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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

HORIZONS ETFS MANAGEMENT (US) LLC

CRD 169320

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:e336ea60-ce49-6c00-c463-44a9d7b191cb

Data as of Mar 27, 2018 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:26 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 2
On other graphs: 0
Observed: Oct 8, 2013 to Mar 27, 2018
25 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: $279MItem 5.F on the latest filing (2018-03-27); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $279M
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: 9
Advisory employees: 3
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 4
Individual clients: 0
High net worth clients: 0
SEC number: 801-78693
CRD: 169320
Filings on the tape: 25
First filed: Oct 8, 2013
Latest filed: Mar 27, 2018
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	02/2017	Apr 6, 2017	Mar 27, 2018
HORIZONS ETFS MANAGEMENT (USA) LLC	Member	E	yes	01/2017	Apr 6, 2017	Mar 27, 2018
MIRAE ASSET GLOBAL ETFS HOLDINGS LTD.	Member	E	yes	03/2017	Apr 6, 2017	Mar 27, 2018
MIRAE ASSET GLOBAL INVESTMENTS CO., LTD.	Shareholder	E	yes	03/2017	Apr 6, 2017	Mar 27, 2018
PARK, HYEON JOO	Shareholder	E	yes	01/2006	Apr 6, 2017	Mar 27, 2018
SHEA, ROBERT, EARL	Cfo	Na	yes	02/2017	Apr 6, 2017	Mar 27, 2018

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
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

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Stamford	Ct	United States	3	no

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

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2017	Mar 27, 2018	$279M	$279M	9	3	1	n/a	n/a
2016	Feb 1, 2017	$77.9M	$77.9M	4	3	n/a	n/a	n/a
2015	Mar 24, 2016	$48.6M	$48.6M	4	3	n/a	n/a	n/a
2014	Mar 31, 2015	$24.9M	$24.9M	1	0	n/a	n/a	n/a
2013	Mar 31, 2014	$2.5M	$2.5M	1	0	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
2017	$279M	$77.9M	258.6%	$24.9M	124.0%	9	4	1	n/a

Relationships

Affiliated with (2)

→ 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

Controls (6)

← HORIZONS ETFS MANAGEMENT (USA) LLCOwnerMEMBER, ownership code E, domestic entity
Apr 6, 2017 to presentfactForm ADV
← SHEA, ROBERT, EARLOwnerCFO, ownership code NA, individual
Apr 6, 2017 to presentfactForm ADV
← CALABRIA, THOMAS, NICHOLASOwnerCCO, ownership code NA, individual
Apr 6, 2017 to presentfactForm ADV
← PARK, HYEON JOOOwnerSHAREHOLDER, ownership code E, individual
Apr 6, 2017 to presentfactForm ADV
← MIRAE ASSET GLOBAL ETFS HOLDINGS LTD.OwnerMEMBER, ownership code E, foreign entity
Apr 6, 2017 to presentfactForm ADV
← MIRAE ASSET GLOBAL INVESTMENTS CO., LTD.OwnerSHAREHOLDER, ownership code E, foreign entity
Apr 6, 2017 to presentfactForm ADV

Dated events

Occurred
Mar 27, 2018
Regulatory AUM changed
Horizons Etfs Management (Us) Llc reported RAUM $279.4M, up 215% from $88.7M (2017-06-21 to 2018-03-27)
Form ADVobserved 4 days ago
$191M
Occurred
Oct 8, 2013
First Form ADV filing
Recon Capital Advisors Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e336ea60-ce49-6c00-c463-44a9d7b191cb
First observed: Oct 8, 2013
Last observed: Mar 27, 2018 103 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 (US) LLC

CRD 169320

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:e336ea60-ce49-6c00-c463-44a9d7b191cb

Data as of Mar 27, 2018 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:26 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

02/2017

Apr 6, 2017

Mar 27, 2018

HORIZONS ETFS MANAGEMENT (USA) LLC

Member

yes

01/2017

Apr 6, 2017

Mar 27, 2018

MIRAE ASSET GLOBAL ETFS HOLDINGS LTD.

Member

yes

03/2017

Apr 6, 2017

Mar 27, 2018

MIRAE ASSET GLOBAL INVESTMENTS CO., LTD.

Shareholder

yes

03/2017

Apr 6, 2017

Mar 27, 2018

PARK, HYEON JOO

Shareholder

yes

01/2006

Apr 6, 2017

Mar 27, 2018

SHEA, ROBERT, EARL

Cfo

yes

02/2017

Apr 6, 2017

Mar 27, 2018

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 (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

City

State

Country

Employees

Also broker-dealer

Stamford

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2017

Mar 27, 2018

$279M

n/a

2016

Feb 1, 2017

$77.9M

n/a

2015

Mar 24, 2016

$48.6M

n/a

2014

Mar 31, 2015

$24.9M

n/a

2013

Mar 31, 2014

$2.5M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2017

$279M

$77.9M

258.6%

$24.9M

124.0%

n/a