WARLOCK LTD.
Firm details
- Headquarters
- LOUISVILLE, Kentucky
- CRD number
- 342413
- Registered since
- April 23, 2026
Firm profile
FINTRXOverview
Warlock Ltd. is organized as a limited liability company and is registered with the SEC in 2026. The firm is owned by an individual and is classified in the dataset as unclassified for broader advisory type. Its reported primary business activity is as a CPO/CTA (commodity pool operator or commodity trading advisor). Warlock Ltd. also lists affiliations with a broker-dealer and another investment adviser, suggesting it operates across multiple financial services silos rather than as a pure retail RIA. Public disclosures in the snapshot are sparse on client segmentation, fee schedules, and standard advisory activities. The firm is not flagged as an active ESG investor and does not identify as a multi-state or pension consultant adviser in the provided data.
Assets & Accounts
Investments & Alternatives
Location & Offices
Investment profile
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient base
Client personas
Contacts
1 of 1Xiaoxiang Li
DirectorCRD 8258993
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXLocation
LOUISVILLE, KY
JEFFERSON
Location
LOUISVILLE, KY
Headquartered in LOUISVILLE, KY, anchoring the Louisville/Jefferson County--Elizabethtown--Bardstown, KY-IN metro in the South.
- Metro area
- Louisville/Jefferson County--Elizabethtown--Bardstown, KY-IN
- Region
- South
- County
- JEFFERSON
- Address
- 401 S 4th St
- Time zone
- CT (UTC-6)
- Office locations
Similar firms
OAK PROOF MANAGEMENT LLC
Exempt Reporting AdvisorLOUISVILLE, KY
CHRYSALIS VENTURES
Exempt Reporting AdvisorLOUISVILLE, KY
EGATEWAY CAPITAL, LLC
Exempt Reporting AdvisorCOVINGTON, KY
HUNSICKER INVESTMENT MANAGEMENT, LLC
Exempt Reporting AdvisorLexington, KY
LAV MANAGEMENT COMPANY, LIMITED
Exempt Reporting AdvisorGRAND CAYMAN
BREVAN HOWARD (HONG KONG) LIMITED
Exempt Reporting AdvisorCENTRAL