# SPARX INVESTMENT & RESEARCH, USA, INC.

SPARX INVESTMENT & RESEARCH, USA, INC. of NEW YORK, NY is an SEC-registered investment adviser.

## Registration

- CRD: 117985
- Type: SEC-registered investment adviser
- SEC file number: 801-61554
- Location: 360 MADISON AVENUE, 24TH FLOOR, NEW YORK, NY, 10017-7111
- Phone: 212.452.5000
- Latest filing: 2009-07-22
- Regulatory AUM: $281.4M
- Discretionary AUM: $281.4M
- Clients: 1
- Accounts: 7

## Officers, owners & control persons (24)

| Name | Role | Location |
| --- | --- | --- |
| [ABE SHUHEI](https://search.stillhousedata.com/person/737885) | CHAIRMAN; CHAIRMAN OF SPARX GROUP CO., LTD.; DIRECTOR (+1 more) | — |
| [SHIMIZU MIKIRO](https://search.stillhousedata.com/person/737886) | CHAIRMAN; MANAGING DIRECTOR; MANAGING DIRECTOR & PRESIDENT | — |
| [KLEINBECK ERIK CHRISTOFFER](https://search.stillhousedata.com/person/737887) | MANAGING DIRECTOR; SENIOR VICE PRESIDENT & TREASURER, MANAGER CLIENT & FUND ADMINISTRATION; VICE PRESIDENT & ASSISTANT TREASURER, MANAGER CLIENT & FUND ADMINISTRATION | — |
| [MATSUOKA YOKO](https://search.stillhousedata.com/person/737888) | SENIOR VICE PRESIDENT; VICE PRESIDENT | — |
| [MAEDA BART TORAO](https://search.stillhousedata.com/person/737889) | VICE PRESIDENT | — |
| [MEDINA KEVIN TODD](https://search.stillhousedata.com/person/737890) | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER; SENIOR VICE PRESIDENT; CHIEF COMPLIANCE OFFICER; VICE PRESIDENT (+1 more) | — |
| [TSUCHIYA TAKASHI](https://search.stillhousedata.com/person/737891) | MANAGING DIRECTOR | — |
| [TABAR SAM VICTOR](https://search.stillhousedata.com/person/737892) | VICE PRESIDENT; COUNSEL | — |
| [FONG HOI LEUNG](https://search.stillhousedata.com/person/737893) | SENIOR VICE PRESIDENT; VICE PRESIDENT | — |
| [GARTENLAUB EVAN ROBERT](https://search.stillhousedata.com/person/751655) | COUNSEL; VICE PRESIDENT; MANAGING DIRECTOR; COUNSEL; PRESIDENT (+1 more) | — |
| [PODSIADLO EUGENE LAWRENCE](https://search.stillhousedata.com/person/762000) | EXECUTIVE VICE PRESIDENT; PRESIDENT, SPARX FUNDS | — |
| [COX JAMES WILLIAM](https://search.stillhousedata.com/person/768937) | GROUP GENERAL COUNSEL | — |
| [TATSUNO JITSUO](https://search.stillhousedata.com/person/768938) | SENIOR MANAGER - CLIENT ADMINISTRATION | — |
| [KAWAZU JUN](https://search.stillhousedata.com/person/768945) | HEAD OF TRADING GROUP | — |
| [NONAKA KENJI](https://search.stillhousedata.com/person/770269) | ASSISTANT MANAGER | — |
| [ANDO KAHORI](https://search.stillhousedata.com/person/770270) | SENIOR FUND MANAGER - HEAD OF LARGE CAP TEAM | — |
| [TAKEDA MASAKAZU](https://search.stillhousedata.com/person/770271) | ANALYST | — |
| [CLARK CARL V](https://search.stillhousedata.com/person/770272) | VICE PRESIDENT | — |
| [KUBO MATTHEW YUKIO](https://search.stillhousedata.com/person/785746) | MANAGING DIRECTOR; PRESIDENT; PRESIDENT | — |
| [LO KINFAI](https://search.stillhousedata.com/person/785747) | SENIOR VICE PRESIDENT; VICE PRESIDENT | — |
| [SHIMOKO MICHAEL JO](https://search.stillhousedata.com/person/789633) | PRESIDENT, DIRECTOR | — |
| [COX JAMES W](https://search.stillhousedata.com/person/789634) | MANAGING DIRECTOR; MANAGING DIRECTOR & SECRETARY | — |
| [WAKABAYASHI TAICHI](https://search.stillhousedata.com/person/789635) | SENIOR VICE PRESIDENT MARKETING | — |
| [YUASA ALAN T](https://search.stillhousedata.com/person/789636) | TREASURER | — |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/117985/brochure
- Similar advisers: https://search.stillhousedata.com/firm/117985/similar
- Related entities: https://search.stillhousedata.com/firm/117985/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/117985

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.