SPARX ASSET MANAGEMENT CO., LTD.
Adviser information for SPARX ASSET MANAGEMENT CO., LTD. last updated from Form ADV on December 20th, 2023. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | MARCH |
| Legal Location | Japan |
Employees
| Total Number of Employees | 134 |
|---|---|
| Investment Advisory/Research | 36 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 86 | $8.4B |
| Non-Discretionary | 5 | $159.9M |
| Total | 91 | $8.6B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | <5 | $0 |
| HNW Individuals | <5 | $0 |
| Banking or thrift institutions | <5 | $0 |
| Investment companies | 2 | $340.5M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 63 | $5.7B |
| Pension and profit sharing plans | 17 | $654.2M |
| Charitable organizations | <5 | $0 |
| State or municipal gov entities | <5 | $1.7B |
| Other investment advisers | <5 | $0 |
| Insurance companies | <5 | $0 |
| Sovereign wealth funds and foreign official institutions | <5 | $0 |
| Corporations or other businesses | <5 | $17.5M |
| Other | 5 | $159.9M |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 93 |
Services
| Advisory Services | Portfolio management for investment companiesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMPerformance-based fees |
| Other Business Activities | Broker-dealer |
Identifiers
| SEC RIA File Number | 801-64550 |
|---|---|
| SEC ERA File Number | 801-64550 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 134747 |
| Legal Entity Identifier | 353800M6E79P33Q5RR92 |
Principal Office
SHINAGAWA SEASON TERRACE 6TH FLOOR,1-2-70,KONAN, MINATO-KU
TOKYO
Japan
Monday - Friday, 8:30 - 5:30
Tel: 813-6711-9200, Fax: 813-6711-9201
Websites
Chief Compliance Officer
YUSUKE INOUE
HEAD OF LEGAL & COMPLIANCE
SHINAGAWA SEASON TERRACE 6TH FLOOR,
1-2-70,KONAN, MINATO-KU
TOKYO
Japan
Tel:
81-3-6711-9106
Fax:
81-3-6711-9201
C**********@*************M
(Full email address available in API data)
Regulatory Contact
AKEMI AKITOMO
SHINAGAWA SEASON TERRACE 6TH FLOOR,
1-2-70,KONAN, MINATO-KU
TOKYO
Japan
Tel:
81-3-6711-9112
Fax:
81-3-6711-9201
C**********@*************M
(Full email address available in API data)
Industry Affiliates
| NOMURA SPARX INVESTMENT INC. | Other investment adviser, including financial planners |
| SPARX AI & TECHNOLOGIES INVESTMENT CO., LTD. | Sponsor, GP, manager of pooled investment vehicles |
| SPARX ASIA CAPITAL MANAGEMENT LIMITED | Sponsor, GP, manager of pooled investment vehicles |
| SPARX ASIA INVESTMENT ADVISORS LIMITED | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| SPARX ASSET MANAGEMENT KOREA CO., LTD | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| SPARX ASSET TRUST & MANAGEMENT CO., LTD. | Other investment adviser, including financial plannersReal estate broker or dealer |
| SPARX GROUP CO., LTD. | Sponsor, GP, manager of pooled investment vehicles |
| SPARX INNOVATION FOR FUTURE CO., LTD. | Sponsor, GP, manager of pooled investment vehicles |
| SPARX OVERSEAS LTD. | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| ABE, SHUHEI | Individual | – | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 04/2011 | < 5% |
| SPARX GROUP CO., LTD. | Foreign Entity | – | SOLE SHAREHOLDER | 04/2006 | > 75% |
| ABE, SHUHEI | Individual | SPARX GROUP CO., LTD. | SHAREHOLDER | 06/1989 | 25-50% |
| FUJIMURA, TADAHIRO | Individual | – | REPRESENTATIVE DIRECTOR | 06/2010 | < 5% |
| FUKAMI, MASATOSHI | Individual | – | REPRESENTATIVE DIRECTOR | 06/2017 | < 5% |
| MINEMATSU, HIROSHI | Individual | – | DIRECTOR | 03/2018 | < 5% |
| INOUE, YUSUKE | Individual | – | CHIEF COMPLIANCE OFFICER | 12/2015 | < 5% |