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SPARX ASSET MANAGEMENT CO., LTD.
CRD 134747File 801-64550
APPROVED
Filing as of Jun 8, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$11.71B
Top 10% of cohort (national)
Discretionary AUM
$11.13B
Non-discretionary $584.0M
Clients
89
98 accounts
Employees
145
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- HQ
- Registration date
- Aug 16, 2005
- Principal office
- SHINAGAWA SEASON TERRACE 6TH FLOOR,, 1-2-70,KONAN, MINATO-KU, TOKYO, 108-0075
- Phone
- 813-6711-9200
- Website
- HTTPS://WWW.SPARX.CO.JP/
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $11.71B
- Discretionary AUM
- $11.13B
- Non-discretionary AUM
- $584.0M
- Discretionary accounts
- 89
- Non-discretionary accounts
- 9
- Total accounts
- 98
- AUM per client
- $131.6M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | Fewer than 5 | $22.4M |
| Non-U.S. persons | Fewer than 5 | $0 |
| Insurance companies | Fewer than 5 | $0 |
| Investment companies | 2 | $524.7M |
| Charitable organizations | Fewer than 5 | $0 |
| Other investment advisers | Fewer than 5 | $0 |
| High net worth individuals | Fewer than 5 | $0 |
| Pooled investment vehicles | 69 | $7.60B |
| Banking or thrift institutions | Fewer than 5 | $0 |
| Pension and profit sharing plans | 15 | $296.0M |
| State or municipal government entities | Fewer than 5 | $2.68B |
| Individuals (other than high net worth individuals) | Fewer than 5 | $0 |
Compensation & activities
ADV Items 5E, 5GCompensation
- Performance-based fees
- A percentage of assets under your management
Advisory activities
- Portfolio management for businesses
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Aug 17, 2026 | Clients | 98 | 89 | decreased by9 |
| Jul 1, 2026 | Employees | 147 | 145 | decreased by2 |
| Jul 1, 2026 | Clients | 93 | 98 | increased by5 |
| Jul 1, 2026 | AUM | $10,042,395,515 | $11,713,911,895 | increased by$1,671,516,380 |
| Jul 1, 2026 | Accounts | 96 | 98 | increased by2 |
| Dec 1, 2025 vs May 1, 2025 | Employees | 144 | 147 | increased by3 |
| Dec 1, 2025 vs May 1, 2025 | Clients | 92 | 93 | increased by1 |
| Dec 1, 2025 vs May 1, 2025 | AUM | $10,355,782,326 | $10,042,395,515 | decreased by$313,386,811 |
| Dec 1, 2025 vs May 1, 2025 | Accounts | 95 | 96 | increased by1 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 137 | 144 | increased by7 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 87 | 92 | increased by5 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $9,967,490,302 | $10,355,782,326 | increased by$388,292,024 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 94 | 95 | increased by1 |
| Jul 1, 2022 | Employees | 135 | 137 | increased by2 |
| Jul 1, 2022 | Clients | 89 | 87 | decreased by2 |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “SPARX ASSET” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“SPARX ASSET” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.