DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
F•••• W••••••• S••••••••• M••••••••• I•••
Latest filing May 5, 2026
First filing on the tape Jul 7, 2014 · 31 filings
SEC status approved since May 27, 1980
RAUM
$415M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
79%
$330M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$83.1M
derived; firm RAUM over IAPD count
Employees
9
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$415M as of May 5, 2026
Dec 23, 2014$649M then
HNW client RAUM$306M as of May 5, 2026
Mar 24, 2018$166M then
State-registered IARs (5.B.3)5 as of May 5, 2026
Dec 23, 20147 then
Employees (5.A)9 as of May 5, 2026
Dec 23, 201415 then
Private funds2 as of May 5, 2026
Dec 23, 20142 then
RAUM +11% over the last fiscal year+11% a year over threeIARs 5 to 5
Practice profile
derived from the filing of May 5, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $83.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 55derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $1.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.6%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$306M74%
- Pooled investment vehicles$55.7M13%
- Individuals$24.4M5.9%
- Corporations and businesses$20.9M5.0%
- Pension and profit-sharing plans$8.8M2.1%
- Individual clients
- 73reported
- HNW clients
- 202reported
- Pension plan clients
- 4reported
- Charitable clients
- n/areported
- Accounts
- 286reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.79 fund_share=0.13 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W•••••• A••• C••••Certified Financial Planner, Chartered Financial Analyst | Pasadena, Ca | Sep 12, 2014 | 28 y | 1 |
| H••••• H•••••• L•Certified Financial Planner, Chartered Financial Analyst | Pasadena, Ca | Sep 12, 2014 | 21 y | 1 |
| F••••• Z•••••••••Certified Financial Planner, Chartered Financial Analyst | Pasadena, Ca | Sep 12, 2014 | 20 y | 1 |
| S•••• W•••••• H•••Certified Financial Planner, Chartered Financial Analyst | Pasadena, Ca | Sep 12, 2014 | 34 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| L••• S••••• F•••• L••• | Hedge Fund | $38.9M | 25 | Dec 23, 2011 |
| M•••• W••••• G••••• F•••• L••• | Hedge Fund | $6.8M | 21 | Dec 23, 2011 |
Owners and control persons
Schedule A and B, latest filing
- C••••• W••••••• A••• · Portfolio Managercontrolsince 07/2019 · owns 10% to 25%
- G••••• N•••••• E•••••••• · Chief Compliance Officercontrolsince 06/2020 · owns less than 5%
- H•••••• T•••••• H•••••• · S.V.P.controlsince 02/2010 · owns less than 5%
- H•••• S••••• W•••••• · Chairmancontrolsince 07/2019 · owns 25% to 50%
- L•• H•••••• H•••••• · President & Ceocontrolsince 07/2019 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Pasadena, Ca · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 281 to 286Mar 28, 2025 to Mar 27, 2026
- HNW clients · 199 to 202Mar 28, 2025 to Mar 27, 2026
- Individual clients · 69 to 73Mar 28, 2025 to Mar 27, 2026
- Pension plan clients · 6 to 4Mar 28, 2025 to Mar 27, 2026
- Discretionary RAUM · $375M to $415MMar 28, 2025 to Mar 27, 2026
- HNW RAUM · $282M to $306MMar 28, 2025 to Mar 27, 2026
- Individual RAUM · $17.0M to $24.4MMar 28, 2025 to Mar 27, 2026
- Pension RAUM · $9.4M to $8.8MMar 28, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $49.1M to $55.7MMar 28, 2025 to Mar 27, 2026
- RAUM · $375M to $415MMar 28, 2025 to Mar 27, 2026
- Accounts · 279 to 281Jul 16, 2024 to Mar 28, 2025
- Corporate clients · 4 to 5Jul 16, 2024 to Mar 28, 2025
- HNW clients · 193 to 199Jul 16, 2024 to Mar 28, 2025
- Individual clients · 74 to 69Jul 16, 2024 to Mar 28, 2025
- Financial planning clients · 1-10 to 1-10Jul 16, 2024 to Mar 28, 2025
- Discretionary RAUM · $329M to $375MJul 16, 2024 to Mar 28, 2025
- HNW RAUM · $246M to $282MJul 16, 2024 to Mar 28, 2025
- Individual RAUM · $14.7M to $17.0MJul 16, 2024 to Mar 28, 2025
- Pension RAUM · $8.4M to $9.4MJul 16, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $45.7M to $49.1MJul 16, 2024 to Mar 28, 2025
- RAUM · $329M to $375MJul 16, 2024 to Mar 28, 2025
- Accounts · 274 to 279Mar 28, 2023 to Mar 26, 2024
- Advisory employees · 7 to 6Mar 28, 2023 to Mar 26, 2024
- HNW clients · 184 to 193Mar 28, 2023 to Mar 26, 2024
- Individual clients · 79 to 74Mar 28, 2023 to Mar 26, 2024
- Pension plan clients · 5 to 6Mar 28, 2023 to Mar 26, 2024
- Employees · 11 to 9Mar 28, 2023 to Mar 26, 2024
- Discretionary RAUM · $307M to $329MMar 28, 2023 to Mar 26, 2024
- HNW RAUM · $231M to $246MMar 28, 2023 to Mar 26, 2024
- Individual RAUM · $13.6M to $14.7MMar 28, 2023 to Mar 26, 2024
- Pension RAUM · $6.3M to $8.4MMar 28, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $43.7M to $45.7MMar 28, 2023 to Mar 26, 2024
- RAUM · $307M to $329MMar 28, 2023 to Mar 26, 2024
- Accounts · 271 to 274Mar 30, 2022 to Mar 28, 2023
- Corporate clients · 5 to 4Mar 30, 2022 to Mar 28, 2023
- HNW clients · 185 to 184Mar 30, 2022 to Mar 28, 2023
- Individual clients · 78 to 79Mar 30, 2022 to Mar 28, 2023
- Pension plan clients · 1 to 5Mar 30, 2022 to Mar 28, 2023
- Financial planning clients · 0 to 1-10Mar 30, 2022 to Mar 28, 2023
- Discretionary RAUM · $359M to $307MMar 30, 2022 to Mar 28, 2023
Signals
3 dated events
- Haoming Howard Lu (President & Ceo) appeared on Schedule A of F•••• W••••••• S••••••••• M••••••••• I•••Aug 21, 2019 · Control person joined · fact
- Adam William Caton (Portfolio Manager) appeared on Schedule A of F•••• W••••••• S••••••••• M••••••••• I•••Aug 21, 2019 · Control person joined · fact
- F••••• Z••••••••• (Finop) no longer on Schedule A of F•••• W••••••• S••••••••• M••••••••• I••• (listed 2018-12-18, absent 2019-03-25)Mar 25, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- info@firstwilshire.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 626-796-6622reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- F••••W•••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 626-796-6622reportedpublic record, Form ADV, May 5, 2026
- Contact form
- firstwilshire.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- firstwilshire.com/teamreportedpublished by the firm, firm site, Sep 15, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $83.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026