SourcingSourcing

TANAKA CAPITAL MANAGEMENT INC

B55
CRD 109888·SEC 801-28990·GREENWICH, CT
AUM
$69.4M
$25M-$100M
Est. Revenue
$694K
@ 1% on AUM
Est. EBITDA
$208K
@ 30% margin
Est. Deal Value
$1.7M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
TANAKA CAPITAL MANAGEMENT INC
CRD
109888
SEC file #
801-28990
EIN
133390215
DBA names
—

Economics

AUM
$69.4M
AUM band
$25M-$100M
AUM trajectory
'20'26
$36.5M → $69.4M▲ +90%
Client mix
Individuals Other9
Individuals High Net Worth7
Investment Companies1
Pension Profit Sharing Plans1

Operations

Employees (total)
3
Advisory staff (per ADV)
3
Advisory staff (5-yr trend)
'20'26
3 advisors → 3 advisors▬ 0%
Primary office
GREENWICH CT
Branches
—

Custodian & Brokerage

Primary custodian
E*Tradelow confidence
Services offered
Portfolio mgmt — individualsPortfolio mgmt — investment companiesPortfolio mgmt — businesses
Fee basis
% of AUMFixed fees

Filings

Latest ADV filing
03/31/2026
ADV-W filed at
—
Website
tanaka.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
TANAKA, GRAHAM, YOSHIO
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
2
Control Persons
TANAKA, GRAHAM, YOSHIO
BRATT, BENJAMIN MACDONALD
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
TANAKA.COM
Rdap Domain Creation Date
1995-12-29T05:00:00Z
Rdap Firm Age Years
31
Rdap Firm Age Band
20+y
Rdap Registrar
GoDaddy.com, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0000816788
Edgar Registered
Yes
Edgar Filing Count
111
Edgar First Filing Date
1999-05-11
Edgar Last Filing Date
2026-05-18
Edgar 13f Count
111
Edgar 13f Latest AUM Estimate
Filing Date2026-05-18
Accession0000816788-26-000002

Compliance & brand

Firm Registration Status
active

All other collected signals (17)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
1
Bc Firm IAR Count
1
Custodian Candidates
Full
E*trade4
Edgar Addresses
Mailing
60 EAST 42ND STREETSUITE 4000NEW YORK, NY 10165
Business
60 EAST 42ND STREETSUITE 4000NEW YORK, NY 10165
Edgar EIN
133390215
Edgar Recent Filings
13F-HR2026-05-18 · 0000816788-26-000002
13F-HR2026-02-17 · 0000816788-26-000001
Firm Has Custody
No
Mailing Office Differs
No
Rdap Domain Expiration Date
2031-03-31T03:59:59Z
Rdap Domain Last Changed
2026-01-14T20:11:32Z
Rdap Nameservers
Ns41.domaincontrol.comNs42.domaincontrol.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Delete ProhibitedClient Renew ProhibitedClient Transfer ProhibitedClient Update Prohibited
Top Owner CRD
2596702
Trust Company Affiliate
No

People (1)

1
TANAKA, GRAHAM, YOSHIO
IAR · Direct Owner · 87.5%
2596702