FIRST WILSHIRE SECURITIES MANAGEMENT, INC.
Firm details
- Headquarters
- PASADENA, California
- CRD number
- 171971
- Registered since
- May 27, 1980
- Website
- www.firstwilshire.com
- Custodians
- CHARLES SCHWAB & CO., INC.
- Fee structure
- Percentage of AUM, Performance Based Fees
- Client types
- HNWI73.57%
- Pooled Investment Vehicles13.41%
- Individuals5.88%
- Corporations / Businesses5.03%
- Pension & Profit Sharing Plans2.11%
- Services
- Financial PlanningPortfolio Management for IndividualsPortfolio Management for Pooled Investment VehiclesPortfolio Management for Institutional Clients
Firm profile
FINTRXOverview
First Wilshire Securities Management, Inc. is an independent, corporation-style registered investment adviser founded before 1980 and controlled by an individual owner. The firm serves both high-net-worth individuals/families and institutional clients, offering financial planning and discretionary portfolio management across separately managed accounts and pooled investment vehicles. It charges traditional asset-based fees alongside performance-based fees and sponsors/acts as general partner or managing member for pooled funds it operates. The firm does not position itself as an ESG-focused manager and is not classified as a multi-state or capital allocator.
Assets & Accounts
Public Holdings
Investments & Alternatives
Investment profile
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient base
Client personas
Asset composition
- Exchange Traded Equities98%
- Cash & Cash Equivalents2%
Owners & executives
2 of 2HOWARD LU
CEO & Portfolio ManagerCRD 4927988
NICOLE GREEN
Chief Operating OfficerCRD 7052406
Contacts
3 of 4SCOTT HOOD
Chairman & Portfolio ManagerCRD 1788066
FELIKS ZLOCHISTYY
Portfolio ManagerCRD 5138497
WILLIAM CATON
Portfolio ManagerCRD 4539052
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXETF holdings
1 of 27Active vs passive
$103M in ETFs
100%
$103M
0%
$413K
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| ISHARES 0-3 MONTH TREASURY BOND ETF (SGOV) | BlackRock | Passive | Ultrashort Bond | $67.1M | 666,152 | 64.95% |
Location
PASADENA, CA
LOS ANGELES
Location
PASADENA, CA
Headquartered in PASADENA, CA, anchoring the Los Angeles-Long Beach, CA metro in the West.
- Metro area
- Los Angeles-Long Beach, CA
- Region
- West
- County
- LOS ANGELES
- Address
- 200 S Los Robles Ave
- Time zone
- PT (UTC-8)
- Office locations
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