Clients
Sparx Asset Management serves 98 clients, 69 of them pooled investment vehicles. The average client has about $120 million with the firm.
- Investment companies2 clients4%
- Pooled investment vehicles69 clients65%
- Pension and profit-sharing plans15 clients3%
- State or municipal government entities2 clients23%
- Other9 clients5%
- Corporations and other businesses1 clients0%
Show client breakdownHide client breakdown
| Client type | Clients | Regulatory AUM | Share | Avg. per client |
|---|---|---|---|---|
| Investment companies | 2 | $524,694,471 | 4.5% | $262.3M |
| Pooled investment vehicles | 69 | $7,604,050,537 | 64.9% | $110.2M |
| Pension and profit-sharing plans | 15 | $295,968,064 | 2.5% | $19.7M |
| State or municipal government entities | 2 | $2,682,821,993 | 22.9% | $1.34B |
| Corporations and other businesses | 1 | $22,393,902 | 0.2% | $22.4M |
| Other | 9 | $583,982,928 | 5.0% | $64.9M |
| Total | 98 | $11,713,911,895 | 100% | $119.5M |
- Clients
- 2
- Regulatory AUM
- $524,694,471
- Share
- 4.5%
- Avg. per client
- $262.3M
- Clients
- 69
- Regulatory AUM
- $7,604,050,537
- Share
- 64.9%
- Avg. per client
- $110.2M
- Clients
- 15
- Regulatory AUM
- $295,968,064
- Share
- 2.5%
- Avg. per client
- $19.7M
- Clients
- 2
- Regulatory AUM
- $2,682,821,993
- Share
- 22.9%
- Avg. per client
- $1.34B
- Clients
- 1
- Regulatory AUM
- $22,393,902
- Share
- 0.2%
- Avg. per client
- $22.4M
- Clients
- 9
- Regulatory AUM
- $583,982,928
- Share
- 5.0%
- Avg. per client
- $64.9M
Total
- Clients
- 98
- Regulatory AUM
- $11,713,911,895
- Share
- 100%
- Avg. per client
- $119.5M
What it does
Sparx Asset Management provides portfolio management for investment companies, portfolio management for pooled vehicles and portfolio management for institutions. It is paid through a percentage of assets and performance-based fees.
Sparx Asset Management advises no private funds.
95.0% of assets ($11.13B across 89 accounts) are managed with discretion; $584.0M across 9 accounts are not. 92% of clients are outside the U.S., and 0 clients received advice without assets under management last fiscal year.
What the accounts hold
- Stocks93%
- Funds4%
- Cash3%
Custodians
Sparx Asset Management’s client accounts are held mainly at Citibank N.A., with 23% of managed assets. Sparx Asset Management does not have custody of client assets.
- Citibank N.A.Citibank N.A. · Ny, NY · $2.68B23%
- All other custodians$9.03B77%
Ownership and leadership
Sparx Group Co., LTD. owns 75% or more of Sparx Asset Management, and Shuhei Abe is its CEO.
- Owns 75% or more of Sparx Asset Management Co., LTD.
Sparx Group Co., LTD.
Control person · since April 2006
- Owns 25% to 50% of Sparx Group Co., LTD.
Shuhei Abe
Control person · since June 1989
Leadership
- Shuhei AbePresident and Chief Executive Officer
- Yusuke InoueChief Compliance Officer
- Takaki DemichiDirector
- Hiroshi MinematsuDirector
- Takeshi SuzukiDirector
- Takahide TaniwakiDirector
Staff
- 145 employees
- 35 in advisory functions
Fees
Sparx Asset Management is paid through a percentage of assets under management and performance-based fees.
Sparx Asset Management’s fee rates are not included in this profile. Find its brochure on the SEC’s site.
Offices and registrations
Besides its headquarters, Sparx Asset Management has 0 offices, with 1 listed address with no US state reported.
Registration details
- Legal name
- Sparx Asset Management Co., LTD.
- Headquarters
- Shinagawa Season Terrace 6th Floor,, 1-2-70,konan, Minato-Ku, Tokyo, Japan 108-0075
- Phone
- 81367119200
- Website
- Not reported
- SEC file
- 801-64550
- Structure
- corporation organized in Japan
- Fiscal year end
- March
This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. See this firm's record on adviserinfo.sec.gov
Common questions
How many clients does Sparx Asset Management have?
Sparx Asset Management has 98 clients and manages $11.7 billion for them, as of June 2026. They include 69 pooled investment vehicles, 15 pension and profit-sharing plans and 9 other clients.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 8 June 2026
What services does Sparx Asset Management offer?
Sparx Asset Management provides portfolio management for investment companies, portfolio management for pooled vehicles and portfolio management for institutions.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
Which custodians does Sparx Asset Management use?
Sparx Asset Management’s separately managed account assets are held at Citibank N.A. (Ny, NY), with $2,682,821,993. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 8 June 2026
How many financial advisors does Sparx Asset Management have?
Sparx Asset Management has 0 investment adviser representatives registered with state securities authorities, out of 145 employees, and 35 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Sparx Asset Management invest in?
At the end of its last fiscal year, Sparx Asset Management’s separately managed accounts held 93% exchange-traded equities, 4% pooled vehicles (private funds and similar) and 3% cash and equivalents. It advises no private funds of its own.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Sparx Asset Management?
Sparx Asset Management is owned through a holding company by Shuhei Abe. Its direct owner is Sparx Group Co., LTD. (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 8 June 2026
How does Sparx Asset Management get paid?
Sparx Asset Management is paid through a percentage of assets under management and performance-based fees. Its Form ADV lists no commissions among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file