Broker-dealer firm · Tokyo, Japan
Sparx Asset Management Co., LTD.
SEC-registered investment adviser · CRD 134747 · SEC 801-64550
At a glance
Sparx Asset Management Co., LTD. is an SEC-registered investment adviser based in Tokyo, Japan, with $11.7 billion in regulatory assets under management as of its Form ADV filed June 8, 2026. Its largest client group by assets is pooled investment vehicles. By Form ADV it is a broker-dealer firm, ranked 62nd of 391 broker-dealer firms and 1,227th of 17,210 SEC-registered advisers by assets.
Main office +81367119200sparx.co.jpAs filed on Form ADV
- Regulatory AUM
- $12B
- Rank among broker-dealer firms
- #62 of 391
- Rank among all SEC RIAs
- #1,227 of 17,210
- Clients
- 98
- Accounts
- 98
- Discretionary
- 95% of AUM
- Employees
- 145
- Advisory staff
- 35
- Offices
- 1
Owners and executives on its Form ADV
- Shuhei AbePresident and Chief Executive Officer
- Hiroshi MinematsuDirector
- Yusuke InoueChief Compliance Officer
- Takeshi SuzukiDirector
- Takaki DemichiDirector
- Takahide TaniwakiDirector
Custody and brokerage
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Pooled investment vehicles | 69 | $7.6B | 65% |
| State or municipal government entities | 2 | $2.7B | 23% |
| Other | 9 | $584M | 5% |
| Investment companies | 2 | $525M | 4% |
| Pension and profit sharing plans | 15 | $296M | 3% |
| Corporations or other businesses | 1 | $22M | <1% |
Disciplinary disclosures
Sparx Asset Management Co., LTD. reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles
- Portfolio management for businesses and institutions
How it’s paid
- A percentage of assets under management
- Performance-based fees
Form ADV and brochures on the SEC’s adviser search ↗sparx.co.jp ↗
AtlasMembers
The full record on Sparx Asset Management Co., LTD.
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
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- Growth over one, three and five years
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- Rank against 66 peers of its type and size
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- Owners and executives, with titles and stakes
- 6 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
- 1Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Sparx Asset Management Co., LTD. manage?
Sparx Asset Management Co., LTD. reports $11.7 billion in regulatory assets under management across 98 accounts, 95% of it on a discretionary basis, on its Form ADV filed June 8, 2026.
What kind of firm is Sparx Asset Management Co., LTD.?
Sparx Asset Management Co., LTD. is a broker-dealer firm by its Form ADV answers. The firm is itself registered as a broker-dealer as well as an investment adviser.
Who are Sparx Asset Management Co., LTD.’s clients?
By assets, its largest client types are pooled investment vehicles ($7.6 billion, 69 clients); state or municipal government entities ($2.7 billion, 2 clients); other ($584 million, 9 clients).
Does Sparx Asset Management Co., LTD. have any disciplinary history?
Sparx Asset Management Co., LTD. 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 Asset Management Co., LTD.’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 (2026-06-08), 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 →