AdvisorCensus / Financial advisors / Sparx Asia Investment Advisors Limited
Sparx Asia Investment Advisors Limited
Filed as SPARX ASIA INVESTMENT ADVISORS LIMITED
Sparx Asia Investment Advisors Limited is an SEC-registered investment advisory firm in Wanchai, Hong Kong, registered since 2006, reporting under $25 million in regulatory assets under management in its Form ADV filing dated March 30, 2026.
Quick answers
From the filingHow is Sparx Asia Investment Advisors Limited compensated?
On its Form ADV (Item 5.E, October 2026), Sparx Asia Investment Advisors Limited reports these compensation arrangements: a percentage of assets under its management. The amounts are in Item 5 of its Form ADV Part 2A brochure.
Where is Sparx Asia Investment Advisors Limited located?
Sparx Asia Investment Advisors Limited's principal office is in Wanchai, Hong Kong, according to its Form ADV.
Is Sparx Asia Investment Advisors Limited registered with the SEC or a state?
Sparx Asia Investment Advisors Limited is an SEC-registered investment advisory firm, registered since 2006. Status as filed: Approved. CRD 139172.
How much does Sparx Asia Investment Advisors Limited manage?
Sparx Asia Investment Advisors Limited reports $13,270,122 in regulatory assets under management in its Form ADV filing dated March 30, 2026 (100% discretionary).
How have Sparx Asia Investment Advisors Limited's assets and staff changed since 2021?
In the Form ADV data for Sparx Asia Investment Advisors Limited: Regulatory assets under management: $83,409,171 in the October 2021 data and $13,270,122 in the October 2026 data, down 84%. Total employees: 19 in October 2021 and 17 in October 2026. Assets under management move with markets as well as with clients coming and going.
What types of clients does Sparx Asia Investment Advisors Limited serve?
By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (2).
Does Sparx Asia Investment Advisors Limited report any disciplinary disclosures?
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/139172
What changed in Sparx Asia Investment Advisors Limited's recent Form ADV filings?
In the April 2026 filing data: Regulatory assets under management went from $11,635,678 to $13,270,122 (+14%).
From the Form ADV filing
Every figure below is as the firm filed it with regulators, as of October 2026.
How the firm is compensated
Item 5.E- A percentage of assets under your management
Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ
Fees and minimums
Form ADV Part 2ASee the firm's brochure (dated March 30, 2026) for its fees and any account minimum, on the SEC's IAPD site.
Regulatory assets under management
Item 5.F$13,270,122 as of October 2026, filing dated March 30, 2026.
A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means
Who the firm serves
Item 5.DA firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.
Advisory services
Item 5.G- Portfolio management for pooled investment vehicles (other than investment companies)
Registration and firm details
Items 1, 2, 5- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 2006 (20 years)
- Employees
- Total: 17. Performing investment advisory functions: 4.
- Wrap fee program participation
- No.
- States registered or notice-filed
- Not reported.
SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration
Disclosures
Item 11None Reports no disclosure items on Form ADV Item 11. View on IAPD.
Item 11 asks about criminal, regulatory, and civil events involving the firm and its advisory personnel. The detail of each yes answer is on the IAPD record. Reading a firm's disclosures
Assets and staff over time
Items 5.A, 5.F| Data period | Assets under management | Employees | Filing dated |
|---|---|---|---|
| October 2026 | $13,270,122 | 17 | March 30, 2026 |
| October 2025 | $11,635,678 | 18 | March 26, 2025 |
| October 2024 | $144,417,319 | 19 | March 27, 2024 |
| October 2023 | $131,734,708 | 19 | March 30, 2023 |
| October 2022 | $70,894,836 | 19 | March 19, 2022 |
| October 2021 | $83,409,171 | 19 | March 16, 2021 |
Regulatory assets under management: $83,409,171 in the October 2021 data and $13,270,122 in the October 2026 data, down 84%.
Total employees: 19 in October 2021 and 17 in October 2026.
As filed in each year's data for the same month. Assets under management move with markets as well as with clients coming and going; they measure scale, not skill or returns. Most firms update these figures once a year.
Changes in the filing
Last 12 months- April 2026
- Regulatory assets under management went from $11,635,678 to $13,270,122 (+14%).
Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.
Websites listed on Form ADV
Item 1.ISource: Form ADV, as of October 2026. Values appear as filed; a value the firm did not report is shown as "Not reported."
Cite this page
AdvisorCensus. Sparx Asia Investment Advisors Limited (CRD 139172): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/sparx-asia-investment-advisors-limited-wanchai-139172