Firm profile

Sparx Asset Management Co.., Ltd..

TOKYO, JapanCRD 134747Registration Status: ApprovedEffective since August 16, 2005SEC # 801-64550Latest ADV June 8, 2026

Sparx Asset Management Co., Ltd. is an SEC registered investment adviser organized as a corporation with a primary office location in Tokyo, Japan. Its latest Form ADV filing, dated June 8, 2026, reports $11.7B in regulatory assets under management, 145 employees, 1 office, and 98 accounts.

Assets Under Management
$11.7B
Employees
145
Offices
1 office
Total Clients
98

Associated firm names

1 name listed
  • SPARX ASSET MANAGEMENT CO., LTD.

Leadership

2 roles identified
CEOShuhei Abe
CCOYusuke Inoue

Advisory services offered

3 types reported
Portfolio management for businesses
Portfolio management for investment companies
Portfolio management for pooled investment vehicles

Fee models offered

2 types reported
Asset based fees
Performance-based fees

Offices & Contact

Primary office

TOKYO, Japan

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Primary office regionOther reported regions

Shading shows states and countries with reported offices. Cities are listed below; shading does not indicate service coverage.

Japan

TOKYOPrimary office

1 office records listed · 1 total offices reported. Counts can use different reporting dates. SEC filers may list only their largest 25 additional offices.

Contact and digital presence

ADV profile links

Regulatory Assets Under Management Breakdown

Total regulatory assets under management$11.7Bas of June 8, 2026
Discretionary95.0%
$11.1B
95% of total RAUM95.0%
Non-discretionary5.0%
$584M
5% of total RAUM5.0%
Regulatory assets under management are split between discretionary and non-discretionary assets.

Client Coverage Demographics

Top client segmentPooled Investment Vehicles represent 70.4% of total clients.
Top client categories% of clientsClients
1
Pooled Investment Vehicles
70.4%
69
2
Pension Plans
15.3%
15
3
OTHER THAN (D) INVESTMENT COMPANIES
9.2%
9
4
Investment Cos.
2.0%
2
5
Government
2.0%
2
Categories with <5 clients
Banking or thrift institutions<5 clients
Charitable Organizations<5 clients
Other categories<5 clients

Assets under management Growth by Quarter

Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.

Total AUM$11.7B
Total Accounts98
10Y AUM Change+$5.8B (+96.4%)

Private Funds

Private funds reported by Sparx Asset Management Co.., Ltd..

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Employee Growth by Quarter

Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.

Total Employees145
Clients per Employee1:1
10Y Employee Change+46 (+46.5%)

Historical AUM and employee figures reflect available SEC Form ADV filings under this CRD. Filing gaps may reflect registration status changes, dormant periods, state registration periods, firm restructuring, or other reporting changes. Rialytix does not interpolate missing periods.


Ownership

Reported direct and indirect ownership ranges

Each range applies to a separate reported relationship and should not be added together.

Reported ownership ranges

Highlighted bands show the percentage range reported in Form ADV.

0%25%50%75%100%
SPARX GROUP CO., LTD.Direct owner · Schedule AInterest in SPARX ASSET MANAGEMENT CO., LTD.
75%+
SHUHEI ABEIndirect owner · Schedule BInterest in SPARX GROUP CO., LTD.
25% to < 50%

Bars represent the reported range at that individual ownership step, not an estimated percentage of the advisory firm. Indirect relationships may refer to intermediate entities rather than directly to Sparx Asset Management Co.., Ltd...

Reported ownership and control details

Form ADV · Filing date 2026-06-08 · Schedules A and B

8 entries
#Owner / person & roleInterest in entityReported interestControl personTitle / status acquiredSource
1SHUHEI ABEPRESIDENT AND CHIEF EXECUTIVE OFFICERIndividualSPARX ASSET MANAGEMENT CO., LTD.Less than 5%Code NAYesPRESIDENT AND CHIEF EXECUTIVE OFFICER04/2011Schedule APDF page 26
2SPARX GROUP CO., LTD.SOLE SHAREHOLDERForeign entitySPARX ASSET MANAGEMENT CO., LTD.75% or moreCode EYesSOLE SHAREHOLDER04/2006Schedule APDF page 26
3HIROSHI MINEMATSUDIRECTORIndividualSPARX ASSET MANAGEMENT CO., LTD.Less than 5%Code NAYesDIRECTOR03/2018Schedule APDF page 26
4YUSUKE INOUECHIEF COMPLIANCE OFFICERIndividualSPARX ASSET MANAGEMENT CO., LTD.Less than 5%Code NANoCHIEF COMPLIANCE OFFICER12/2015Schedule APDF page 26
5TAKESHI SUZUKIDIRECTORIndividualSPARX ASSET MANAGEMENT CO., LTD.Less than 5%Code NAYesDIRECTOR06/2024Schedule APDF page 26
6TAKAKI DEMICHIDIRECTORIndividualSPARX ASSET MANAGEMENT CO., LTD.Less than 5%Code NAYesDIRECTOR06/2024Schedule APDF page 26
7TAKAHIDE TANIWAKIDIRECTORIndividualSPARX ASSET MANAGEMENT CO., LTD.Less than 5%Code NAYesDIRECTOR06/2024Schedule APDF page 26
8SHUHEI ABESHAREHOLDERIndividualSPARX GROUP CO., LTD.25% to less than 50%Code CYesSHAREHOLDER06/1989Schedule BPDF page 26

Less than 5% may include zero. Code F identifies a role without specifying a percentage. Reported interests may overlap and may not include every owner. Total indirect ownership is not calculated.

Compliance & Disclosures

Filing dated 6/8/2026 9:46:45 PM

Responses were selected by the RIA in its filing. Questions are shortened for readability; “you” refers to the reporting firm, and some questions also cover advisory affiliates.

RIA or supervised-person involvementThe RIA reported that none of the events below involve the firm or its supervised persons.RIA responseNo
AFelonies2 No

In the past ten years, have you or any advisory affiliate:

  • A1Been convicted of or pleaded guilty or no contest to a felony?No
  • A2Been charged with a felony?No
BMisdemeanors2 No

In the past ten years, have you or any advisory affiliate:

  • B1Been convicted of or pleaded guilty or no contest to a misdemeanor involving investments, an investment-related business, fraud, false statements or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, or extortion?No
  • B2Been charged with a misdemeanor of the kind listed above?No
CSEC or CFTC actions5 No

Has the SEC or CFTC ever:

  • C1Found you or an advisory affiliate made a false statement or omission?No
  • C2Found you or an advisory affiliate violated SEC or CFTC regulations or statutes?No
  • C3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
  • C4Entered an order against you or an advisory affiliate in connection with investment-related activity?No
  • C5Imposed a civil money penalty on you or an advisory affiliate, or ordered you or an advisory affiliate to cease and desist from any activity?No
DOther regulatory actions5 No

Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority ever:

  • D1Found you or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?No
  • D2Found you or an advisory affiliate violated investment-related regulations or statutes?No
  • D3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
  • D4In the past ten years, entered an order against you or an advisory affiliate in connection with investment-related activity?No
  • D5Denied, suspended, or revoked your or an advisory affiliate’s registration or license, or otherwise prevented association with an investment-related business or restricted activities?No
ESelf-regulatory organization actions4 No

Has a self-regulatory organization or commodities exchange ever:

  • E1Found you or an advisory affiliate made a false statement or omission?No
  • E2Found you or an advisory affiliate violated its rules, other than a violation designated as a minor rule violation under an SEC-approved plan?No
  • E3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
  • E4Disciplined you or an advisory affiliate by expulsion, suspension, barring association with other members, or otherwise restricting activities?No
FProfessional authorizations1 No
  • FHas an authorization to act as an attorney, accountant, or federal contractor granted to you or an advisory affiliate ever been revoked or suspended?No
GPending regulatory proceedings1 No
  • GAre you or any advisory affiliate now the subject of a regulatory proceeding that could result in a “Yes” answer to any part of C, D, or E?No
HCivil judicial actions and proceedings4 No

(1) Court actions

Has a domestic or foreign court:

  • H(1)(a)In the past ten years, enjoined you or an advisory affiliate in connection with investment-related activity?No
  • H(1)(b)Found that you or an advisory affiliate violated investment-related statutes or regulations?No
  • H(1)(c)Dismissed, pursuant to a settlement agreement, an investment-related civil action brought against you or an advisory affiliate by a state or foreign financial regulatory authority?No

(2) Pending civil proceedings

  • H(2)Are you or any advisory affiliate now the subject of a civil proceeding that could result in a “Yes” answer to any part of H(1)?No

* Metrics are based on the latest available data, including Form ADV filings, brochures, and relationship summaries pulled from the SEC IAPD, and may be subject to change. Learn what is included in the Rialytix data. Please refer to the firm's official disclosures for the most accurate information using their CRD number. This is not investment advice.