Sparx Asia Investment Advisors Limited (Wanchai)

Sparx Asia Investment Advisors Limited is a large advisory firm based in Wanchai. It manages $179.6 million of regulatory assets for 8 client accounts. It has been registered with the SEC as an adviser since 2011.

Sparx Asia Investment Advisors Limited provides portfolio management for pooled investment vehicles. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Sparx Asia Investment Advisors Limited: assets under management

The assets under management (AUM) of Sparx Asia Investment Advisors Limited is $179.6 million. The firm's AUM has gone down by -70% since the beginning of its operation, and $179.6 million of the total AUM is attributable to clients outside of the United States.

The firm manages $136.33 million in discretionary accounts and $43.28 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $27.27 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $14.43 million.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Sparx Asia Investment Advisors Limited for their services and products based on a percentage of assets under management and performance-based fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Mikio Fujii serves?

The only and largest group of clients of Mikio Fujii is pooled investment vehicles with 8 clients and $179.6 million of assets under management. Among the 10 most similar advisory firms, Sparx Asia Investment Advisors Limited has the highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $179.6 million for 8 clients. 100% of the firm’s clients are foreign persons or businesses.

Sparx Asia Investment Advisors Limited doesn't advise any private funds.

Careers at Sparx Asia Investment Advisors Limited

The company employs 19 people that are either part- or full-time employees. 32 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Mikio Fujii has been acting as President since 1 Nov 2014. Fumihito Akiyama joined the executive team most recently as the Director.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Sparx Asia Capital Management Limited	Sh	1 Apr 2002	75% - 100%	139199
Kanwaljit Singh Bahra	Director	1 Feb 2007	Other	5316308
Kanwaljit Singh Bahra	Chief executive officer/compliance officer	1 Nov 2009	Other	5316308
Raymond Kwok	Chief operating officer	1 Nov 2009	Other	5082633
Raymond Kwok	Director	1 Feb 2010	Other	5082633
Takahisa Matsuura	Director / vice chairman	1 Mar 2010	Other	322991
Masaki Taniguchi	Director	1 May 2011	Other	4995798
Matthew Yukio Kubo	President and director	1 Jan 2012	Other	2273840
Takeshi Suzuki	President and director	1 Feb 2014	Other	4995799
Mikio Fujii	Director	1 Nov 2014	Other	1372560
Brian Hideo Morikuni	Director	1 Nov 2014	Other	2529588
Tat Hong Alan Ng	Director, risk control and compliance	1 Nov 2014	Other	6464950
Hiroshi Minematsu	Director	1 May 2016	Other	6773770
Hiroshi Taguchi	Director	1 Dec 2016	Other	6773771
Fumihito Akiyama	Director	1 Dec 2018	Other	7050173
Tadahiro Fujimura	Director	1 Dec 2018	Other	5833601

Indirect Owners

The SEC currently registers 2 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Shuhei Abe	Sh	1 Aug 2006	50% - 75%	5152811
Ltd. Sparx Group Co.	Sh	1 Sep 2009	75% - 100%	foreign

Based in Wanchai

The principal office where Sparx Asia Investment Advisors Limited performs its advisory services is located at 1706, 17 Th Floor, Central Plaza, Wanchai, , which is also the mailing address of the firm. The firm also has an office outside of the United States.

You can reach the main office by calling the phone number 852-3102-7500 or by fax 852-3105-9700. The normal business hours are 9 a.m. to 6 p.m. on Monday - Friday.