SPARX INVESTMENT & RESEARCH, USA, INC.
CRD #117985 SEC #801-61554 NEW YORK, NY 212.452.5000
SEC Registered
Total AUM
$1.5B
Discretionary
$1.5B
Employees
--
Clients
--
Accounts
10
Firm Details
- Organization Type
- Corporation
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Nov 9, 2005
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| ABE, SHUHEI | I | CHAIRMAN | NA | Control |
| ABE, SHUHEI | I | CHAIRMAN | NA | Control |
| ABE, SHUHEI | I | CHAIRMAN | NA | Control |
| ABE, SHUHEI | I | CHAIRMAN OF SPARX GROUP CO., LTD. | NA | Control |
| ABE, SHUHEI | I | CHAIRMAN OF SPARX GROUP CO., LTD. | NA | Control |
| ABE, SHUHEI | I | CHAIRMAN | NA | Control |
| ABE, SHUHEI | I | CHAIRMAN | NA | Control |
| ABE, SHUHEI | I | CHAIRMAN | NA | Control |
| ABE, SHUHEI | I | CHAIRMAN | NA | Control |
| ABE, SHUHEI | I | CHAIRMAN | NA | Control |
| ANDO, KAHORI | I | SENIOR FUND MANAGER - HEAD OF LARGE CAP TEAM | NA | Control |
| ANDO, KAHORI | I | SENIOR FUND MANAGER - HEAD OF LARGE CAP TEAM | NA | Control |
| ANDO, KAHORI | I | SENIOR FUND MANAGER - HEAD OF LARGE CAP TEAM | NA | Control |
| ANDO, KAHORI | I | SENIOR FUND MANAGER - HEAD OF LARGE CAP TEAM | NA | Control |
| ANDO, KAHORI | I | SENIOR FUND MANAGER - HEAD OF LARGE CAP TEAM | NA | Control |
| CLARK, CARL, V | I | VICE PRESIDENT | NA | Control |
| CLARK, CARL, V | I | VICE PRESIDENT | NA | Control |
| CLARK, CARL, V | I | VICE PRESIDENT | NA | Control |
| CLARK, CARL, V | I | VICE PRESIDENT | NA | Control |
| CLARK, CARL, V | I | VICE PRESIDENT | NA | Control |
| COX, JAMES, W. | I | MANAGING DIRECTOR & SECRETARY | NA | Control |
| COX, JAMES, W. | I | MANAGING DIRECTOR & SECRETARY | NA | Control |
| COX, JAMES, W. | I | MANAGING DIRECTOR & SECRETARY | NA | Control |
| COX, JAMES, W. | I | MANAGING DIRECTOR & SECRETARY | NA | Control |
| COX, JAMES, W. | I | MANAGING DIRECTOR & SECRETARY | NA | Control |
| COX, JAMES, WILLIAM | I | GROUP GENERAL COUNSEL | NA | Control |
| FONG, HOI, LEUNG | I | VICE PRESIDENT | NA | Control |
| FONG, HOI, LEUNG | I | VICE PRESIDENT | NA | Control |
| FONG, HOI, LEUNG | I | VICE PRESIDENT | NA | Control |
| FONG, HOI, LEUNG | I | VICE PRESIDENT | NA | Control |
| FONG, HOI, LEUNG | I | VICE PRESIDENT | NA | Control |
| GARTENLAUB, EVAN, ROBERT | I | COUNSEL; VICE PRESIDENT | NA | Control |
| GARTENLAUB, EVAN, ROBERT | I | COUNSEL; VICE PRESIDENT | NA | Control |
| GARTENLAUB, EVAN, ROBERT | I | COUNSEL; VICE PRESIDENT | NA | Control |
| KAWAZU, JUN | I | HEAD OF TRADING GROUP | NA | Control |
| KAWAZU, JUN | I | HEAD OF TRADING GROUP | NA | Control |
| KAWAZU, JUN | I | HEAD OF TRADING GROUP | NA | Control |
| KAWAZU, JUN | I | HEAD OF TRADING GROUP | NA | Control |
| KAWAZU, JUN | I | HEAD OF TRADING GROUP | NA | Control |
| KLEINBECK, ERIK, CHRISTOFFER | I | MANAGING DIRECTOR | NA | Control |
| KLEINBECK, ERIK, CHRISTOFFER | I | SENIOR VICE PRESIDENT & TREASURER, MANAGER CLIENT & FUND ADMINISTRATION | NA | Control |
| KLEINBECK, ERIK, CHRISTOFFER | I | VICE PRESIDENT & ASSISTANT TREASURER, MANAGER CLIENT & FUND ADMINISTRATION | NA | Control |
| KLEINBECK, ERIK, CHRISTOFFER | I | MANAGING DIRECTOR | NA | Control |
| KLEINBECK, ERIK, CHRISTOFFER | I | MANAGING DIRECTOR | NA | Control |
| KLEINBECK, ERIK, CHRISTOFFER | I | VICE PRESIDENT & ASSISTANT TREASURER, MANAGER CLIENT & FUND ADMINISTRATION | NA | Control |
| KLEINBECK, ERIK, CHRISTOFFER | I | VICE PRESIDENT & ASSISTANT TREASURER, MANAGER CLIENT & FUND ADMINISTRATION | NA | Control |
| KLEINBECK, ERIK, CHRISTOFFER | I | VICE PRESIDENT & ASSISTANT TREASURER, MANAGER CLIENT & FUND ADMINISTRATION | NA | Control |
| KUBO, MATTHEW, YUKIO | I | PRESIDENT | NA | Control |
| KUBO, MATTHEW, YUKIO | I | PRESIDENT | NA | Control |
| LO, KINFAI | I | VICE PRESIDENT | NA | Control |
| LO, KINFAI | I | VICE PRESIDENT | NA | Control |
| MAEDA, BART, TORAO | I | VICE PRESIDENT | NA | Control |
| MAEDA, BART, TORAO | I | VICE PRESIDENT | NA | Control |
| MAEDA, BART, TORAO | I | VICE PRESIDENT | NA | Control |
| MAEDA, BART, TORAO | I | VICE PRESIDENT | NA | Control |
| MAEDA, BART, TORAO | I | VICE PRESIDENT | NA | Control |
| MAEDA, BART, TORAO | I | VICE PRESIDENT | NA | Control |
| MAEDA, BART, TORAO | I | VICE PRESIDENT | NA | Control |
| MAEDA, BART, TORAO | I | VICE PRESIDENT | NA | Control |
| MATSUOKA, YOKO | I | VICE PRESIDENT | NA | Control |
| MATSUOKA, YOKO | I | VICE PRESIDENT | NA | Control |
| MATSUOKA, YOKO | I | VICE PRESIDENT | NA | Control |
| MATSUOKA, YOKO | I | VICE PRESIDENT | NA | Control |
| MATSUOKA, YOKO | I | VICE PRESIDENT | NA | Control |
| MATSUOKA, YOKO | I | VICE PRESIDENT | NA | Control |
| MATSUOKA, YOKO | I | VICE PRESIDENT | NA | Control |
| MATSUOKA, YOKO | I | VICE PRESIDENT | NA | Control |
| MATSUOKA, YOKO | I | VICE PRESIDENT | NA | Control |
| MATSUOKA, YOKO | I | VICE PRESIDENT | NA | Control |
| MEDINA, KEVIN, TODD | I | CHIEF COMPLIANCE OFFICER; VICE PRESIDENT | NA | Control |
| MEDINA, KEVIN, TODD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MEDINA, KEVIN, TODD | I | CHIEF COMPLIANCE OFFICER; VICE PRESIDENT | NA | Control |
| MEDINA, KEVIN, TODD | I | CHIEF COMPLIANCE OFFICER; VICE PRESIDENT | NA | Control |
| MEDINA, KEVIN, TODD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MEDINA, KEVIN, TODD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MEDINA, KEVIN, TODD | I | VICE PRESIDENT - LEGAL & COMPLIANCE | NA | Control |
| MEDINA, KEVIN, TODD | I | VICE PRESIDENT - LEGAL & COMPLIANCE | NA | Control |
| NONAKA, KENJI | I | ASSISTANT MANAGER | NA | Control |
| NONAKA, KENJI | I | ASSISTANT MANAGER | NA | Control |
| NONAKA, KENJI | I | ASSISTANT MANAGER | NA | Control |
| NONAKA, KENJI | I | ASSISTANT MANAGER | NA | Control |
| NONAKA, KENJI | I | ASSISTANT MANAGER | NA | Control |
| PODSIADLO, EUGENE, LAWRENCE | I | PRESIDENT, SPARX FUNDS | NA | Control |
| PODSIADLO, EUGENE, LAWRENCE | I | PRESIDENT, SPARX FUNDS | NA | Control |
| PODSIADLO, EUGENE, LAWRENCE | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| PODSIADLO, EUGENE, LAWRENCE | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| PODSIADLO, EUGENE, LAWRENCE | I | PRESIDENT, SPARX FUNDS | NA | Control |
| PODSIADLO, EUGENE, LAWRENCE | I | PRESIDENT, SPARX FUNDS | NA | Control |
| PODSIADLO, EUGENE, LAWRENCE | I | PRESIDENT, SPARX FUNDS | NA | Control |
| SHIMIZU, MIKIRO | I | MANAGING DIRECTOR & PRESIDENT | NA | Control |
| SHIMIZU, MIKIRO | I | MANAGING DIRECTOR & PRESIDENT | NA | Control |
| SHIMIZU, MIKIRO | I | MANAGING DIRECTOR & PRESIDENT | NA | Control |
| SHIMIZU, MIKIRO | I | CHAIRMAN | NA | Control |
| SHIMIZU, MIKIRO | I | CHAIRMAN | NA | Control |
| SHIMIZU, MIKIRO | I | MANAGING DIRECTOR & PRESIDENT | NA | Control |
| SHIMIZU, MIKIRO | I | MANAGING DIRECTOR & PRESIDENT | NA | Control |
| SHIMIZU, MIKIRO | I | MANAGING DIRECTOR & PRESIDENT | NA | Control |
| SHIMIZU, MIKIRO | I | MANAGING DIRECTOR & PRESIDENT | NA | Control |
| SHIMIZU, MIKIRO | I | MANAGING DIRECTOR & PRESIDENT | NA | Control |
| TABAR, SAM, VICTOR | I | VICE PRESIDENT; COUNSEL | NA | Control |
| TABAR, SAM, VICTOR | I | VICE PRESIDENT; COUNSEL | NA | Control |
| TAKEDA, MASAKAZU | I | ANALYST | NA | Control |
| TAKEDA, MASAKAZU | I | ANALYST | NA | Control |
| TAKEDA, MASAKAZU | I | ANALYST | NA | Control |
| TAKEDA, MASAKAZU | I | ANALYST | NA | Control |
| TAKEDA, MASAKAZU | I | ANALYST | NA | Control |
| TATSUNO, JITSUO | I | SENIOR MANAGER - CLIENT ADMINISTRATION | NA | Control |
| TATSUNO, JITSUO | I | SENIOR MANAGER - CLIENT ADMINISTRATION | NA | Control |
| TATSUNO, JITSUO | I | SENIOR MANAGER - CLIENT ADMINISTRATION | NA | Control |
| TATSUNO, JITSUO | I | SENIOR MANAGER - CLIENT ADMINISTRATION | NA | Control |
| TATSUNO, JITSUO | I | SENIOR MANAGER - CLIENT ADMINISTRATION | NA | Control |
| TSUCHIYA, TAKASHI | I | MANAGING DIRECTOR | NA | Control |
| TSUCHIYA, TAKASHI | I | MANAGING DIRECTOR | NA | Control |
| TSUCHIYA, TAKASHI | I | MANAGING DIRECTOR | NA | Control |
| TSUCHIYA, TAKASHI | I | MANAGING DIRECTOR | NA | Control |
| TSUCHIYA, TAKASHI | I | MANAGING DIRECTOR | NA | Control |
| YUASA, ALAN, T. | I | TREASURER | NA | Control |
| YUASA, ALAN, T. | I | TREASURER | NA | Control |
| YUASA, ALAN, T. | I | TREASURER | NA | Control |
| YUASA, ALAN, T. | I | TREASURER | NA | Control |
| SPARX ASSET MANAGEMENT CO., LTD. | FE | SOLE SHAREHOLDER | E | Control |
| SPARX ASSET MANAGEMENT CO., LTD. | FE | SOLE SHAREHOLDER | E | Control |
| SPARX ASSET MANAGEMENT CO., LTD. | FE | SOLE SHAREHOLDER | E | Control |
| SPARX ASSET MANAGEMENT CO., LTD. | FE | SOLE SHAREHOLDER | E | Control |
| SPARX ASSET MANAGEMENT CO., LTD. | FE | SOLE SHAREHOLDER | E | Control |
| SPARX ASSET MANAGEMENT CO., LTD. | FE | SOLE SHAREHOLDER | E | Control |
| SPARX ASSET MANAGEMENT CO., LTD. | FE | SOLE SHAREHOLDER | E | Control |
| SPARX GROUP CO., LTD. | FE | SOLE SHAREHOLDER | E | Control |
| SPARX GROUP CO., LTD. | FE | SOLE SHAREHOLDER | E | Control |
| SPARX GROUP CO., LTD. | FE | SOLE SHAREHOLDER | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| ABE, SHUHEI | I | SPARX GROUP CO., LTD. | D | Control |
| ABE, SHUHEI | I | SPARX ASSET MANAGEMENT CO., LTD. | D | Control |
| ABE, SHUHEI | I | SPARX ASSET MANAGEMENT CO., LTD. | D | Control |
| ABE, SHUHEI | I | SPARX GROUP CO., LTD. | D | Control |
| ABE, SHUHEI | I | SPARX GROUP CO., LTD. | D | Control |
| ABE, SHUHEI | I | SPARX ASSET MANAGEMENT CO., LTD. | D | Control |
| ABE, SHUHEI | I | SPARX ASSET MANAGEMENT CO., LTD. | D | Control |
| ABE, SHUHEI | I | SPARX ASSET MANAGEMENT CO., LTD. | D | Control |
| ABE, SHUHEI | I | SPARX ASSET MANAGEMENT CO., LTD. | D | Control |
| ABE, SHUHEI | I | SPARX ASSET MANAGEMENT CO., LTD. | D | Control |
Registrations
Federal
IA
Nov 9, 2005 REGISTERED
Notice Filings (1)
NY
Address
360 MADISON AVENUE22ND FLOOR
NEW YORK, NY 10017-7111
USA
Phone: 212.452.5000