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Portfolio Manager · First Wilshire Securities Management, Inc.

William A. Caton

CRD 4539052 · Named on Form ADV at one SEC-registered adviser

At a glance

First Wilshire Securities Management, Inc., an SEC-registered wealth manager based in Pasadena, CA with $415 million in regulatory assets, lists William A. Caton on its Form ADV as Portfolio Manager, a control person.

Firms and roles

AtlasMembers

William’s stakes and control

What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.

Ownership stake at the firm
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Control-person status
1 firmLocked
When each role began
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Each firm’s assets and growth
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Colleagues named on the same filings

  • Scott W. HoodChairman & CFO, First Wilshire Securities Management, Inc.
  • Thomas H. HansonS.v.p., First Wilshire Securities Management, Inc.
  • Nicole E. GreenChief Operating Officer, First Wilshire Securities Management, Inc.
  • Howard H. LuPresident & CEO, First Wilshire Securities Management, Inc.

Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For William’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.