DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Yorktown Management And Research Co Inc
Latest filing Mar 24, 2026
First filing on the tape Mar 23, 2012 · 17 filings
SEC status approved since Feb 11, 1985
RAUM
$677M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$677M
derived; firm RAUM over IAPD count
Employees
9
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$677M as of Mar 24, 2026
Mar 23, 2012$326M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 24, 2026
Mar 23, 20120 then
Employees (5.A)9 as of Mar 24, 2026
Mar 26, 201315 then
Private funds: no history
RAUM -2.2% over the last fiscal year-3.5% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 24, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $677MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $169MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 9.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -2.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for investment companiesreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- has discretionary authority over which securities are bought or sold (8.C.1)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$677M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Patrick Joseph Connors | Forest, Va | Sep 6, 2023 | 28 y | 4 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Hernaldo Rivera to Linscomb Wealth, Inc.Dec 31, 2020 · Other
- Gregory Peter Ilukowicz to Allstate Financial Advisors, LLCSep 1, 2016 · Other
Joined, latest
- Patrick Joseph Connors from Columbia Management Investment Advisers, LLCMay 23, 2016 · Other
- Hernaldo Rivera from Bny Mellon Securities CorporationJan 13, 2015 · Other
- Gregory Peter Ilukowicz from Mutual Of Omaha Investor Services, Inc.Feb 11, 2014 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Duff Austin Basten · Secretary/Treasurer & Directorsince 02/2008 · owns 5% to 10%
- Dillard David Basten · President & Directorsince 01/1985 · owns 10% to 25%
- Mason David Basten · Shareholdersince 12/2012 · owns 10% to 25%
- Brentz Elizabeth Basten · Shareholdersince 08/2017 · owns 5% to 10%
- Mason Leslie Basten · Directorsince 04/1991 · owns 10% to 25%
- Douglas Charles Foster · Chief Financial Officersince 08/1988 · owns less than 5%
- Mason Alison Sigler · Shareholdersince 10/1994 · owns 5% to 10%
- Dillard David Basten · Trusteesince 01/2020 · owns F of R Basten Trust Fbo David Basten
Entity owners
- R Basten Trust Fbo David Basten · Shareholderdirect · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $692M to $677MOct 6, 2025 to Mar 24, 2026
- RAUM · $692M to $677MOct 6, 2025 to Mar 24, 2026
- Advisory employees · 8 to 7Mar 21, 2024 to Mar 27, 2025
- Employees · 12 to 9Mar 21, 2024 to Mar 27, 2025
- Financial planning clients · unset to Mar 21, 2024 to Mar 27, 2025
- State-registered IARs · 0 to 1Mar 21, 2024 to Mar 27, 2025
- Discretionary RAUM · $678M to $692MMar 21, 2024 to Mar 27, 2025
- RAUM · $678M to $692MMar 21, 2024 to Mar 27, 2025
- Accounts · 6 to 4Mar 13, 2023 to Mar 21, 2024
- BD registered reps · 4 to 3Mar 13, 2023 to Mar 21, 2024
- Employees · 13 to 12Mar 13, 2023 to Mar 21, 2024
- Discretionary RAUM · $753M to $678MMar 13, 2023 to Mar 21, 2024
- RAUM · $753M to $678MMar 13, 2023 to Mar 21, 2024
- Advisory employees · 9 to 8Mar 29, 2022 to Mar 13, 2023
- BD registered reps · 8 to 4Mar 29, 2022 to Mar 13, 2023
- Employees · 17 to 13Mar 29, 2022 to Mar 13, 2023
- State-registered IARs · 1 to 0Mar 29, 2022 to Mar 13, 2023
- Discretionary RAUM · $1.1B to $753MMar 29, 2022 to Mar 13, 2023
- RAUM · $1.1B to $753MMar 29, 2022 to Mar 13, 2023
- Advisory employees · 11 to 9Jan 13, 2021 to Mar 29, 2022
- BD registered reps · 10 to 8Jan 13, 2021 to Mar 29, 2022
- Employees · 19 to 17Jan 13, 2021 to Mar 29, 2022
- State-registered IARs · 2 to 1Jan 13, 2021 to Mar 29, 2022
- Discretionary RAUM · $1.2B to $1.1BJan 13, 2021 to Mar 29, 2022
- RAUM · $1.2B to $1.1BJan 13, 2021 to Mar 29, 2022
- HQ city · LYNCHBURG to FORESTMar 25, 2020 to Jan 13, 2021
- Discretionary RAUM · $1.3B to $1.2BMar 25, 2020 to Jan 13, 2021
- RAUM · $1.3B to $1.2BMar 25, 2020 to Jan 13, 2021
- Accounts · 7 to 6Mar 20, 2019 to Mar 25, 2020
- Advisory employees · 7 to 11Mar 20, 2019 to Mar 25, 2020
- BD registered reps · 8 to 10Mar 20, 2019 to Mar 25, 2020
- Employees · 16 to 19Mar 20, 2019 to Mar 25, 2020
- Discretionary RAUM · $1.2B to $1.3BMar 20, 2019 to Mar 25, 2020
- RAUM · $1.2B to $1.3BMar 20, 2019 to Mar 25, 2020
- Employees · 17 to 16Mar 26, 2018 to Mar 20, 2019
- State-registered IARs · 3 to 2Mar 26, 2018 to Mar 20, 2019
- Discretionary RAUM · $1.2B to $1.2BMar 26, 2018 to Mar 20, 2019
- RAUM · $1.2B to $1.2BMar 26, 2018 to Mar 20, 2019
- Pooled vehicle clients · unset to 0.0Mar 27, 2017 to Mar 26, 2018
- Other offices · unset to 0.0Mar 27, 2017 to Mar 26, 2018
Signals
1 dated events
- Yorktown Management And Research Co Inc reported RAUM $753.4M, down 33% from $1.1B (2022-03-29 to 2023-03-13)Mar 13, 2023 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Principal office phone
- 434-846-1361reportedpublic record, Form ADV, Mar 24, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $677Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026