DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Global X Management Company LLC
Latest filing Mar 30, 2026
First filing on the tape Mar 30, 2012 · 33 filings
SEC status approved since Apr 25, 2008
RAUM
$83B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
146
30 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$83B as of Mar 30, 2026
Mar 30, 2012$1.3B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Apr 3, 20130 then
Employees (5.A)146 as of Mar 30, 2026
Apr 3, 201312 then
Private funds: 2
RAUM +49% over the last fiscal year+31% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $615MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +49%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, portfolio management for investment companies, selection of other advisers, otherreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$77B93%
- Pooled investment vehicles$5.9B7.1%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 135reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=76.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Global X Ethereum Trust | Other Private Fund | $997,461 | 1 | Mar 29, 2023 |
| Global X Bitcoin Trust I | Other Private Fund | $992,252 | 1 | Mar 29, 2023 |
Owners and control persons
Schedule A and B, latest filing
- Caldwell Alex Ashby · Chief Operating Officercontrolsince 11/2023 · owns less than 5%
- Patrick Ryan O'Connor · Chief Executive Officercontrolsince 04/2023 · owns less than 5%
- Hyeon Joo Park · Shareholdercontrolsince 07/2018 · owns 75% or more of Mirae Asset Global Investments Co., Ltd.
- Henry Joseph Costello · Chief Compliance Officersince 09/2016 · owns less than 5%
Entity owners
- Global X Management Company, Inc. · Memberdirect · owns 75% or more
- Mirae Asset Global Etfs Holdings Ltd. · Memberindirect · owns 75% or more of Global X Management Company, Inc.
- Mirae Asset Global Investments Co., Ltd. · Shareholderindirect · owns 75% or more of Mirae Asset Global Etfs Holdings Ltd.
Related persons
Schedule D 7.A
- Global X Digital Assets, LLCpooled vehicle sponsorn
- Global X Etfs Brasil Gest?O De Recursos Ltdinvestment advisern
- Global X Investments Canada Inc.investment advisern
- Global X Investments Pte. Ltd.pooled vehicle sponsorn
- Global X Japan Co., Ltd.investment advisery
- Global X Management Company (Europe) Limitedpooled vehicle sponsorn
- Global X Management Company (Uk) Limitedinvestment adviserpooled vehicle sponsorn
- Mirae Asset Global Investments (Hong Kong) Limitedinvestment advisernRAUM $7.9B
- Mirae Asset Global Investments (India) Pvt. Ltd.investment advisern
- Mirae Asset Global Investments (Uk) Ltd.investment advisern
- Mirae Asset Global Investments (USA) LLCinvestment advisernRAUM $5.8B
- Mirae Asset Global Investments Co., Ltd.investment advisery
- Mirae Asset Securities (Hk) Ltd.broker-dealern
- Mirae Asset Securities (USA) Inc.broker-dealerinvestment advisern
- Mirae Asset Securities Co., Ltd.broker-dealern
- Mirae Asset Wealth Management (USA) Inc.broker-dealerinvestment advisern
Advisers that list Global X Management Company LLC as a related person
Offices
Schedule D 1.F, the 25 largest
- Newark, NJ23 employees
- Miami, FL11 employees
- London, United Kingdom4 employees
- Dublin, Ireland2 employees
- Bogota, Colombia
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 30, 2026selection of other advisers (Item 5.G.7): no on the filing of 2025-04-02, yes on the filing of 2026-03-30peers: asset managers, $20B and over (512)
What changed
consecutive filings, newest first
- Accounts · 131 to 135Apr 2, 2025 to Mar 30, 2026
- Advisory employees · 37 to 30Apr 2, 2025 to Mar 30, 2026
- Advisory activities · 3 to 4Apr 2, 2025 to Mar 30, 2026
- BD registered reps · 74 to 76Apr 2, 2025 to Mar 30, 2026
- Pooled vehicle clients · 33 to 44Apr 2, 2025 to Mar 30, 2026
- Employees · 154 to 146Apr 2, 2025 to Mar 30, 2026
- Discretionary RAUM · $56B to $83BApr 2, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $1.9B to $5.9BApr 2, 2025 to Mar 30, 2026
- RAUM · $56B to $83BApr 2, 2025 to Mar 30, 2026
- Accounts · 141 to 131Apr 12, 2024 to Apr 2, 2025
- Advisory employees · 36 to 37Apr 12, 2024 to Apr 2, 2025
- Advisory activities · 4 to 3Apr 12, 2024 to Apr 2, 2025
- BD registered reps · 80 to 74Apr 12, 2024 to Apr 2, 2025
- Employees · 150 to 154Apr 12, 2024 to Apr 2, 2025
- Financial planning clients · 0 to 0Apr 12, 2024 to Apr 2, 2025
- Other offices · 5 to 3Apr 12, 2024 to Apr 2, 2025
- Discretionary RAUM · $44B to $56BApr 12, 2024 to Apr 2, 2025
- Pooled vehicle RAUM · $1.2B to $1.9BApr 12, 2024 to Apr 2, 2025
- RAUM · $44B to $56BApr 12, 2024 to Apr 2, 2025
- Accounts · 132 to 141Nov 29, 2023 to Mar 21, 2024
- Pooled vehicle clients · 36 to 33Nov 29, 2023 to Mar 21, 2024
- Other offices · 4 to 5Nov 29, 2023 to Mar 21, 2024
- Private funds · 2 to unsetNov 29, 2023 to Mar 21, 2024
- Discretionary RAUM · $37B to $44BNov 29, 2023 to Mar 21, 2024
- Pooled vehicle RAUM · $618M to $1.2BNov 29, 2023 to Mar 21, 2024
- RAUM · $37B to $44BNov 29, 2023 to Mar 21, 2024
- Accounts · 116 to 132Mar 29, 2022 to Mar 29, 2023
- Advisory employees · 26 to 36Mar 29, 2022 to Mar 29, 2023
- BD registered reps · 63 to 80Mar 29, 2022 to Mar 29, 2023
- Pooled vehicle clients · 24 to 36Mar 29, 2022 to Mar 29, 2023
- Other offices · 3 to 4Mar 29, 2022 to Mar 29, 2023
- Private funds · unset to 2Mar 29, 2022 to Mar 29, 2023
- Discretionary RAUM · $44B to $37BMar 29, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $527M to $618MMar 29, 2022 to Mar 29, 2023
- RAUM · $44B to $37BMar 29, 2022 to Mar 29, 2023
- Accounts · 97 to 116Mar 25, 2021 to Mar 29, 2022
- Advisory employees · 19 to 26Mar 25, 2021 to Mar 29, 2022
- BD registered reps · 50 to 63Mar 25, 2021 to Mar 29, 2022
- Pooled vehicle clients · 3 to 24Mar 25, 2021 to Mar 29, 2022
- Employees · 78 to 150Mar 25, 2021 to Mar 29, 2022
Signals
16 dated events
- Global X Management Company Llc reported RAUM $83.0B, up 49% from $55.7B (2025-04-02 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- Global X Management Company Llc reported RAUM $55.7B, up 27% from $43.8B (2024-04-12 to 2025-04-02)Apr 2, 2025 · RAUM change · derived
- Patrick Ryan O'Connor (Chief Executive Officer) appeared on Schedule A of Global X Management Company LlcApr 12, 2024 · Control person joined · fact
- Dever Susan Lively (General Counsel) no longer on Schedule A of Global X Management Company Llc (listed 2024-03-21, absent 2024-04-12)Apr 12, 2024 · Control person left · inference
- Jefferson Thomas Park (Chief Executive Officer) no longer on Schedule A of Global X Management Company Llc (listed 2024-03-21, absent 2024-04-12)Apr 12, 2024 · Control person left · inference
- Jefferson Thomas Park (Chief Executive Officer) appeared on Schedule A of Global X Management Company LlcNov 29, 2023 · Control person joined · fact
- Caldwell Alex Ashby (Chief Operating Officer) appeared on Schedule A of Global X Management Company LlcNov 29, 2023 · Control person joined · fact
- Luis Berruga Simarro (Chief Executive Officer) no longer on Schedule A of Global X Management Company Llc (listed 2023-03-29, absent 2023-11-29)Nov 29, 2023 · Control person left · inference
- H John Belanger (Chief Operating Officer) no longer on Schedule A of Global X Management Company Llc (listed 2023-03-29, absent 2023-11-29)Nov 29, 2023 · Control person left · inference
- Global X Management Company Llc reported RAUM $44.3B, up 106% from $21.5B (2021-03-25 to 2022-03-29)Mar 29, 2022 · RAUM change · derived
- Global X Management Company Llc reported RAUM $21.5B, up 70% from $12.7B (2021-01-27 to 2021-03-25)Mar 25, 2021 · RAUM change · derived
- Young Chang Kim (Chief Operating Officer) no longer on Schedule A of Global X Management Company Llc (listed 2020-03-28, absent 2021-01-27)Jan 27, 2021 · Control person left · inference
- Dever Susan Lively (General Counsel) appeared on Schedule A of Global X Management Company LlcJan 27, 2021 · Control person joined · fact
- H John Belanger (Chief Operating Officer) appeared on Schedule A of Global X Management Company LlcJan 27, 2021 · Control person joined · fact
- Global X Management Company Llc reported RAUM $12.7B, up 56% from $8.1B (2019-04-03 to 2020-03-28)Mar 28, 2020 · RAUM change · derived
- Global X Management Company Llc reported RAUM $9.7B, up 108% from $4.6B (2017-03-24 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/GLOBALXETFSreportedpublic record, Form ADV, Sep 17, 2026
- Website
- GLOBALXETFS.SGreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 212-644-6440reportedpublic record, Form ADV, Mar 30, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026