DFX Intelligence

Data Factory

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

HORIZONS ETFS MANAGEMENT (USA) LLC

CRD 164966

NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:120bd363-94c2-cf9a-e72f-ad025afdbe92

Data as of Jun 21, 2017 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 11:46 PM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 1
On other graphs: 0
Observed: Jul 18, 2012 to Jun 21, 2017
15 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $62.4MItem 5.F on the latest filing (2017-06-21); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $62.4M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 12
Advisory employees: 5
Accounts: 1
SEC number: 801-76948
CRD: 164966
Filings on the tape: 15
First filed: Jul 18, 2012
Latest filed: Jun 21, 2017
Organised: Limited Liability Company, Delaware

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
CALABRIA, THOMAS, NICHOLAS	Cco	Na	yes	05/2014	May 30, 2014	Jun 21, 2017
LEE, TAEYONG	MANAGING DIRECTOR	Na	yes	02/2013	Mar 28, 2013	Jun 21, 2017
MIRAE ASSET GLOBAL ETFS HOLDINGS LTD.	Member	E	yes	03/2017	Mar 29, 2017	Jun 21, 2017
MIRAE ASSET GLOBAL INVESTMENTS CO., LTD.	Shareholder	E	yes	03/2017	Jul 18, 2012	Jun 21, 2017
PARK, HYEON JOO	Shareholder	E	yes	01/2006	Jul 18, 2012	Jun 21, 2017
PARK, THOMAS, JEFFERSON	Director	Na	yes	02/2013	Mar 28, 2013	Jun 21, 2017
SHEA, ROBERT, EARL	DIRECTOR & CFO	Na	yes	03/2014	Jul 18, 2012	Jun 21, 2017

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
MIRAE ASSET GLOBAL INVESTMENTS (HONG KONG) LIMITED	n/a	Asset manager	$7.9B	N	yes	n/a
MIRAE ASSET GLOBAL INVESTMENTS (USA) LLC	n/a	Asset manager	$5.8B	N	yes	n/a
ALPHAPRO MANAGEMENT INC.	n/a	n/a	n/a	N	yes	n/a
HORIZONS ETFS MANAGEMENT (CANADA) INC.	n/a	n/a	n/a	N	yes	n/a
MIRAE ASSET DAEWOO CO LTD	n/a	n/a	n/a	N	yes	n/a
MIRAE ASSET GLOBAL INVESTMENTS CO., LTD.	n/a	n/a	n/a	Y	yes	n/a
MIRAE ASSET WEALTH MANAGEMENT (USA) INC.	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line; showing 4 of 5

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2016	Mar 29, 2017	$62.4M	$62.4M	12	5	n/a	n/a	n/a
2015	Mar 28, 2016	$74.7M	$74.7M	12	5	n/a	n/a	n/a
2014	Mar 27, 2015	$41.3M	$41.3M	9	3	n/a	n/a	n/a
2013	Mar 19, 2014	$31.2M	$31.2M	13	2	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2016	$62.4M	$74.7M	-16.5%	$31.2M	25.9%	12	12	n/a	n/a

Relationships

Affiliated with (3)

→ MIRAE ASSET GLOBAL INVESTMENTS (USA) LLCRegistered adviserother investment adviser, common control
factForm ADV
→ MIRAE ASSET GLOBAL INVESTMENTS (HONG KONG) LIMITEDRegistered adviserother investment adviser, common control
factForm ADV
← HORIZONS ETFS MANAGEMENT (LATAM) LLCRegistered adviserother investment adviser, control, common control
factForm ADV

Controls (7)

← SHEA, ROBERT, EARLOwnerDIRECTOR & CFO, ownership code NA, individual
Jul 18, 2012 to presentfactForm ADV
← CALABRIA, THOMAS, NICHOLASOwnerCCO, ownership code NA, individual
May 30, 2014 to presentfactForm ADV
← LEE, TAEYONGOwnerMANAGING DIRECTOR, ownership code NA, individual
Mar 28, 2013 to presentfactForm ADV
← PARK, THOMAS, JEFFERSONOwnerDIRECTOR, ownership code NA, individual
Mar 28, 2013 to presentfactForm ADV
← PARK, HYEON JOOOwnerSHAREHOLDER, ownership code E, individual
Jul 18, 2012 to presentfactForm ADV
← MIRAE ASSET GLOBAL ETFS HOLDINGS LTD.OwnerMEMBER, ownership code E, foreign entity
Mar 29, 2017 to presentfactForm ADV
← MIRAE ASSET GLOBAL INVESTMENTS CO., LTD.OwnerSHAREHOLDER, ownership code E, foreign entity
Jul 18, 2012 to presentfactForm ADV

Dated events

Occurred
Jul 18, 2012
First Form ADV filing
Horizons Etfs Management (Usa) Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 3 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:120bd363-94c2-cf9a-e72f-ad025afdbe92
First observed: Jul 18, 2012
Last observed: Jun 21, 2017 112 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

HORIZONS ETFS MANAGEMENT (USA) LLC

CRD 164966

NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:120bd363-94c2-cf9a-e72f-ad025afdbe92

Data as of Jun 21, 2017 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 11:46 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CALABRIA, THOMAS, NICHOLAS

Cco

yes

05/2014

May 30, 2014

Jun 21, 2017

LEE, TAEYONG

MANAGING DIRECTOR

yes

02/2013

Mar 28, 2013

Jun 21, 2017

MIRAE ASSET GLOBAL ETFS HOLDINGS LTD.

Member

yes

03/2017

Mar 29, 2017

Jun 21, 2017

MIRAE ASSET GLOBAL INVESTMENTS CO., LTD.

Shareholder

yes

03/2017

Jul 18, 2012

Jun 21, 2017

PARK, HYEON JOO

Shareholder

yes

01/2006

Jul 18, 2012

Jun 21, 2017

PARK, THOMAS, JEFFERSON

Director

yes

02/2013

Mar 28, 2013

Jun 21, 2017

SHEA, ROBERT, EARL

DIRECTOR & CFO

yes

03/2014

Jul 18, 2012

Jun 21, 2017

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

MIRAE ASSET GLOBAL INVESTMENTS (HONG KONG) LIMITED

n/a

Asset manager

$7.9B

yes

n/a

MIRAE ASSET GLOBAL INVESTMENTS (USA) LLC

n/a

Asset manager

$5.8B

yes

n/a

ALPHAPRO MANAGEMENT INC.

n/a

yes

n/a

HORIZONS ETFS MANAGEMENT (CANADA) INC.

n/a

yes

n/a

MIRAE ASSET DAEWOO CO LTD

n/a

yes

n/a

MIRAE ASSET GLOBAL INVESTMENTS CO., LTD.

n/a

yes

n/a

MIRAE ASSET WEALTH MANAGEMENT (USA) INC.

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2016

Mar 29, 2017

$62.4M

n/a

2015

Mar 28, 2016

$74.7M

n/a

2014

Mar 27, 2015

$41.3M

n/a

2013

Mar 19, 2014

$31.2M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2016

$62.4M

$74.7M

-16.5%

$31.2M

25.9%

n/a