WARLOCK LTD.

Exempt Reporting AdvisorFINRA MemberEst. 2026
Total AUM
Accounts
0
Advisory reps
1
Brokerage reps
0
Avg account
$0

Firm details

Headquarters
LOUISVILLE, Kentucky
CRD number
342413
Registered since
April 23, 2026

Firm profile

FINTRX

Overview

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

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

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CRM & tech providers

TAMPs used

Clients

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Client base

Client personas

Contacts

1 of 1
  • Xiaoxiang Li

    DirectorCRD 8258993

Wealth teams

FINTRX

Newly hired reps

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Recent M&A activity

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Recent filings

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Awards

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Location

Primary office

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

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth