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
Young Richard C & Co Ltd
Latest filing Mar 25, 2026
First filing on the tape Mar 28, 2012 · 17 filings
SEC status approved since Jan 3, 1990
RAUM
$1.8B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$1.8B individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$200M
derived; firm RAUM over IAPD count
Employees
14
8 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$1.8B as of Mar 25, 2026
Mar 28, 2012$882M then
HNW client RAUM$1.6B as of Mar 25, 2026
Mar 28, 2018$929M then
State-registered IARs (5.B.3)8 as of Mar 25, 2026
Mar 28, 20120 then
Employees (5.A)14 as of Mar 25, 2026
Mar 26, 201313 then
Private funds: no history
RAUM +15% over the last fiscal year+9.7% a year over threeIARs 7 to 8
Practice profile
derived from the filing of Mar 25, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $200MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 89derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $882,171derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 4.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +14%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.6%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Financial planning clients
- 1,000reportedItem 5.H
- 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
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.6B90%
- Individuals$148M8.2%
- Pension and profit-sharing plans$22.4M1.2%
- Corporations and businesses$13.7M0.8%
- Individual clients
- 293reported
- HNW clients
- 505reported
- Pension plan clients
- 8reported
- Charitable clients
- 0reported
- Accounts
- 2,042reported
- Financial planning clients
- 1,000reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
9 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Matthew Alexander Young | Naples, Fl | Jan 1, 2003 | 34 y | 0 |
| Allison Katherine Young | Naples, Fl | Jan 1, 2003 | 27 y | 0 |
| Christopher John Stack | Newport, Ri | Jan 1, 2003 | 28 y | 0 |
| Edward James Smith | Newport, Ri | Jan 1, 2003 | 29 y | 0 |
| Amy Lynn Evans | Naples, Fl | Oct 27, 2003 | 25 y | 0 |
| Karen Susanne Curry | Newport, Ri | Sep 24, 2009 | 20 y | 0 |
| Angela Garcia | Newport, Ri | Aug 2, 2021 | 12 y | 0 |
| Justin Charles Silvia | Newport, Ri | Feb 25, 2025 | 12 y | 0 |
| Richard Carlyle Young | Newport, Ri | Dec 10, 2025 | 36 y | 0 |
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
- James Hendrik Boxma to Creative PlanningJan 9, 2017 · Other
Joined, latest
- James Hendrik Boxma from Sagepoint Financial, Inc.May 20, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Lynn Amy Evans · Senior Vice Presidentcontrolsince 01/2007 · owns less than 5%
- John Christopher Stack · Senior Vice President / Chief Compliance Officercontrolsince 01/2007 · owns less than 5%
- Alexander Matthew Young · President & Ceocontrolsince 07/1997 · owns less than 5%
- Carlyle Richard Young · Chairmancontrolsince 11/1989 · owns 25% to 50%
Entity owners
- The Richard C. Young Family Trust - 2012 · Ownerdirect · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Newport, Ri · principal | 6 | 1 | 0 | ||
| Naples, Fl | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Naples, FL3 employees
What changed
consecutive filings, newest first
- Accounts · 2,036 to 2,042Mar 26, 2025 to Mar 25, 2026
- Advisory employees · 7 to 8Mar 26, 2025 to Mar 25, 2026
- Corporate clients · 10 to 7Mar 26, 2025 to Mar 25, 2026
- HNW clients · 465 to 505Mar 26, 2025 to Mar 25, 2026
- Individual clients · 313 to 293Mar 26, 2025 to Mar 25, 2026
- Pension plan clients · 9 to 8Mar 26, 2025 to Mar 25, 2026
- Employees · 13 to 14Mar 26, 2025 to Mar 25, 2026
- State-registered IARs · 7 to 8Mar 26, 2025 to Mar 25, 2026
- Discretionary RAUM · $1.6B to $1.8BMar 26, 2025 to Mar 25, 2026
- HNW RAUM · $1.4B to $1.6BMar 26, 2025 to Mar 25, 2026
- Individual RAUM · $166M to $148MMar 26, 2025 to Mar 25, 2026
- Pension RAUM · $20.9M to $22.4MMar 26, 2025 to Mar 25, 2026
- RAUM · $1.6B to $1.8BMar 26, 2025 to Mar 25, 2026
- Accounts · 1,992 to 2,036Mar 25, 2024 to Mar 26, 2025
- Advisory employees · 8 to 7Mar 25, 2024 to Mar 26, 2025
- HNW clients · 439 to 465Mar 25, 2024 to Mar 26, 2025
- Individual clients · 336 to 313Mar 25, 2024 to Mar 26, 2025
- Pension plan clients · 16 to 9Mar 25, 2024 to Mar 26, 2025
- Financial planning clients · More than 500 to More than 500Mar 25, 2024 to Mar 26, 2025
- Discretionary RAUM · $1.4B to $1.6BMar 25, 2024 to Mar 26, 2025
- HNW RAUM · $1.2B to $1.4BMar 25, 2024 to Mar 26, 2025
- Individual RAUM · $188M to $166MMar 25, 2024 to Mar 26, 2025
- Pension RAUM · $22.0M to $20.9MMar 25, 2024 to Mar 26, 2025
- RAUM · $1.4B to $1.6BMar 25, 2024 to Mar 26, 2025
- Accounts · 1,926 to 1,992Nov 30, 2023 to Mar 25, 2024
- Corporate clients · 8 to 10Nov 30, 2023 to Mar 25, 2024
- HNW clients · 428 to 439Nov 30, 2023 to Mar 25, 2024
- Individual clients · 372 to 336Nov 30, 2023 to Mar 25, 2024
- Employees · 14 to 13Nov 30, 2023 to Mar 25, 2024
- State-registered IARs · 8 to 7Nov 30, 2023 to Mar 25, 2024
- Discretionary RAUM · $1.4B to $1.4BNov 30, 2023 to Mar 25, 2024
- HNW RAUM · $1.2B to $1.2BNov 30, 2023 to Mar 25, 2024
- Individual RAUM · $185M to $188MNov 30, 2023 to Mar 25, 2024
- Pension RAUM · $17.9M to $22.0MNov 30, 2023 to Mar 25, 2024
- RAUM · $1.4B to $1.4BNov 30, 2023 to Mar 25, 2024
- Accounts · 1,881 to 1,926Mar 25, 2022 to Mar 29, 2023
- Corporate clients · 5 to 8Mar 25, 2022 to Mar 29, 2023
- HNW clients · 459 to 428Mar 25, 2022 to Mar 29, 2023
- Individual clients · 288 to 372Mar 25, 2022 to Mar 29, 2023
- Pension plan clients · 7 to 16Mar 25, 2022 to Mar 29, 2023
Signals
1 dated events
- David Jeremy Jones (Chief Investment Officer) no longer on Schedule A of Young Richard C & Co Ltd (listed 2023-03-29, absent 2023-11-30)Nov 30, 2023 · Control person left · inference
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
- Firm profile
- linkedin.com/company/richard-c-young-co-ltd/aboutreportedpublic record, Form ADV, Sep 17, 2026
- Website
- richardcyoung.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 401-849-2137reportedpublic record, Form ADV, Mar 25, 2026
- Contact form
- richardcyoung.com/contact-usreportedpublished by the firm, firm site, Sep 16, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $200Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026