Data / Investment advisers / California / First Wilshire Securities Management, Inc.
First Wilshire Securities Management, Inc., Pasadena, CA: $415 million AUM, SEC registered investment adviser
Updated November 7, 2026. Source: the SEC's Form ADV data files for investment advisers.
First Wilshire Securities Management, Inc. is an SEC registered investment adviser with its main office in Pasadena, California and reports $415 million in regulatory assets under management in its Form ADV filed May 5, 2026. Its clients include high net worth individuals, pooled investment vehicles and individuals. It is paid through a percentage of assets under management and performance based fees. It advises 2 private funds.
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- Registration
- SEC registered investment adviser
- CRD number
- 171971
- SEC file number
- 801-15260
- SEC status
- Approved, effective May 27, 1980
- Main office
- 200 South Los Robles Ave. Suite 620, Pasadena, CA 91101
- Phone
- (626) 796-6622
- Regulatory AUM
- $415,474,414 in the Form ADV filed May 5, 2026
- Discretionary AUM
- $415,474,414
- Accounts
- 286
- Employees
- 9, of which 6 give investment advice
- Form of organization
- Corporation
- Paid through
- a percentage of assets under management, performance based fees
- Private funds
- 2: 2 hedge funds
- Gross assets of private funds
- $55,725,184
- Form ADV Item 11 disclosures
- None reported
- Latest Form ADV filing
- May 5, 2026
- SEC record
- Investment Adviser Public Disclosure
Clients
Client types the adviser reports in Form ADV item 5.D, with the AUM it attributes to each.
| Client type | Clients | AUM |
|---|---|---|
| High net worth individuals | 202 | $305.7 million |
| Pooled investment vehicles | 2 | $55.7 million |
| Individuals (other than high net worth individuals) | 73 | $24.4 million |
| Corporations or other businesses | 5 | $20.9 million |
| Pension and profit sharing plans | 4 | $8.8 million |
AUM in the SEC's monthly files
Each change in the AUM the adviser reported across the monthly SEC files held here, with the first file that shows the new value.
| First in the file of | AUM | Form ADV filed |
|---|---|---|
| April 1, 2026 | $415.5 million | March 27, 2026 |
| December 1, 2025 | $374.9 million | March 28, 2025 |
Other advisers in Pasadena
| Adviser | City | AUM | Private funds | Source |
|---|---|---|---|---|
| Lk&A Investment Counsel | Pasadena | $540.1 million | Not listed | adviserinfo.sec.gov |
| Retirement Wellness Group | Pasadena | $526.6 million | Not listed | adviserinfo.sec.gov |
| Robert L. Bender, Inc. Dba Robert Bender & Associates | Pasadena | $510.9 million | Not listed | adviserinfo.sec.gov |
| Wimmer Associates LLC | Pasadena | $475.9 million | Not listed | adviserinfo.sec.gov |
| The Sterling Group | Pasadena | $471.3 million | Not listed | adviserinfo.sec.gov |
| Kondo Wealth Advisors, Inc | Pasadena | $365.1 million | Not listed | adviserinfo.sec.gov |
| Guinness Atkinson Asset Management, Inc. | Pasadena | $344.4 million | Not listed | adviserinfo.sec.gov |
| Arroyo Investment Group, LLC | Pasadena | $319.5 million | Not listed | adviserinfo.sec.gov |
Also on SpecStream
- Investment advisers in Pasadena, CA
- Investment advisers in California
- Advisers with $100 million to $500 million in AUM
- Advisers serving high net worth individuals
- Advisers serving pooled investment vehicles
- Advisers that manage private funds
- First Wilshire Securities Management, Inc. on the SEC's adviser search
Public data published by the US Securities and Exchange Commission (US government work). Advisers report these values themselves in Form ADV, and neither the SEC nor the states approve or guarantee them. AUM is regulatory assets under management as the adviser reported it in Form ADV item 5.F, which can differ from the AUM a firm quotes elsewhere. Exempt reporting advisers do not report AUM. Office address, phone and website are the adviser's main office as filed; a firm that files its main office as a private residence shows no street address or phone. An Item 11 disclosure is a reported event, not a finding about the firm today. Details for each firm are on the SEC's Investment Adviser Public Disclosure site. This page uses SEC data and is not endorsed or certified by the SEC. Free to reuse with credit to SpecStream under CC BY 4.0. Spot a wrong value? Write to [email protected] with the link to this page.