Private fund adviser · Wanchai, Hong Kong
Sparx Asia Investment Advisors Limited
SEC-registered investment adviser · CRD 139172 · SEC 801-66037
At a glance
Sparx Asia Investment Advisors Limited is an SEC-registered investment adviser based in Wanchai, Hong Kong, with $13 million in regulatory assets under management as of its Form ADV filed March 30, 2026. Its largest client group by assets is pooled investment vehicles. By Form ADV it is a private fund adviser, ranked 4,649th of 4,686 private fund advisers and 16,262nd of 17,210 SEC-registered advisers by assets.
Main office +85231027500sparxasia.comAs filed on Form ADV
- Regulatory AUM
- $13M
- Rank among private fund advisers
- #4,649 of 4,686
- Rank among all SEC RIAs
- #16,262 of 17,210
- Clients
- 2
- Accounts
- 2
- Discretionary
- 100% of AUM
- Employees
- 17
- Advisory staff
- 4
- Offices
- 1
Owners and executives on its Form ADV
- Takeshi SuzukiChairman and Director
- Tat Hong A. NgDirector, Head of Risk Control and Compliance, Chief Compliance Officer
- Hiroshi MinematsuDirector
- Yusuke FukumotoPresident and Director
Custody and brokerage
Custodian
Sparx Asia Investment Advisors Limited’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.
Broker-dealer
Affiliated broker-dealer
It names an affiliated broker-dealer: Sparx Asset Management Co., LTD..
- Sparx Asset Management Co., LTD. ↗CRD 134747
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Pooled investment vehicles | 2 | $13M | 100% |
Disciplinary disclosures
Sparx Asia Investment Advisors Limited reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for pooled investment vehicles
How it’s paid
- A percentage of assets under management
Form ADV and brochures on the SEC’s adviser search ↗sparxasia.com ↗
AtlasMembers
The full record on Sparx Asia Investment Advisors Limited
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
- Locked
- Growth over one, three and five years
- Locked
- Rank against 68 peers of its type and size
- Locked
- Owners and executives, with titles and stakes
- 4 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Sparx Asia Investment Advisors Limited manage?
Sparx Asia Investment Advisors Limited reports $13 million in regulatory assets under management across 2 accounts, 100% of it on a discretionary basis, on its Form ADV filed March 30, 2026.
What kind of firm is Sparx Asia Investment Advisors Limited?
Sparx Asia Investment Advisors Limited is a private fund adviser by its Form ADV answers. Private funds are at least half of its business by assets.
Who are Sparx Asia Investment Advisors Limited’s clients?
By assets, its largest client types are pooled investment vehicles ($13 million, 2 clients).
Does Sparx Asia Investment Advisors Limited have any disciplinary history?
Sparx Asia Investment Advisors Limited reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Sparx Asia Investment Advisors Limited’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-03-30), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →