William Adam Caton

Employer firm

First Wilshire Securities Management, Inc. CRD 171971

$415M regulatory AUM 284 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (pooled vehicles)
Portfolio management (institutions)

From the firm’s Form ADV. Read the guides:

Current Employers

First Wilshire Securities Management, Inc.

200 South Los Robles Ave. Suite 620, Pasadena, CA 91101 • United States

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2026-08-03
MA	RA	APPROVED	2026-04-23
AZ	RA	APPROVED	2026-04-20
DC	RA	APPROVED	2026-04-17
GA	RA	APPROVED	2026-03-16
NJ	RA	APPROVED	2026-02-03
CO	RA	APPROVED	2026-01-16
CT	RA	APPROVED	2026-01-16
DE	RA	APPROVED	2026-01-16
IL	RA	APPROVED	2026-01-16
KY	RA	APPROVED	2026-01-16
MD	RA	APPROVED	2026-01-16
MI	RA	APPROVED	2026-01-16
MN	RA	APPROVED	2026-01-16
NV	RA	APPROVED	2026-01-16
NH	RA	APPROVED	2026-01-16
NY	RA	APPROVED	2026-01-16
NC	RA	APPROVED	2026-01-16
OH	RA	APPROVED	2026-01-16
OR	RA	APPROVED	2026-01-16
PA	RA	APPROVED	2026-01-16
SC	RA	APPROVED	2026-01-16
TX	RA	APPROVED	2026-01-16
VA	RA	APPROVED	2026-01-16
WA	RA	APPROVED	2026-01-16
CA	RA	APPROVED	2014-09-12

FL RA
APPROVED

Since 2026-08-03
MA RA
APPROVED

Since 2026-04-23
AZ RA
APPROVED

Since 2026-04-20
DC RA
APPROVED

Since 2026-04-17
GA RA
APPROVED

Since 2026-03-16
NJ RA
APPROVED

Since 2026-02-03
CO RA
APPROVED

Since 2026-01-16
CT RA
APPROVED

Since 2026-01-16
DE RA
APPROVED

Since 2026-01-16
IL RA
APPROVED

Since 2026-01-16
KY RA
APPROVED

Since 2026-01-16
MD RA
APPROVED

Since 2026-01-16
MI RA
APPROVED

Since 2026-01-16
MN RA
APPROVED

Since 2026-01-16
NV RA
APPROVED

Since 2026-01-16
NH RA
APPROVED

Since 2026-01-16
NY RA
APPROVED

Since 2026-01-16
NC RA
APPROVED

Since 2026-01-16
OH RA
APPROVED

Since 2026-01-16
OR RA
APPROVED

Since 2026-01-16
PA RA
APPROVED

Since 2026-01-16
SC RA
APPROVED

Since 2026-01-16
TX RA
APPROVED

Since 2026-01-16
VA RA
APPROVED

Since 2026-01-16
WA RA
APPROVED

Since 2026-01-16
CA RA
APPROVED

Since 2014-09-12

Branch Locations

200 South Los Robles Ave. Suite 620, Pasadena, CA 91101 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
First Wilshire Securities Mgmt	Pasadena	CA	03/1998	Present

03/1998 → Present

First Wilshire Securities Mgmt

Pasadena, CA

Previous Registrations

2003-03-25 → 2014-10-28

First Wilshire Securities, Inc.

Pasadena, CA

Pasadena, CA

Other Businesses

Mr. Caton serves as an owner and officer of Lake Street Management, LLC and Mount Wilson Management, LLC, which serve as the general partner to Lake Street Fund, L.P. and Mount Wilson Global Fund, L.P., respectively. These entities are affiliated with First Wilshire Securities Management, Inc. Mr. Caton maintains a controlling ownership interest in the management entities. Less than 10% of Mr. Caton's time is spent on these activities.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2005-08-18

S66 Uniform Combined State Law Examination

2005-08-18

Designations

Certified Financial Planner
Chartered Financial Analyst

View on SEC IAPD