First Wilshire Securities Management, Inc.
● SEC registered since 1980CRD 171971SEC# 801-15260Pasadena, CA
Ranks #4,164 of 6,004 private fund managers by regulatory AUM.
Reg. AUM
$415.5M
Fund GAV
$55.7M
Private funds
2
Employees
9
Accounts
286
Location
Pasadena, CA
First Wilshire Securities Management, Inc. assets under management
First Wilshire Securities Management, Inc. is a registered investment adviser overseen by the SEC based in Pasadena, CA. The firm has been registered since 1980. It reports $415.5 million in regulatory assets under management and employs 9 people. First Wilshire Securities Management, Inc. manages 2 private funds with combined gross assets of $55.7 million, including Lake Street Fund, L.P. By regulatory assets, it ranks 4,164 of 6,004 private fund managers.
First Wilshire Securities Management, Inc. private funds
2 funds · $55.7M GAV| Fund | Type | Gross assets | Min. |
|---|---|---|---|
| Lake Street Fund, L.P. | Hedge | $47.8M | $1M |
| Mount Wilson Global Fund, L.P. | Hedge | $8M | $500K |
First Wilshire Securities Management, Inc. owners & executives
6 reported| Name | Title | Ownership | Since |
|---|---|---|---|
| Howard Haoming Lu Control | President & Ceo | 50-75% | 2019 |
| Nicole Elizabeth Green | Chief Operating Officer | 10-25% | 2018 |
| Nicole Elizabeth Green Control | Chief Compliance Officer | Under 5% | 2020 |
See all 6 owners & executives — unlock the full record.
Join to unlock · $37/moFrequently asked questions
How much does First Wilshire Securities Management, Inc. manage?
First Wilshire Securities Management, Inc. reports $415.5 million in regulatory assets under management on its Form ADV.
How many private funds does First Wilshire Securities Management, Inc. manage?
First Wilshire Securities Management, Inc. manages 2 private funds with combined gross assets of $55.7 million.
How many employees does First Wilshire Securities Management, Inc. have?
First Wilshire Securities Management, Inc. reports 9 employees.
Where is First Wilshire Securities Management, Inc. located?
First Wilshire Securities Management, Inc. is based in Pasadena, CA and has been SEC-registered since 1980.
Does First Wilshire Securities Management, Inc. disclose fund performance?
First Wilshire Securities Management, Inc. is not required to publicly disclose fund returns. Form ADV filings include assets, ownership, and service providers, shown above.
Contact & registration
| Address | 200 South Los Robles Ave., Suite 620, Pasadena, CA 91101 |
| Phone | 626-796-6622 |
| Fax | 626-796-8990 |
| Office hours | 6:00 a.m.-4:00 p.m. |
| SEC region | Los Angeles Regional Office (LARO) |
| CIK | 732847 |
| Discloses disciplinary history | No |
Regulatory AUM
$415.5M▲ 11%
Mar '25Form ADV, monthlyJun '26
How this firm compares
Regulatory AUMTop 53%
Larger than 47% of 16,271 advisers
AUM vs fund managersTop 69%
Larger than 31% of 6,004 private-fund managers
Number of fundsTop 63%
More funds than 37% of fund managers
EmployeesTop 43%
More than 57% of 16,825 advisers
Assets under management
$415.5Mregulatory AUM
Discretionary $415.5M