Yorktown Management and Research provides portfolio management for investment companies.
Yorktown Management and Research reports 1 investment company. These counts refer to investment vehicles, rather than the individual investors in them. Of its assets, 100.0% ($677M across 4 accounts) are managed with discretion.
| Client type | Clients | Assets |
|---|---|---|
| Investment companies | 100% | 100% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Investment companies | 1 | $677M | 100.0% | $677M |
| Total | 1 | $677M | 100% | $677M |
- Clients
- 1
- Regulatory AUM
- $677M
- AUM share
- 100.0%
- Avg. per client
- $677M
Total
- Clients
- 1
- Regulatory AUM
- $677M
- AUM share
- 100%
- Avg. per client
- $677M
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
Yorktown Management and Research is paid through a percentage of assets under management; its fees and minimums are set out in its brochures on the SEC website.
The leadership team of Yorktown Management and Research includes President David Basten, Chief Financial Officer Marvin Stratton and Chief Compliance Officer Austin Basten. It has 9 employees, 7 of them in advisory roles.
Leadership
- David BastenPresident & Director
- Marvin StrattonChief Financial Officer
- Austin BastenChief Compliance Officer
- Austin BastenSecretary/Treasurer & Director
- Leslie BastenDirector
- Alison SiglerShareholder
- David BastenShareholder
- Elizabeth BastenShareholder
Investment adviser representatives
1 representatives listed in the SEC register as of 9 October 2026.
- Patrick Joseph Connors
Staff
- 9 employees
- 7 in advisory functions
- 1 state-registered rep
- 3 broker-dealer reps
- Owns 10% to 25% of Yorktown Management and Research Co Inc
David Basten
since January 1985
- Owns 10% to 25% of Yorktown Management and Research Co Inc
Leslie Basten
since April 1991
- Owns 10% to 25% of Yorktown Management and Research Co Inc
R Basten Trust Fbo David Basten
since January 2020
- Owns 5% to 10% of Yorktown Management and Research Co Inc
Alison Sigler
since October 1994
- Owns 5% to 10% of Yorktown Management and Research Co Inc
Austin Basten
since February 2008
- Owns 5% to 10% of Yorktown Management and Research Co Inc
Elizabeth Basten
since August 2017
Yorktown Management and Research’s regulatory assets fell from $1.16B (January 2021) to $677M (March 2026); clients were 1 in both filings and employees fell from 19 to 9.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| March 2026 | $677M | 1 | 9 | 1 |
| March 2025 | $692M | 1 | 9 | 1 |
| March 2024 | $678M | 1 | 12 | 1 |
| March 2023 | $753M | 1 | 13 | 1 |
| March 2022 | $1.13B | 1 | 17 | 1 |
| January 2021 | $1.16B | 1 | 19 | 1 |
Besides its headquarters, Yorktown Management and Research has 0 offices, with 1 listed address in Virginia.
Virginia · 1 listed address
- 106 Annjo Court, Suite A, ForestHQ
Contact and registration details
- Legal name
- Yorktown Management and Research Co Inc
- Headquarters
- 106 Annjo Court, Suite A, Forest, VA 24551-2630
- Website
- yorktownfunds.com
- Phone
- 434-846-1361
- SEC file
- 801-23441
- Structure
- Maryland corporation
- Fiscal year end
- December
Yorktown Management and Research does not have custody of client assets.
Yorktown Management and Research’s reported 13F holdings for the quarter ended 30 June 2026 total $163M across 249 positions; the largest are Comfort Systems USA, Inc.. (3.6%), Ies Holdings, Inc.. (2.5%) and KLA Corporation (1.6%).
Reported 13F holdings
- $163M
- Reported 13F value
- 249
- Positions
- 16.2%
- In the 10 largest
- +36.6%
- Value vs. prior quarter
- Comfort Systems USA, Inc..3.6%
- Ies Holdings, Inc..2.5%
- KLA Corporation1.6%
- iShares Convertible Bond ETF · Conv BD ETF1.5%
- SPDR Bloomberg Convertible Securities ETF · ST Str Conv ETF1.3%
- Vanguard Emerging Markets Government Bond ETF · EM MK Gov BD ETF1.2%
- Guardant Health, Inc..1.1%
- Stonex Group, Inc..1.1%
- Fabrinet1.1%
- Nova Ltd.1.1%
Together, the ten largest are 16.2% of reported value.
How many clients does Yorktown Management and Research have?
Yorktown Management and Research has 1 client and manages $677 million for them, as of March 2026. They include 1 investment company.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 24 March 2026
What services does Yorktown Management and Research offer?
Yorktown Management and Research provides portfolio management for investment companies.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
How many financial advisors does Yorktown Management and Research have?
Yorktown Management and Research has 1 investment adviser representative registered with state securities authorities, out of 9 employees, and 7 perform investment advisory functions. 3 employees are registered representatives of a broker-dealer and 0 employees are licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
Who owns Yorktown Management and Research?
Yorktown Management and Research’s direct owners are David Basten, Leslie Basten, Alison Sigler, Austin Basten, Elizabeth Basten and R Basten Trust Fbo David Basten, each holding 25% or less.
Source: Form ADV Part 1A, Schedules A and B, filed 24 March 2026
How does Yorktown Management and Research get paid?
Yorktown Management and Research is paid through a percentage of assets under management. Its Form ADV lists no commissions or performance-based fees among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
How do I contact Yorktown Management and Research?
Yorktown Management and Research’s main office is at 106 Annjo Court, Suite A, Forest, VA 24551-2630. Its phone number is 434-846-1361. Its website is yorktownfunds.com.