Graham Y. Tanaka

TANAKA CAPITAL MANAGEMENT

NEW YORK, NY 10169

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CRD#: 2596702

Professional summary

Graham Yoshio Tanaka, who also goes by Graham Tanaka, is a registered financial advisor currently at TANAKA CAPITAL MANAGEMENT INC located in New York, New York.

Graham is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Graham has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Graham Tanaka

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

MR. TANAKA IS PRESIDENT AND CHAIRMAN OF TANAKA FUNDS, INC., A REGISTERED INVESTMENT COMPANY, LOCATED IN THE OFFICES OF TANAKA CAPITAL MANAGEMENT. HE HAS HELD THIS POSITION SINCE DECEMBER 1998 AND DEVOTES APPROXIMATELY 2 1/2 HOURS A MONTH TO THIS BUSINESS. MR. TANAKA IS SOLE PROPRIETOR OF TANAKA FUND ADVISORS LLP, A FIRM SET UP IN DECEMBER 1999 TO PROCESS VARIOUS SALES CHARGES FOR TANAKA FUNDS, INC. HE DOES NOT DEVOTE ANY ADDITIONAL TIME TO THIS BUSINESS. MR. TANAKA HAS BEEN A DIRECTOR OF TRANSACT TECHNOLOGIES, A NON-INVESTMENT RELATED PRINTER BUSINESS, SINCE 1996. HE DEVOTES APPROXIMATELY 1 HOUR/MONTH TO THIS BUSINESS. MR. TANAKA CURRENTLY SERVES ON THE BOARD OF TRUSTEES OF THE JAPANESE AMERICAN NATIONAL MUSEUM, A CHARITABLE ORGANIZATION. HE HAS HELD THIS POSITION SINCE 1993.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Graham Yoshio Tanaka's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

August 3, 1995 - Present

TANAKA CAPITAL MANAGEMENT INC

Office #1: 230 Park Avenue, Suite 960, New York, NY 10169

RIA

CRD#: 109888

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

TANAKA CAPITAL MANAGEMENT INC

CRD#: 109888 / SEC#: 801-28990

RIA

Registered Investment Advisory firm - (2/10/1987 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Connecticut
(8/3/1995)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/28/1995

Uniform Investment Adviser Law Examination

Current Firm

TANAKA CAPITAL MANAGEMENT INC

CRD#: 109888 / SEC#: 801-28990

RIA

Registered Investment Advisory firm - (2/10/1987 Approved)

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Contact information

Main Address

777 West Putnam Avenue Suite 300, Greenwich, CT 06830

Mailing Address

Phone number

(212) 490-3380

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	21
AUM (Assets Under Management)	$ 44,400,044

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

xxxxx@xxxx.xxx

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Graham Y. Tanaka

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Graham Yoshio Tanaka's CRS (Customer Relationship Summary).

Certified licenses

Experience

TANAKA CAPITAL MANAGEMENT INC

Primary Firm SEC Registration

TANAKA CAPITAL MANAGEMENT INC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/28/1995

Current Firm

TANAKA CAPITAL MANAGEMENT INC

Contact information

SEC notice filing (2 States and Territories)

Documents

Regulatory assets under management

Red Flags

Company Information

TANAKA CAPITAL MANAGEMENT INC

TRUST BUT VERIFY

Contact information

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