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William Adam Caton

FIRST WILSHIRE SECURITIES MANAGEMENT, INC.·PASADENA, California
Unclaimed Profile
1214 EAST GREEN STREET, PASADENA, CA 91106-3171CRD# 4539052Firm CRD# 171971
01

About

William Adam Caton is a registered financial advisor based in PASADENA, California, affiliated with FIRST WILSHIRE SECURITIES MANAGEMENT, INC.. This profile is generated from public SEC and FINRA registration data.

02

Focus Areas

Specialties
Financial Planning
Investment Management
Retirement Planning
Wealth Management
Client Types
Individuals
Pension & Retirement Plans
High Net Worth Individuals
03

Firm Overview

Firm
FIRST WILSHIRE SECURITIES MANAGEMENT, INC.
FIRST WILSHIRE SECURITIES MANAGEMENT, INC.
AUM
$329M
Regulatory assets under management
Employees
9
Total firm employees
View all advisors at FIRST WILSHIRE SECURITIES MANAGEMENT, INC. →
Services
Financial planning
Portfolio management (individuals)
Pension consulting
Selection of other advisers
04

Background

Compensation
Percentage of AUM
Performance-based fees
Regulatory
SEC/IARD CRD# 4539052
Firm CRD# 171971
No disclosures on file
View on FINRA BrokerCheck →

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05

Frequently Asked Questions

What services does William Adam Caton offer?
William Adam Caton specializes in Financial Planning, Investment Management, Retirement Planning, Wealth Management. Contact their office in PASADENA, California for a consultation.
What are William Adam Caton's credentials?
William Adam Caton is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
Where is William Adam Caton located?
William Adam Caton is based in PASADENA, California, working with FIRST WILSHIRE SECURITIES MANAGEMENT, INC.. Their office serves clients in the PASADENA metropolitan area and surrounding communities.
How does William Adam Caton charge for services?
William Adam Caton's firm is compensated through percentage of aum, performance-based fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is FIRST WILSHIRE SECURITIES MANAGEMENT, INC.?
FIRST WILSHIRE SECURITIES MANAGEMENT, INC. has approximately 9 employees and manages $329M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
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Other Advisors at FIRST WILSHIRE SECURITIES MANAGEMENT, INC.

Howard Haoming Lu
PASADENA, CA
Feliks Zlochistyy
PASADENA, CA
Scott William Hood
PASADENA, CA
Mitchell Wayne Howard
PASADENA, CA
Nicole Elizabeth Green
PASADENA, CA

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