Sparx Asset Management Co, Ltd.

RIASEC RegisteredEst. 2005

Total AUM

$11.7B

Discretionary

$11.1B

95% of AUM

Avg account

$120M

Accounts

Employees

145

Advisory reps

Firm details

Headquarters: Tokyo,
CRD number: 134747
Registered since: August 16, 2005
Website: www.arabesque.com
Custodians: CITI PRIVATE BANK
Fee structure: Percentage of AUM, Performance Based Fees
Client types: Pooled Investment Vehicles64.91%
State / Municipal Government22.9%
Other4.99%
Investment Companies4.48%
Pension & Profit Sharing Plans2.53%
Services: Portfolio Management for Investment CompaniesPortfolio Management for Pooled Investment VehiclesPortfolio Management for Institutional Clients

Firm profile

FINTRX

Overview

Sparx Asset Management Co., Ltd. is a corporate investment adviser that primarily serves institutional clients. The firm is SEC-registered (since 2005) and operates as a broker-dealer in addition to providing portfolio management for investment companies, pooled investment vehicles, and institutional/business clients. Ownership is listed as a mix of a foreign entity and individuals. Compensation comes through both a percentage-of-AUM schedule and performance-based fees. Sparx identifies itself as an active ESG investor and also acts in sponsor/GP roles for pooled vehicles, indicating involvement in private fund formation and management.