Sparx Asset Management Co., Ltd.
- Regulatory AUM
- $11.7B
- Discretionary
- $11.1B
- Clients
- 98
- Avg AUM / client
- $120M
- Accounts
- 98
- Employees
- 145
AUM over time
Annual snapshots from Form ADV filings · as of Jun 08, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | Fewer than 5 clients | $0 | — |
| High net worth individuals | Fewer than 5 clients | $0 | — |
| Banking or thrift institutions | Fewer than 5 clients | $0 | — |
| Investment companies | 2 | $525M | 4.48% |
| Pooled investment vehicles (non-investment companies) | 69 | $7.6B | 64.9% |
| Pension and profit sharing plans | 15 | $296M | 2.53% |
| Charitable organizations | Fewer than 5 clients | $0 | — |
| State or municipal government entities | 2 | $2.7B | 22.9% |
| Other investment advisers | Fewer than 5 clients | $0 | — |
| Insurance companies | Fewer than 5 clients | $0 | — |
| Sovereign wealth funds and foreign official institutions | Fewer than 5 clients | $0 | — |
| Corporations and other businesses | 1 | $22.4M | 0.19% |
| Other | 9 | $584M | 4.99% |
People (4)
| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Abe, Shuhei | President And Chief Executive Officer | Jun 1989 (37y) | ≈ 18.75% – 50% via Sparx Group Co., Ltd. | |
| Inoue, Yusuke | Chief Compliance Officer | Dec 2015 (11y) | Less than 5% | |
| Fukami, Masatoshi, (Nmn) | Director | Jun 2017 (9y) | Less than 5% | |
| Minematsu, Hiroshi | Director | Mar 2018 (8y) | Less than 5% |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Sparx Group Co., Ltd. | Sole Shareholder | Apr 2006 | A | 75% or more |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Abe, Shuhei: 25% – 50% of Sparx Group Co., Ltd. × 75% – 100% direct ≈ 18.75% – 50% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 06/08/2026 | 1.24 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Performance-based fees
Services
- • Portfolio management for investment companies
- • Portfolio management for pooled investment vehicles
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- Citibank $2.7B (23% of AUM) Jun 2026
- BNY Mellon $321M (4% of AUM) Dec 2023
- The Master Trust Bank Of Japan, Ltd $263M (3% of AUM) Jun 2025
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jun 08, 2026.
View current Form ADV (SEC/IAPD) ↗