# FIRST WILSHIRE SECURITIES MANAGEMENT, INC.

FIRST WILSHIRE SECURITIES MANAGEMENT, INC. of PASADENA, CA is an SEC-registered investment adviser.

## Registration

- CRD: 171971
- Type: SEC-registered investment adviser
- SEC file number: 801-15260
- Location: 200 SOUTH LOS ROBLES AVE., SUITE 620, PASADENA, CA, 91101
- Phone: 626-796-6622
- Latest filing: 2026-05-05
- Regulatory AUM: $415.5M
- Discretionary AUM: $415.5M
- Clients: 9
- Accounts: 286

## Business model

- Compensation: % of AUM, Performance
- Clients served: Individuals, High net worth, Pooled vehicles, Investment cos

## Officers, owners & control persons (13)

| Name | Role | Location |
| --- | --- | --- |
| Howard Haoming Lu | PRESIDENT & CEO | Pasadena, CA |
| Scott William Hood | CHAIRMAN & CFO | Pasadena, CA |
| William Adam Caton | PORTFOLIO MANAGER | Pasadena, CA |
| Nicole Elizabeth Green | CHIEF COMPLIANCE OFFICER; CHIEF OPERATING OFFICER | Pasadena, CA |
| Thomas Herbert Hanson | S.V.P. | — |
| HANSON THOMAS HERBERT | S.V.P.; V.P. & CHIEF OPERATING OFFICER | — |
| THORNTON ROBERT LEE | COMPLIANCE OFFICER | — |
| HOOD SCOTT WILLIAM | CHAIRMAN; CHAIRMAN, CCO; PRESIDENT & CEO (+1 more) | — |
| ZLOCHISTYY FELIKS | FINOP | — |
| HOWARD MITCHELL WAYNE | CHIEF COMPLIANCE OFFICER & FINOP | — |
| GREEN NICOLE ELIZABETH | CHIEF COMPLIANCE OFFICER; COO | — |
| LU HOWARD HAOMING | PRESIDENT & CEO | — |
| CATON WILLIAM ADAM | PORTFOLIO MANAGER | — |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/171971/brochure
- Similar advisers: https://search.stillhousedata.com/firm/171971/similar
- Related entities: https://search.stillhousedata.com/firm/171971/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/171971

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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.