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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

HORIZONS ETFS MANAGEMENT (LATAM) LLC

CRD 165363

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:7a98c4db-088c-e020-9061-61b4d3e62cfa

Data as of Mar 28, 2016 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:13 AM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 1
On other graphs: 0
Observed: Aug 27, 2012 to Mar 28, 2016
10 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
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Employees: 5
Advisory employees: 1
SEC number: 801-77102
CRD: 165363
Filings on the tape: 10
First filed: Aug 27, 2012
Latest filed: Mar 28, 2016
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	Mar 28, 2016
HORIZONS ETFS MANAGEMENT (USA) LLC	Member	E	yes	08/2012	Aug 27, 2012	Mar 28, 2016
LEE, TAEYONG	MANAGING DIRECTOR	Na	yes	02/2013	Mar 28, 2013	Mar 28, 2016
MIRAE ASSET GLOBAL INVESTMENTS (HONG KONG) LIMITED	Shareholder	C	yes	08/2012	Aug 27, 2012	Mar 28, 2016
MIRAE ASSET GLOBAL INVESTMENTS (USA) INC.	Shareholder	E	yes	08/2012	Aug 27, 2012	Mar 28, 2016
MIRAE ASSET GLOBAL INVESTMENTS CO., LTD.	Shareholder	D	yes	08/2012	Aug 27, 2012	Mar 28, 2016
MIRAE ASSET GLOBAL INVESTMENTS CO., LTD.	Shareholder	E	yes	08/2012	Aug 27, 2012	Mar 28, 2016
PARK, HYEON JOO	Shareholder	E	yes	08/2012	Aug 27, 2012	Mar 28, 2016
PARK, THOMAS, JEFFERSON	Director	Na	yes	02/2013	Mar 28, 2013	Mar 28, 2016
SHEA, ROBERT, EARL	DIRECTOR & CFO	Na	yes	02/2013	Aug 27, 2012	Mar 28, 2016

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	Y	yes	n/a
MIRAE ASSET GLOBAL INVESTMENTS (USA) LLC	n/a	Asset manager	$5.8B	N	yes	n/a
HORIZONS ETFS MANAGEMENT (USA) LLC	n/a	Former SEC adviser	$62.4M	Y	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 GLOBAL INVESTMENTS CO., LTD.	n/a	n/a	n/a	Y	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 3 of 4

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 28, 2016	n/a	n/a	5	1	n/a	n/a	n/a
2014	Mar 30, 2015	n/a	n/a	5	1	n/a	n/a	n/a
2013	Mar 19, 2014	n/a	n/a	5	1	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
2015	n/a	n/a	n/a	n/a	n/a	5	5	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, control, common control
factForm ADV
→ HORIZONS ETFS MANAGEMENT (USA) LLCRegistered adviserother investment adviser, control, common control
factForm ADV

Controls (8)

← SHEA, ROBERT, EARLOwnerDIRECTOR & CFO, ownership code NA, individual
Aug 27, 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
Aug 27, 2012 to presentfactForm ADV
← HORIZONS ETFS MANAGEMENT (USA) LLCOwnerMEMBER, ownership code E, domestic entity
Aug 27, 2012 to presentfactForm ADV
← MIRAE ASSET GLOBAL INVESTMENTS (HONG KONG) LIMITEDOwnerSHAREHOLDER, ownership code C, foreign entity
Aug 27, 2012 to presentfactForm ADV
← MIRAE ASSET GLOBAL INVESTMENTS (USA) INC.OwnerSHAREHOLDER, ownership code E, domestic entity
Aug 27, 2012 to presentfactForm ADV

Dated events

Occurred
Aug 27, 2012
First Form ADV filing
Horizons Etfs Management (Latam) Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 3 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7a98c4db-088c-e020-9061-61b4d3e62cfa
First observed: Aug 27, 2012
Last observed: Mar 28, 2016 127 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 (LATAM) LLC

CRD 165363

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:7a98c4db-088c-e020-9061-61b4d3e62cfa

Data as of Mar 28, 2016 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:13 AM 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

Mar 28, 2016

HORIZONS ETFS MANAGEMENT (USA) LLC

Member

yes

08/2012

Aug 27, 2012

Mar 28, 2016

LEE, TAEYONG

MANAGING DIRECTOR

yes

02/2013

Mar 28, 2013

Mar 28, 2016

MIRAE ASSET GLOBAL INVESTMENTS (HONG KONG) LIMITED

Shareholder

yes

08/2012

Aug 27, 2012

Mar 28, 2016

MIRAE ASSET GLOBAL INVESTMENTS (USA) INC.

Shareholder

yes

08/2012

Aug 27, 2012

Mar 28, 2016

MIRAE ASSET GLOBAL INVESTMENTS CO., LTD.

Shareholder

yes

08/2012

Aug 27, 2012

Mar 28, 2016

MIRAE ASSET GLOBAL INVESTMENTS CO., LTD.

Shareholder

yes

08/2012

Aug 27, 2012

Mar 28, 2016

PARK, HYEON JOO

Shareholder

yes

08/2012

Aug 27, 2012

Mar 28, 2016

PARK, THOMAS, JEFFERSON

Director

yes

02/2013

Mar 28, 2013

Mar 28, 2016

SHEA, ROBERT, EARL

DIRECTOR & CFO

yes

02/2013

Aug 27, 2012

Mar 28, 2016

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

HORIZONS ETFS MANAGEMENT (USA) LLC

n/a

Former SEC adviser

$62.4M

yes

n/a

ALPHAPRO MANAGEMENT INC.

n/a

yes

n/a

HORIZONS ETFS MANAGEMENT (CANADA) INC.

n/a

yes

n/a

MIRAE ASSET GLOBAL INVESTMENTS CO., LTD.

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2015

Mar 28, 2016

n/a

2014

Mar 30, 2015

n/a

2013

Mar 19, 2014

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2015

n/a