WARRINGTON ASSET MANAGEMENT LLC
Adviser information for WARRINGTON ASSET MANAGEMENT LLC last updated from Form ADV on March 12th, 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 | 6 |
|---|---|
| Investment Advisory/Research | 3 |
| 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 | 5 | $271.7M |
| Non-Discretionary | 0 | $0 |
| Total | 5 | $271.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 2 | $7.0M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 2 | $249.2M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 1 | $15.5M |
| 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 | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for investment companies |
|---|---|
| Compensation | % of AUMPerformance-based fees |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Identifiers
| SEC RIA File Number | 801-111865 |
|---|---|
| SEC ERA File Number | 801-111865 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 290065 |
| Legal Entity Identifier | None |
Principal Office
200 CRESCENT COURTSUITE 520
DALLAS
TX
United States
Monday - Friday, 8AM UNTIL 5:30PM
Tel: 214-230-2100, Fax: None
Websites
Chief Compliance Officer
MARK ADAMS
CQO / ASSISTANT PORTFOLIO MANAGER
200 CRESCENT COURT
SUITE 520
DALLAS
TX
United States
Tel:
214-230-2102
M***@******************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| KIMPLE, SCOTT, CARLISLE | Individual | – | SOLE MANAGER | 10/2008 | < 5% |
| WARRINGTON PR LLC | Domestic Entity | – | SOLE MEMBER | 07/2013 | > 75% |
| ADAMS, MARK, WILLIAM | Individual | – | CHIEF COMPLIANCE OFFICER | 03/2023 | < 5% |
| WARRINGTON ADVISORS, LLC | Domestic Entity | WARRINGTON PR LLC | SOLE MEMBER | 01/2015 | > 75% |
| KIMPLE 2009 TRUST | Domestic Entity | WARRINGTON ADVISORS, LLC | SOLE MEMBER | 01/2015 | > 75% |