Hedge Fund Database

MIRAE ASSET GLOBAL INVESTMENTS (USA) LLC

Adviser information for MIRAE ASSET GLOBAL INVESTMENTS (USA) LLC last updated from Form ADV on March 27th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.

Advisory Business

Type of Organization Limited Liability Company
Fiscal Year End DECEMBER
Legal Location Delaware, United States

Employees

Total Number of Employees 30
Investment Advisory/Research 10
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 0
Licensed Agents of an Insurance Company 0
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 43 $4.2B
Non-Discretionary 3 $8.8M
Total 46 $4.2B

Clients

Type Number RAUM
Individuals 0 $0
HNW Individuals 0 $0
Banking or thrift institutions 0 $0
Investment companies 1 $135.5M
Business development companies 0 $0
Pooled investment vehicles 45 $4.1B
Pension and profit sharing plans 0 $0
Charitable organizations 0 $0
State or municipal gov entities 0 $0
Other investment advisers 0 $0
Insurance companies 0 $0
Sovereign wealth funds and foreign official institutions 0 $0
Corporations or other businesses 0 $0
Other 0 $0
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 72
No. of Financial Planning Clients 0

Services

Advisory Services Portfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPORTFOLIO MANAGEMENT FOR NON-U.S. REGISTERED FUNDS
Compensation % of AUMPerformance-based fees

Identifiers

SEC RIA File Number 801-69439
SEC ERA File Number 801-69439
SEC CIK Numbers 1488106
SEC CRD Numbers 147548
Legal Entity Identifier 549300UD1B8SO7KOZC53

Principal Office

1212 AVENUE OF THE AMERICAS
10TH FLOOR
NEW YORK
NY
United States
Monday - Friday, 9:00 AM - 5:00 PM
Tel: 212-205-8300, Fax: 212-205-8390

Websites

investments.miraeasset.us/en/main/index.do

Chief Compliance Officer

ARMAND APONTE
HEAD OF LEGAL
1212 AVENUE OF THE AMERICAS
10TH FLOOR
NEW YORK
NY
United States
Tel: (212) 205-8316
Fax: 212-205-8390
(Full email address available in API data)

Regulatory Contact

RANDELL RAMSOOB
ASSISTANT VICE PRESIDENT OF COMPLIANCE
1212 AVENUE OF THE AMERICAS
10TH FLOOR
NEW YORK
NY
United States
Tel: 212-205-8340
Fax: 212-205-8390
(Full email address available in API data)

Industry Affiliates

GLOBAL X MANAGEMENT (AUS) LTD Other investment adviser, including financial planners
GLOBAL X MANAGEMENT COMPANY (EUROPE) LIMITED Other investment adviser, including financial planners
GLOBAL X MANAGEMENT COMPANY LLC Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor
HORIZONS ETFS MANAGEMENT (CANADA) INC. Other investment adviser, including financial planners
MIRAE ASSET CAPITAL CO., LTD Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles
MIRAE ASSET CAPITAL LIFE SCIENCE VENTURES I, LLC Sponsor, GP, manager of pooled investment vehicles
MIRAE ASSET CAPITAL LIFE SCIENCE, INC. Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles
MIRAE ASSET GLOBAL INVESTMENTS (HONG KONG) LIMITED Other investment adviser, including financial planners
MIRAE ASSET GLOBAL INVESTMENTS CO., LTD. Other investment adviser, including financial planners
MIRAE ASSET HEDGE PARTNERS I LLC Sponsor, GP, manager of pooled investment vehicles
MIRAE ASSET SECURITIES (HK) LTD. Broker-dealer, municipal securities dealer, or gov securities broker or dealer
MIRAE ASSET SECURITIES (UK) LTD Broker-dealer, municipal securities dealer, or gov securities broker or dealer
MIRAE ASSET SECURITIES (USA) INC. Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners
MIRAE ASSET SECURITIES CO LTD Broker-dealer, municipal securities dealer, or gov securities broker or dealer
MIRAE ASSET VENTURES I LLC Sponsor, GP, manager of pooled investment vehicles
MIRAE ASSET VENTURES II LLC Sponsor, GP, manager of pooled investment vehicles
MIRAE ASSET VENTURES III LLC Sponsor, GP, manager of pooled investment vehicles
MIRAE ASSET VENTURES IV LLC Sponsor, GP, manager of pooled investment vehicles

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
MADTF CO-INVEST I LLC Venture Capital Fund $8.0M $0.1M 1
MIRAE ASSET AB CO-INVEST, LP Venture Capital Fund $9.2M $0.1M 2
MIRAE ASSET APEEL FUND I LP Venture Capital Fund $25.0M $0.1M 7
MIRAE ASSET DISRUPTIVE TECHNOLOGIES FUND I, LP Venture Capital Fund $113.7M $0.1M 3
MIRAE ASSET FUTURE FUND I LP Venture Capital Fund $7.0M $0.1M 11
MIRAE ASSET IRON FUND I, LP Venture Capital Fund $10.1M $0.1M 4
MIRAE ASSET PARTNER OPPORTUNITIES FUND I LP Venture Capital Fund $18.6M $0.1M 2
MIRAE ASSET PROJECT MARS FUND I, LP Venture Capital Fund $139.7M $0.1M 5
MIRAE ASSET PROJECT MARS FUND III, LP Venture Capital Fund $115.3M $0.1M 5
MIRAE ASSET PROJECT MARS FUND IV, LP Venture Capital Fund $12.7M $0.1M 4
MIRAE ASSET PROJECT PLANET FUND I LP Venture Capital Fund $53.7M $0.1M 9
MIRAE ASSET PROJECT PLANET FUND II LP Venture Capital Fund $33.6M $0.1M 5
MIRAE ASSET PROJECT PLANET FUND III LP Venture Capital Fund $252.0M $0.1M 8
MIRAE ASSET PROJECT X FUND I, LP Venture Capital Fund $44.5M $0.1M 4

Control Persons

Name Type Entity Title Since Ownership
MIRAE ASSET GLOBAL INVESTMENTS (USA) INC. Domestic Entity – MEMBER 04/2008 > 75%
MIRAE ASSET GLOBAL INVESTMENTS (HONG KONG) LIMITED Foreign Entity MIRAE ASSET GLOBAL INVESTMENTS (USA) INC. SHAREHOLDER 04/2008 25-50%
PARK, HYEON JOO Individual MIRAE ASSET GLOBAL INVESTMENTS CO., LTD. SHAREHOLDER 01/2006 > 75%
MIRAE ASSET GLOBAL INVESTMENTS CO., LTD. Foreign Entity MIRAE ASSET GLOBAL INVESTMENTS (HONG KONG) LIMITED SHAREHOLDER 03/2011 > 75%
MIRAE ASSET GLOBAL INVESTMENTS CO., LTD. Foreign Entity MIRAE ASSET GLOBAL INVESTMENTS (USA) INC. SHAREHOLDER 03/2011 50-75%
HEO, JOON HYUK Individual – CO-CHIEF EXECUTIVE OFFICER 12/2022 < 5%
PARK, THOMAS, JEFFERSON Individual – CO-CHIEF EXECUTIVE OFFICER 12/2022 < 5%
APONTE, ARMAND Individual – HEAD OF LEGAL/ CHIEF COMPLIANCE OFFICER 02/2023 < 5%
Wong, Stephen Individual – HEAD OF FINANCE 01/2018 < 5%

No. Employees, Historic

4020020202021202220232024202538 on 3/30/202038 on 4/9/202038 on 3/31/202138 on 4/19/202138 on 6/21/202138 on 3/17/202235 on 3/29/202235 on 6/7/202235 on 2/13/202338 on 3/27/202338 on 6/15/202330 on 3/27/2024

RAUM, Historic

8B4B02020202120222023202420255098742845 on 3/30/20205098742845 on 4/9/20207257937756 on 3/31/20217257937756 on 4/19/20217257937756 on 6/21/20217257937756 on 3/17/20226542471949 on 3/29/20226542471949 on 6/7/20226542471949 on 2/13/20234701187666 on 3/27/20234652527006 on 6/15/20234239890182 on 3/27/2024

No. Clients, Historic

5025020202021202220232024202539 on 3/30/202039 on 4/9/202039 on 3/31/202139 on 4/19/202139 on 6/21/202139 on 3/17/202248 on 3/29/202248 on 6/7/202248 on 2/13/202346 on 3/27/202345 on 6/15/202346 on 3/27/2024