Sparx Investment & Research Usa, Inc. (New York)

Name: Sparx Investment & Research Usa, Inc.
Address: 360 Madison Avenue, New York, NY, 10017 7111
Telephone: 646.658.6500

Sparx Investment & Research Usa, Inc. is a related adviser based in New York. It manages $17.59 million of regulatory assets for 1 client accounts. It has been registered with the SEC as an adviser since 2002 and has operated in the jurisdiction of New York.

Sparx Investment & Research Usa 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 Investment & Research Usa: assets under management

The assets under management (AUM) of Sparx Investment & Research Usa, Inc. is $17.59 million, all of which is managed in discretionary accounts. The company doesn't manage any assets belonging to foreign clients.

The firm manages $17.59 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $17.59 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Sparx Investment & Research Usa, Inc. 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.

Careers at Sparx Investment & Research Usa, Inc.

Shuhei Abe has been acting as President since 1 Jul 1994. Mikiro Shimizu joined the executive team most recently as the Managing Director.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Michael Jo Shimoko	President, director	1 Jul 1994	Other	1181904
Shuhei Abe	Director	1 Jul 1994	Other	1030957
Ltd. Sparx Asset Management Co.	Sole shareholder	1 Jul 1994	75% - 100%	foreign
Taichi Wakabayashi	Senior vice president marketing	1 Jan 2001	Other	1559785
Alan T. Yuasa	Treasurer	1 Jan 2002	Other	4593592
James W. Cox	Managing director	1 Jan 2002	Other	4591662
Mikiro Shimizu	Managing director	1 Sep 2002	Other	4595474

Indirect Owners

The SEC currently registers 1 indirect owner.

Name	Entity	Date acquired	Ownership	Employer ID
Shuhei Abe	Shareholder	1 Jun 1989	50% - 75%	1030957

Based in New York

The principal office where Sparx Investment & Research Usa, Inc. performs its advisory services is located at 360 Madison Avenue, New York, NY 10017 7111, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 646.658.6500 or by fax 646.658.6599. The normal business hours are 9:00 am - 5:00 pm on Monday - Friday. You can find more information about the New York firm at www.sparx.co.jp.