9AT: WARRINGTON ASSET MANAGEMENT LLC

Adviser Profile

As of Date	01/07/2026
Registration status	Terminated
ADV Location	DALLAS, TX, United States
Contact Info	214 xxxxxxx
Websites

AUM^*	174,500,000 -36%
of that, discretionary	174,500,000 -36%
Number of Employees	4 -33%
of those in investment advisory functions	3
Private Fund GAV^*	0
Avg Account Size	43,625,000 -20%
% High Net Worth	< 0.01% -100%
SMA’s	No
Private Funds	0

Adviser Type

- Large advisory firm
- An investment adviser (or subadviser) to an investment company

Client Types

- Investment companies
- Pooled investment vehicles

Advisory Activities

- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles

Compensation Arrangments

- A percentage of assets under your management
- Performance-based fees

Adviser	Hedge Fund	Liquidity Fund	Private Equity Fund	Real Estate Fund	Securitized Asset Fund	Venture Capital Fund	Other Fund	Total Private Fund GAV	AUM	#Funds
Adviser UNION SQUARE CAPITAL PARTNERS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM188.7m	#Funds-
Adviser BRIGHT ROCK CAPITAL MANAGEMENT LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM536.0m	#Funds-
Adviser CLEARSHARES LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM382.5m	#Funds-
Adviser M FINANCIAL INVESTMENT ADVISERS INC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM1.0b	#Funds-
Adviser APPLIED FINANCE ADVISORS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM2.1b	#Funds-
Adviser DOUBLELINE ETF ADVISER LP	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM2.1b	#Funds-
Adviser DEFIANCE ETFS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM3.9b	#Funds-
Adviser NOVANT ASSET MANAGEMENT, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM945.8m	#Funds-
Adviser MOTLEY FOOL ASSET MANAGEMENT	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM2.6b	#Funds2
Adviser CURASSET CAPITAL MANAGEMENT, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM643.2m	#Funds-

Brochure Summary

Overview

General Information Warrington Asset Management, LLC (WAM) was formed in 1997, and provides portfolio management services to its clients. The principal owner of the company is Warrington PR LLC, which is in turn owned by Warrington Advisors, LLC and Kimple 2009 Trust. Please see our ADV Part 2B for more information on the individuals who formulate investment advice and have direct contact with clients or discretionary authority over client accounts. As of December 31, 2023, WAM managed $271,700,000 on a discretionary basis and no assets on a non-discretionary basis. Services Offered At the outset of each client relationship, WAM spends time with the client, asking questions, discussing the client's investment experience and determining the risk tolerance of the client to determine which of two strategies is most suited for the clients. WAM primarily recommends investments in commodities and futures. Portfolio Management Services – CTA Programs WAM begins the investment process of its CTA programs by surveying both technical and fundamental indicators. The technical indicators include, but are not limited to, Relative Strength Indicators, the S&P Short Range Oscillator, slow vs fast stochastics, the 50 vs 200 day moving averages, the put/call ratio, the McClellan oscillator, new highs vs new lows, the VIX and our proprietary “Band

Chart” which measures how overbought or oversold the S&P is at a given time. As described above, at the beginning of a client relationship, WAM meets with the client, gathers information, and performs research and analysis as necessary to determine which strategy suits the client’s risk tolerance. WAM manages the client's investment portfolio on a discretionary basis. As a discretionary investment adviser, WAM has the authority to supervise and direct the portfolio without prior consultation with the client. Notwithstanding the foregoing, clients may impose maximum margin limits on their accounts, but they may not restrict trading of any particular securities. Each client should note, however, that restrictions imposed by a client may adversely affect the composition and performance of the client's investment portfolio. Each client should also note that his or her investment portfolio is treated individually by giving consideration to each purchase or sale for the client's account. For these and other reasons, performance of client investment portfolios within the same investment objectives, goals and/or risk tolerance may differ, and clients should not expect that the composition or performance of their investment ~ 5 ~ portfolios would necessarily be consistent with similar clients of WAM if restrictions are imposed.

WARRINGTON ASSET MANAGEMENT LLC

WARRINGTON ASSET MANAGEMENT LLC

INVESTMENT MANAGEMENT

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Brochure Summary

Overview

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WARRINGTON ASSET MANAGEMENT LLC WARRINGTON ASSET MANAGEMENT LLC INVESTMENT MANAGEMENT

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Brochure Summary

Overview

WARRINGTON ASSET MANAGEMENT LLC

WARRINGTON ASSET MANAGEMENT LLC

INVESTMENT MANAGEMENT