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RIA / WealthRegistered adviserasset managerSEC registeredRAUM under $100M

SPARX ASIA INVESTMENT ADVISORS LIMITED

CRD 139172

WANCHAI

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:e54892fd-bbfb-f7ed-a4fd-e28bc22d6b40

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:58 AM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 7
On other graphs: 0
Observed: Mar 26, 2012 to Mar 30, 2026
21 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=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=0.0
Regulatory AUM: $13.3MItem 5.F on the latest filing (2026-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $13.3M
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: 17
Advisory employees: 4
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 2
Custody, client assets: $0
SEC number: 801-66037
CRD: 139172
Filings on the tape: 21
First filed: Mar 26, 2012
Latest filed: Mar 30, 2026
Organised: Corporation
Website: sparxasia.com

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 30, 2023	Mar 27, 2024
Fukumoto, Yusuke	PRESIDENT AND DIRECTOR	Na	yes	04/2023	Mar 27, 2024	Mar 27, 2024
MINEMATSU, HIROSHI, (NMN)	Director	Na	yes	05/2016	Mar 30, 2023	Mar 27, 2024
NG, TAT HONG, ALAN	DIRECTOR, HEAD OF RISK CONTROL AND COMPLIANCE, CHIEF COMPLIANCE OFFICER	Na	yes	11/2014	Mar 24, 2015	Mar 27, 2024
SPARX ASIA CAPITAL MANAGEMENT LIMITED	SOLE SHAREHOLDER	E	yes	04/2002	Mar 26, 2012	Mar 27, 2024
SPARX GROUP CO., LTD.	Shareholder	E	yes	09/2009	Mar 26, 2012	Mar 27, 2024
SUZUKI, TAKESHI	CHAIRMAN AND DIRECTOR	Na	yes	04/2021	Mar 24, 2015	Mar 27, 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 ASSET MANAGEMENT CO., LTD.	n/a	Asset manager	$12B	N	yes	n/a
SPARX ASIA CAPITAL MANAGEMENT LIMITED	n/a	n/a	n/a	Y	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
SPARX MIRAI CREATION INVESTMENTS III LIMITED	n/a	n/a	n/a	N	yes	n/a
SPARX MIRAI CREATION INVESTMENTS LIMITED	n/a	n/a	n/a	N	yes	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
2025	Mar 30, 2026	$13.3M	$13.3M	17	4	0	n/a	n/a
2024	Mar 26, 2025	$11.6M	$11.6M	18	4	0	n/a	n/a
2023	Mar 27, 2024	$144M	$144M	19	5	0	n/a	n/a
2022	Mar 30, 2023	$132M	$128M	19	6	0	n/a	n/a
2021	Mar 19, 2022	$70.9M	$58.2M	19	6	0	n/a	n/a
2020	Mar 16, 2021	$83.4M	$70.6M	19	6	0	n/a	n/a
2019	Mar 28, 2020	$88.5M	$40.3M	19	6	0	n/a	n/a
2018	Mar 28, 2019	$180M	$136M	19	6	0	n/a	n/a
2017	Mar 20, 2018	$90.4M	$90.4M	18	6	0	n/a	n/a
2016	Mar 24, 2017	$170M	$170M	17	5	n/a	n/a	n/a
2015	Mar 28, 2016	$222M	$222M	17	6	n/a	n/a	n/a
2014	Mar 24, 2015	$154M	$154M	20	6	n/a	n/a	n/a
2013	Mar 24, 2014	$393M	$393M	26	9	n/a	n/a	n/a
2012	Apr 1, 2013	$767M	$767M	25	8	n/a	n/a	n/a
2011	Mar 26, 2012	$591M	$591M	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
2025	$13.3M	$11.6M	14.0%	$132M	-53.5%	17	18	0	0

Relationships

Affiliated with (4)

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

Controls (7)

← ABE, SHUHEIOwnerSHAREHOLDER, ownership code C, individual
Mar 30, 2023 to Mar 27, 2024factForm ADV
← SPARX ASIA CAPITAL MANAGEMENT LIMITEDOwnerSOLE SHAREHOLDER, ownership code E, foreign entity
Mar 26, 2012 to Mar 27, 2024factForm ADV
← SUZUKI, TAKESHIOwnerCHAIRMAN AND DIRECTOR, ownership code NA, individual
Mar 24, 2015 to Mar 27, 2024factForm ADV
← MINEMATSU, HIROSHI, (NMN)OwnerDIRECTOR, ownership code NA, individual
Mar 30, 2023 to Mar 27, 2024factForm ADV
← NG, TAT HONG, ALANOwnerDIRECTOR, HEAD OF RISK CONTROL AND COMPLIANCE, CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 24, 2015 to Mar 27, 2024factForm ADV
← Fukumoto, YusukeOwnerPRESIDENT AND DIRECTOR, ownership code NA, individual
Mar 27, 2024 to Mar 27, 2024factForm ADV
← SPARX GROUP CO., LTD.OwnerSHAREHOLDER, ownership code E, foreign entity
Mar 26, 2012 to Mar 27, 2024factForm ADV

Dated events

Occurred
Mar 26, 2025
Regulatory AUM changed
Sparx Asia Investment Advisors Limited reported RAUM $11.6M, down 92% from $144.4M (2024-03-27 to 2025-03-26)
Form ADVobserved 6 days ago
$-133M
Occurred
Mar 27, 2024
Control person left
Fumihito Akiyama (Director) no longer on Schedule A of Sparx Asia Investment Advisors Limited (listed 2023-10-31, absent 2024-03-27)
Form ADVobserved 6 days ago
Occurred
Mar 27, 2024
Control person left
Tadahiro Fujimura (Director) no longer on Schedule A of Sparx Asia Investment Advisors Limited (listed 2023-10-31, absent 2024-03-27)
Form ADVobserved 6 days ago
Occurred
Mar 27, 2024
Control person joined
Yusuke Fukumoto (President And Director) appeared on Schedule A of Sparx Asia Investment Advisors Limited
Form ADVobserved 6 days ago
Occurred
Mar 30, 2023
Control person left
Hiroshi Minematsu (Director) no longer on Schedule A of Sparx Asia Investment Advisors Limited (listed 2022-03-19, absent 2023-03-30)
Form ADVobserved 6 days ago
Occurred
Mar 30, 2023
Control person joined
(Nmn) Hiroshi Minematsu (Director) appeared on Schedule A of Sparx Asia Investment Advisors Limited
Form ADVobserved 6 days ago
Occurred
Oct 2, 2019
Control person left
Hideo Brian Morikuni (Director) no longer on Schedule A of Sparx Asia Investment Advisors Limited (listed 2019-03-28, absent 2019-10-02)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e54892fd-bbfb-f7ed-a4fd-e28bc22d6b40
First observed: Mar 26, 2012
Last observed: Mar 30, 2026 5 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 ASIA INVESTMENT ADVISORS LIMITED

CRD 139172

WANCHAI

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:e54892fd-bbfb-f7ed-a4fd-e28bc22d6b40

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:58 AM 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 30, 2023

Mar 27, 2024

Fukumoto, Yusuke

PRESIDENT AND DIRECTOR

yes

04/2023

Mar 27, 2024

MINEMATSU, HIROSHI, (NMN)

Director

yes

05/2016

Mar 30, 2023

Mar 27, 2024

NG, TAT HONG, ALAN

DIRECTOR, HEAD OF RISK CONTROL AND COMPLIANCE, CHIEF COMPLIANCE OFFICER

yes

11/2014

Mar 24, 2015

Mar 27, 2024

SPARX ASIA CAPITAL MANAGEMENT LIMITED

SOLE SHAREHOLDER

yes

04/2002

Mar 26, 2012

Mar 27, 2024

SPARX GROUP CO., LTD.

Shareholder

yes

09/2009

Mar 26, 2012

Mar 27, 2024

SUZUKI, TAKESHI

CHAIRMAN AND DIRECTOR

yes

04/2021

Mar 24, 2015

Mar 27, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

SPARX ASSET MANAGEMENT CO., LTD.

n/a

Asset manager

$12B

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

SPARX MIRAI CREATION INVESTMENTS III LIMITED

n/a

yes

n/a

SPARX MIRAI CREATION INVESTMENTS LIMITED

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 30, 2026

$13.3M

n/a

2024

Mar 26, 2025

$11.6M

n/a

2023

Mar 27, 2024

$144M

n/a

2022

Mar 30, 2023

$132M

$128M

n/a

2021

Mar 19, 2022

$70.9M

$58.2M

n/a

2020

Mar 16, 2021

$83.4M

$70.6M

n/a

2019

Mar 28, 2020

$88.5M

$40.3M

n/a

2018

Mar 28, 2019

$180M

$136M

n/a

2017

Mar 20, 2018

$90.4M

n/a

2016

Mar 24, 2017

$170M

n/a

2015

Mar 28, 2016

$222M

n/a

2014

Mar 24, 2015

$154M

n/a

2013

Mar 24, 2014

$393M

n/a

2012

Apr 1, 2013

$767M

n/a

2011

Mar 26, 2012

$591M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$13.3M

$11.6M

14.0%

$132M

-53.5%