Yorktown Management And Research Co Inc
- Regulatory AUM
- $677M
- Discretionary
- $677M
- Clients
- 1
- Avg AUM / client
- $677M
- Accounts
- 4
- Employees
- 9
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 24, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Investment companies | 1 | $677M | 100.0% |
People (8)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Basten, David, Dillard | President & Director | Jan 1985 (42y) | 10% – 25% | |
| Foster, Charles, Douglas | Chief Financial Officer | Aug 1988 (38y) | Less than 5% | |
| Basten, Leslie, Mason | Director | Apr 1991 (35y) | 10% – 25% | |
| Sigler, Alison, Mason | Shareholder | Oct 1994 (32y) | 5% – 10% | |
| Basten, Austin, Duff | Secretary/Treasurer & Director | Feb 2008 (19y) | 5% – 10% | |
| Basten, David, Mason | Shareholder | Dec 2012 (14y) | 10% – 25% | |
| Basten, Elizabeth, Brentz | Shareholder | Aug 2017 (9y) | 5% – 10% | |
| Patrick Joseph Connors | Registered representative | Sep 2023 (3y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| R Basten Trust Fbo David Basten | Shareholder | Jan 2020 | A | 10% – 25% |
Undisclosed: 0% – 45% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/24/2026 | 905 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
Services
- • Portfolio management for investment companies
Custody
Firm reports it does not have custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 24, 2026.
View current Form ADV (SEC/IAPD) ↗