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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 10b 100b

SPARX ASSET MANAGEMENT CO., LTD.

CRD 134747

TOKYO

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:a3d1d60f-4ee3-e949-58f4-f6e1082eeae3

Data as of Jun 8, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:30 PM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 4
On other graphs: 0
Observed: Mar 12, 2012 to Jun 8, 2026
19 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: asset managerderivedprivate_client_share=0.0 fund_share=0.69 institutional_share=0.25 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $12BItem 5.F on the latest filing (2026-06-08); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $11B
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 145
Advisory employees: 35
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 98
SEC number: 801-64550
CRD: 134747
Filings on the tape: 19
First filed: Mar 12, 2012
Latest filed: Jun 8, 2026
Organised: Corporation
Website: sparx.co.jp

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
ABE, SHUHEI	Shareholder	C	yes	06/1989	Mar 12, 2012	Jun 20, 2024
ABE, SHUHEI	PRESIDENT AND CHIEF EXECUTIVE OFFICER	Na	yes	04/2011	Mar 12, 2012	Jun 20, 2024
FUKAMI, MASATOSHI, (NMN)	Director	Na	yes	06/2017	Mar 12, 2012	Jun 20, 2024
MINEMATSU, HIROSHI	Director	Na	yes	03/2018	Jun 16, 2014	Jun 20, 2024
SPARX GROUP CO., LTD.	SOLE SHAREHOLDER	E	yes	04/2006	Mar 12, 2012	Jun 20, 2024
INOUE, YUSUKE	CHIEF COMPLIANCE OFFICER	Na	no	12/2015	Jun 25, 2018	Jun 20, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
SPARX ASIA INVESTMENT ADVISORS LIMITED	n/a	Asset manager	$13.3M	N	yes	n/a
NOMURA SPARX INVESTMENT INC.	n/a	n/a	n/a	N	yes	n/a
SPARX AI & TECHNOLOGIES INVESTMENT CO., LTD.	n/a	n/a	n/a	N	yes	n/a
SPARX ASIA CAPITAL MANAGEMENT LIMITED	n/a	n/a	n/a	N	yes	n/a
SPARX ASSET MANAGEMENT KOREA CO., LTD	n/a	n/a	n/a	N	yes	n/a
SPARX ASSET TRUST & MANAGEMENT CO., LTD.	n/a	n/a	n/a	N	yes	n/a
SPARX GROUP CO., LTD.	n/a	n/a	n/a	Y	no	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2024	Jun 20, 2024	$10B	$10B	144	37	0	n/a	n/a
2023	Jun 26, 2023	$8.6B	$8.4B	134	36	0	n/a	n/a
2022	Jun 13, 2022	$10.0B	$9.8B	137	34	0	n/a	n/a
2021	Jun 24, 2021	$11B	$11B	135	35	0	n/a	n/a
2020	Jun 22, 2020	$8.1B	$7.9B	126	30	0	n/a	n/a
2019	Jun 17, 2019	$8.5B	$8.3B	114	31	0	n/a	n/a
2018	Jun 25, 2018	$8.9B	$8.7B	99	30	0	n/a	n/a
2017	Jun 26, 2017	$6.0B	$5.8B	99	26	n/a	n/a	n/a
2016	Jun 27, 2016	$5.6B	$5.4B	95	21	n/a	n/a	n/a
2015	Jun 18, 2015	$4.3B	$4.1B	73	19	n/a	n/a	n/a
2014	Jun 16, 2014	$3.3B	$3.3B	78	21	n/a	n/a	n/a
2013	Jun 17, 2013	$2.9B	$2.9B	75	19	n/a	n/a	n/a
2012	Jul 3, 2012	$3.0B	$3.0B	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2024	$12B	$8.6B	36.9%	$11B	1.6%	145	134	0	0

Relationships

Affiliated with (4)

→ SPARX ASIA INVESTMENT ADVISORS LIMITEDRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
← SPARX ASIA INVESTMENT ADVISORS LIMITEDRegistered adviserother investment adviser, broker-dealer, pooled vehicle sponsor, common control
factForm ADV
← SPARX CAPITAL INVESTMENTS, INC.Registered adviserother investment adviser, broker-dealer, common control
factForm ADV
← SPARX ASSET MANAGEMENT KOREA CO., LTDRegistered adviserother investment adviser, common control
factForm ADV

Controls (4)

← ABE, SHUHEIOwnerSHAREHOLDER, ownership code C, individual
Mar 12, 2012 to Jun 20, 2024factForm ADV
← FUKAMI, MASATOSHI, (NMN)OwnerDIRECTOR, ownership code NA, individual
Mar 12, 2012 to Jun 20, 2024factForm ADV
← MINEMATSU, HIROSHIOwnerDIRECTOR, ownership code NA, individual
Jun 16, 2014 to Jun 20, 2024factForm ADV
← SPARX GROUP CO., LTD.OwnerSOLE SHAREHOLDER, ownership code E, foreign entity
Mar 12, 2012 to Jun 20, 2024factForm ADV

Owns (1)

← INOUE, YUSUKEOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jun 25, 2018 to Jun 20, 2024factForm ADV

Dated events

Occurred
Jun 20, 2024
Control person left
Tadahiro Fujimura (Representative Director) no longer on Schedule A of Sparx Asset Management Co., Ltd. (listed 2023-12-20, absent 2024-06-20)
Form ADVobserved 5 days ago
Occurred
Jun 13, 2022
Control person left
Shinji Naito (Director) no longer on Schedule A of Sparx Asset Management Co., Ltd. (listed 2021-06-24, absent 2022-06-13)
Form ADVobserved 5 days ago
Occurred
Jun 24, 2021
Regulatory AUM changed
Sparx Asset Management Co., Ltd. reported RAUM $11.2B, up 37% from $8.1B (2020-06-22 to 2021-06-24)
Form ADVobserved 5 days ago
$3.0B
Occurred
Jun 25, 2018
Regulatory AUM changed
Sparx Asset Management Co., Ltd. reported RAUM $8.9B, up 50% from $6.0B (2017-06-26 to 2018-06-25)
Form ADVobserved 5 days ago
$3.0B

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a3d1d60f-4ee3-e949-58f4-f6e1082eeae3
First observed: Mar 12, 2012
Last observed: Jun 8, 2026 3 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

SPARX ASSET MANAGEMENT CO., LTD.

CRD 134747

TOKYO

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:a3d1d60f-4ee3-e949-58f4-f6e1082eeae3

Data as of Jun 8, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:30 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ABE, SHUHEI

Shareholder

yes

06/1989

Mar 12, 2012

Jun 20, 2024

ABE, SHUHEI

PRESIDENT AND CHIEF EXECUTIVE OFFICER

yes

04/2011

Mar 12, 2012

Jun 20, 2024

FUKAMI, MASATOSHI, (NMN)

Director

yes

06/2017

Mar 12, 2012

Jun 20, 2024

MINEMATSU, HIROSHI

Director

yes

03/2018

Jun 16, 2014

Jun 20, 2024

SPARX GROUP CO., LTD.

SOLE SHAREHOLDER

yes

04/2006

Mar 12, 2012

Jun 20, 2024

INOUE, YUSUKE

CHIEF COMPLIANCE OFFICER

12/2015

Jun 25, 2018

Jun 20, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

SPARX ASIA INVESTMENT ADVISORS LIMITED

n/a

Asset manager

$13.3M

yes

n/a

NOMURA SPARX INVESTMENT INC.

n/a

yes

n/a

SPARX AI & TECHNOLOGIES INVESTMENT CO., LTD.

n/a

yes

n/a

SPARX ASIA CAPITAL MANAGEMENT LIMITED

n/a

yes

n/a

SPARX ASSET MANAGEMENT KOREA CO., LTD

n/a

yes

n/a

SPARX ASSET TRUST & MANAGEMENT CO., LTD.

n/a

yes

n/a

SPARX GROUP CO., LTD.

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2024

Jun 20, 2024

$10B

144

n/a

2023

Jun 26, 2023

$8.6B

$8.4B

134

n/a

2022

Jun 13, 2022

$10.0B

$9.8B

137

n/a

2021

Jun 24, 2021

$11B

135

n/a

2020

Jun 22, 2020

$8.1B

$7.9B

126

n/a

2019

Jun 17, 2019

$8.5B

$8.3B

114

n/a

2018

Jun 25, 2018

$8.9B

$8.7B

n/a

2017

Jun 26, 2017

$6.0B

$5.8B

n/a

2016

Jun 27, 2016

$5.6B

$5.4B

n/a

2015

Jun 18, 2015

$4.3B

$4.1B

n/a

2014

Jun 16, 2014

$3.3B

n/a

2013

Jun 17, 2013

$2.9B

n/a

2012

Jul 3, 2012

$3.0B

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2024

$12B

$8.6B

36.9%

$11B

1.6%

145

134