Graham Yoshio Tanaka

Current Employers

Tanaka Capital Management Inc

777 West Putnam Avenue Suite 300, Greenwich, CT 06830 • United States

Current Registrations

Authority	Category	Status	Date
CT	RA	APPROVED	1995-08-03

CT RA
APPROVED

Since 1995-08-03

Branch Locations

230 Park Avenue, Suite 960, New York, NY 10169 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Tanaka Capital Management	New York	NY	12/1986	Present
Tanaka Funds Inc.	New York	NY	12/1998	Present

12/1986 → Present

Tanaka Capital Management

New York, NY
12/1998 → Present

Tanaka Funds Inc.

New York, NY

Other Businesses

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.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1995-02-28

S65 Uniform Investment Adviser Law Examination

1995-02-28

Designations

Other Names

Graham Tanaka

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