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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

FIRST WILSHIRE SECURITIES MANAGEMENT, INC.

CRD 6609

PASADENA, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:cd0a44cb-ca83-1cae-9d93-0b4b8ee920a9

Data as of May 16, 2014 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:46 PM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 0
On other graphs: 0
Observed: Dec 23, 2011 to May 16, 2014
17 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $755MItem 5.F on the latest filing (2014-05-16); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $755M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 15
Advisory employees: 9
Accounts: 515
Private funds: 2Schedule D 7.B(1)
Private fund GAV: $110Mgross asset value as reported per fund; never fund size
SEC number: 801-
CRD: 6609
Filings on the tape: 17
First filed: Dec 23, 2011
Latest filed: May 16, 2014
Organised: Corporation, California

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
FIRST WILSHIRE SECURITIES MANAGEMENT, INC.	PARENT COMPANY	E	yes	05/2012	Dec 18, 2012	May 16, 2014
HANSON, THOMAS HERBERT	V.P., CHIEF OPERATIONS OFFICER	Na	yes	02/2010	Dec 23, 2011	May 16, 2014
HOOD, SCOTT WILLIAM	PRESIDENT & CEO	E	yes	06/2002	Dec 23, 2011	May 16, 2014
HOOD, SCOTT WILLIAM	PRESIDENT, CEO	Na	yes	06/2002	Dec 23, 2011	May 16, 2014
HOWARD, MITCHELL WAYNE	V.P. COMPLIANCE & OPERATIONS, CCO, FINOP	Na	yes	04/2013	May 6, 2013	May 16, 2014
ZLOCHISTYY, FELIKS	Finop	Na	yes	12/2012	Dec 20, 2012	May 16, 2014

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
FIRST WILSHIRE SECURITIES, INC.	n/a	n/a	n/a	Y	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2013	Dec 26, 2013	$724M	$724M	16	9	n/a	2	$110M
2012	Dec 18, 2012	$592M	$592M	16	9	n/a	2	$85.1M
2011	Dec 23, 2011	$542M	$542M	n/a	n/a	n/a	2	$85.1M

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2013	$755M	$592M	27.5%	n/a	n/a	15	16	n/a	n/a

Relationships

Controls (5)

← HOOD, SCOTT WILLIAMOwnerPRESIDENT & CEO, ownership code E, individual
Dec 23, 2011 to presentfactForm ADV
← HOWARD, MITCHELL WAYNEOwnerV.P. COMPLIANCE & OPERATIONS, CCO, FINOP, ownership code NA, individual
May 6, 2013 to presentfactForm ADV
← ZLOCHISTYY, FELIKSOwnerFINOP, ownership code NA, individual
Dec 20, 2012 to presentfactForm ADV
← HANSON, THOMAS HERBERTOwnerV.P., CHIEF OPERATIONS OFFICER, ownership code NA, individual
Dec 23, 2011 to presentfactForm ADV
← FIRST WILSHIRE SECURITIES MANAGEMENT, INC.OwnerPARENT COMPANY, ownership code E, domestic entity
Dec 18, 2012 to presentfactForm ADV

Registered with (6)

← SCOTT WILLIAM HOODAdvisorregistration: previous registration
Mar 25, 2003 to Oct 28, 2014factForm ADV
← WILLIAM ADAM CATONAdvisorregistration: previous registration
Mar 25, 2003 to Oct 28, 2014factForm ADV
← HOWARD HAOMING LUAdvisorregistration: previous registration
Apr 8, 2005 to Oct 28, 2014factForm ADV
← FELIKS ZLOCHISTYYAdvisorregistration: previous registration
Jun 1, 2006 to Oct 28, 2014factForm ADV
← THOMAS HERBERT HANSONAdvisorregistration: previous registration
Feb 8, 2010 to Oct 28, 2014factForm ADV
← Matthew James DunnAdvisorregistration: previous registration
Feb 17, 2010 to Dec 20, 2012factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cd0a44cb-ca83-1cae-9d93-0b4b8ee920a9
First observed: Dec 23, 2011
Last observed: May 16, 2014 150 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

FIRST WILSHIRE SECURITIES MANAGEMENT, INC.

CRD 6609

PASADENA, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:cd0a44cb-ca83-1cae-9d93-0b4b8ee920a9

Data as of May 16, 2014 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:46 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

FIRST WILSHIRE SECURITIES MANAGEMENT, INC.

PARENT COMPANY

yes

05/2012

Dec 18, 2012

May 16, 2014

HANSON, THOMAS HERBERT

V.P., CHIEF OPERATIONS OFFICER

yes

02/2010

Dec 23, 2011

May 16, 2014

HOOD, SCOTT WILLIAM

PRESIDENT & CEO

yes

06/2002

Dec 23, 2011

May 16, 2014

HOOD, SCOTT WILLIAM

PRESIDENT, CEO

yes

06/2002

Dec 23, 2011

May 16, 2014

HOWARD, MITCHELL WAYNE

V.P. COMPLIANCE & OPERATIONS, CCO, FINOP

yes

04/2013

May 6, 2013

May 16, 2014

ZLOCHISTYY, FELIKS

Finop

yes

12/2012

Dec 20, 2012

May 16, 2014

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

FIRST WILSHIRE SECURITIES, INC.

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2013

Dec 26, 2013

$724M

n/a

$110M

2012

Dec 18, 2012

$592M

n/a

$85.1M

2011

Dec 23, 2011

$542M

n/a

$85.1M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2013

$755M

$592M

27.5%

n/a