4 firms and has passed the Series 63, Series 65, Series 6 and Series 2 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Bill Schaff | William Schaff

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Franz Kim Schaff's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Experience

Current

January 14, 2009 - Present

PHOCAS FINANCIAL CORPORATION

Office #1: 980 Atlantic Avenue, Suite 106, Alameda, CA 94501

RIA

CRD#: 135470

ALAMEDA, CA

Past

April 4, 2005 - December 31, 2006

ANIRA ADVISORY GROUP, LLC

RIA

CRD#: 127406

GREENBRAE, CA

Past

March 8, 2002 - March 30, 2005

BAY ISLE FINANCIAL LLC

RIA

CRD#: 119026

OAKLAND, CA

Past

April 30, 1997 - September 29, 1999

FIRST FUND DISTRIBUTORS, INC.

CRD#: 27038

PHOENIX, AZ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

PHOCAS FINANCIAL CORPORATION

CRD#: 135470 / SEC#: 801-64317

RIA

Registered Investment Advisory firm - (6/1/2005 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(1/14/2009)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 5/1/1997

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 11/30/1994

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 6

Date: 4/29/1997

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 2

Date: 10/7/1986

Non-Member General Securities Examination

Current Firm

PHOCAS FINANCIAL CORPORATION

CRD#: 135470 / SEC#: 801-64317

RIA

Registered Investment Advisory firm - (6/1/2005 Approved)

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Contact information

Main Address

1080 Marina Village Parkway Suite 520, Alameda, CA 94501-1001

Mailing Address

Phone number

(510) 523-5800

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2025 FORM ADV PART 2 (3/24/2025)

Regulatory assets under management

Total Number of Accounts	40
AUM (Assets Under Management)	$ 793,398,331

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

William F. Schaff

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Franz Kim Schaff's CRS (Customer Relationship Summary).

Certified licenses

Experience

ANIRA ADVISORY GROUP, LLC

BAY ISLE FINANCIAL LLC

FIRST FUND DISTRIBUTORS, INC.

Primary Firm SEC Registration

PHOCAS FINANCIAL CORPORATION

State Registrations and Notice Filings

Exams

Series 63

Date: 5/1/1997

Series 65

Date: 11/30/1994

Series 6

Date: 4/29/1997

Series 2

Date: 10/7/1986

Current Firm

PHOCAS FINANCIAL CORPORATION

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PHOCAS FINANCIAL CORPORATION

TRUST BUT VERIFY

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