Tanaka Capital Management Inc (New York)

Name: Tanaka Capital Management Inc
Address: 369 Lexington Avenue, New York, NY, 10017
Telephone: 212-490-3380

Tanaka Capital Management Inc is an investment adviser to an investment company based in New York. It manages $36.48 million of regulatory assets for 27 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Connecticut and New York.

Tanaka Capital Management provides portfolio management for individuals and small businesses, portfolio management for investment companies, and portfolio management for businesses and institutional clients. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Tanaka Capital Management: assets under management

The assets under management (AUM) of Tanaka Capital Management Inc is $36.48 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -78% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $36.48 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $1.35 million each.

Investments

The firm invests in exchange traded securities the most. They account for 94% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 6% of the firm’s portfolio.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Tanaka Capital Management Inc for their services and products based on a percentage of assets under management and fixed fees. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Tanaka Capital Management serves?

The firm provides services to individuals, investment companies, charitable organizations, high net worth individuals, and pension and profit sharing plans. The largest group of clients of Tanaka Capital Management is high net worth individuals with 5 clients and $14.72 million of assets under management. Among the 0 most similar advisory firms, Tanaka Capital Management has the 0th lowest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $36.48 million for 20 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Tanaka Capital Management doesn't advise any private funds.

Careers at Tanaka Capital Management Inc

The company employs 3 people that are either part- or full-time employees. 100 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There are 2 people 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.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Graham Yoshio Tanaka	President and director	1 Dec 1986	75% - 100%	2596702
Victoria Ann Mccann	Compliance officer	1 Nov 1991	Other	4520307
Victoria Ann Mccann	Secretary	1 Mar 2002	Other	4520307
Victoria Ann Mccann	Chief operating officer	1 Aug 2003	Other	4520307
Max Danson Quinlin	Chief compliance officer	1 Apr 2013	Other	xxx-xx-xxxx
Benjamin Macdonald Bratt	Chief compliance officer	1 Jun 2015	Other	xxx-xx-xxxx

Based in New York

The principal office where Tanaka Capital Management Inc performs its advisory services is located at 369 Lexington Avenue, New York, NY 10017, 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 212-490-3380 or by fax 212-687-2852. The normal business hours are 8:30am- 5:30pm on Monday - Friday. You can find more information about the New York firm at tanaka.com.