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 an institutional registered investment adviser organized as a corporation and federally registered with the SEC since 2005. The firm identifies its client base as institutional and structures fees as a mix of asset-based charges and performance-linked fees. It provides portfolio management across several institutional vehicles, including investment companies, pooled investment vehicles, and portfolios for businesses or institutions, and it also operates broker-dealer activities. Sparx describes itself as an active ESG investor and is owned by a combination of a foreign entity and an individual. The firm is not positioned primarily as an external capital allocator, instead managing client mandates and sponsoring pooled structures directly.