YORKTOWN MANAGEMENT AND RESEARCH CO INC
Adviser information for YORKTOWN MANAGEMENT AND RESEARCH CO INC last updated from Form ADV on March 21st, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Maryland, United States |
Employees
| Total Number of Employees | 12 |
|---|---|
| Investment Advisory/Research | 8 |
| Registered Broker-Dealer Representatives | 3 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 4 | $678.3M |
| Non-Discretionary | 0 | $0 |
| Total | 4 | $678.3M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $678.3M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for investment companies |
|---|---|
| Compensation | % of AUM |
Principal Office
106 ANNJO COURTSUITE A
FOREST
VA
United States
Monday - Friday, 9:00 A.M. TO 5:00 P.M.
Tel: 434-846-1361, Fax: 434-846-1837
Chief Compliance Officer
AUSTIN DUFF BASTEN
106 ANNJO COURT
SUITE A
FOREST
VA
United States
Tel:
(434) 846-1361
Fax:
(434) 846-1837
A******@****************M
(Full email address available in API data)
Regulatory Contact
FOSTER, CHARLES D.
CHIEF FINANCIAL OFFICER
106 ANNJO COURT
SUITE A
FOREST
VA
United States
Tel:
(434) 846-1361
Fax:
(434) 846-1837
C******@****************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| BASTEN, DAVID, DILLARD | Individual | – | PRESIDENT & DIRECTOR | 01/1985 | 10-25% |
| BASTEN, LESLIE, MASON | Individual | – | DIRECTOR | 04/1991 | 10-25% |
| FOSTER, CHARLES, DOUGLAS | Individual | – | CHIEF FINANCIAL OFFICER | 08/1988 | < 5% |
| SIGLER, ALISON, MASON | Individual | – | SHAREHOLDER | 10/1994 | 5-10% |
| Basten, Austin, Duff | Individual | – | SECRETARY/TREASURER & DIRECTOR | 02/2008 | 5-10% |
| Basten, Austin, Duff | Individual | – | CHIEF COMPLIANCE OFFICER | 09/2009 | 5-10% |
| BASTEN, DAVID, MASON | Individual | – | SHAREHOLDER | 12/2012 | 10-25% |
| BASTEN, ELIZABETH, BRENTZ | Individual | – | SHAREHOLDER | 08/2017 | 5-10% |
| R BASTEN TRUST FBO DAVID BASTEN | Domestic Entity | – | SHAREHOLDER | 01/2020 | 10-25% |
| BASTEN, DAVID, DILLARD | Individual | R BASTEN TRUST FBO DAVID BASTEN | TRUSTEE | 01/2020 |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed July 30th, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| ASE Technology Holding Co Ltd. | SPONSORED ADS | 452K | 40K | – |
| AZZ, Inc. | COM | 290K | 4K | – |
| Advanced Drainage Systems, Inc. | COM | 497K | 3K | – |
| Aerovironment, Inc. | COM | 363K | 2K | – |
| Amkor Technology, Inc. | COM | 850K | 21K | – |
| APA Corp. | COM | 291K | 10K | – |
| Arista Networks, Inc. | COM | 859K | 2K | – |
| Assetmark Financial Holdings, Inc. | COM | 351K | 10K | – |
| Atkore International Group, Inc. | COM | 513K | 4K | – |
| Axcelis Technologies, Inc. | COM NEW | 299K | 2K | – |
| Axon Enterprise, Inc. | COM | 552K | 2K | – |
| BJ's Wholesale Club Holdings, Inc. | COM | 878K | 10K | – |
| Badger Meter, Inc. | COM | 307K | 2K | – |
| Bio-Techne Corp. | COM | 258K | 4K | – |
| Boise Cascade Co. | COM | 334K | 3K | – |
| Boot Barn Holdings, Inc. | COM | 219K | 2K | – |
| Boyd Gaming Corp. | COM | 292K | 5K | – |
| Brookfield Asset Management Ltd. | CL A LMT VTG SHS | 214K | 6K | – |
| CBRE Group, Inc. | CL A | 597K | 7K | – |
| CDW Corp. | COM | 492K | 2K | – |
| CF Industries Holdings, Inc. | COM | 319K | 4K | – |
| CSW Industrials, Inc. | COM | 345K | 1K | – |
| Cabot Corp. | COM | 294K | 3K | – |
| Cactus, Inc. | CL A | 319K | 6K | – |
| The Carlyle Group, Inc. | COM | 426K | 11K | – |
| Casey's General Stores, Inc. | COM | 458K | 1K | – |
| Catalyst Pharmaceuticals, Inc. | COM | 314K | 20K | – |
| Cavco Industries, Inc. | COM | 277K | 800 | – |
| Celanese Corp. | COM | 337K | 3K | – |
| Charles River Laboratories International, Inc. | COM | 372K | 2K | – |
| Chefs' Warehouse, Inc./The | COM | 276K | 7K | – |
| Churchill Downs, Inc. | COM | 433K | 3K | – |
| Cirrus Logic, Inc. | COM | 600K | 5K | – |
| Civitas Resources, Inc. | COM NEW | 317K | 5K | – |
| Clean Harbors, Inc. | COM | 328K | 1K | – |
| Comfort Systems USA, Inc. | COM | 1M | 4K | – |
| Commercial Metals Co. | COM | 478K | 9K | – |
| Construction Partners Inc | COM CL A | 265K | 5K | – |
| Copart, Inc. | COM | 509K | 9K | – |
| Core & Main, Inc. | CL A | 940K | 19K | – |
| CubeSmart | COM | 321K | 7K | – |
| D.R. Horton, Inc. | COM | 507K | 4K | – |
| Descartes Systems Group, Inc./The | COM | 794K | 8K | – |
| Dick's Sporting Goods, Inc. | COM | 688K | 3K | – |
| Digi International, Inc. | COM | 488K | 21K | – |
| Dorman Products, Inc. | COM | 338K | 4K | – |
| DraftKings, Inc. | COM CL A | 380K | 10K | – |
| Dynatrace, Inc. | COM NEW | 474K | 11K | – |
| elf Beauty, Inc. | COM | 695K | 3K | – |
| Eagle Materials, Inc. | COM | 960K | 4K | – |
| Encore Wire Corp. | COM | 384K | 1K | – |
| Ensign Group, Inc./The | COM | 260K | 2K | – |
| Entegris, Inc. | COM | 528K | 4K | – |
| Evercore Partners, Inc. | CLASS A | 495K | 2K | – |
| ExlService Holdings, Inc. | COM | 379K | 12K | – |
| Expeditors International of Washington, Inc. | COM | 324K | 3K | – |
| FirstService Corp. | COM | 350K | 2K | – |
| Five Below, Inc. | COM | 262K | 2K | – |
| Fortinet, Inc. | COM | 298K | 5K | – |
| Franklin Electric Co., Inc. | COM | 578K | 6K | – |
| Freedom Holding Corp/NV | COM | 279K | 4K | – |
| GMS, INC. | COM | 250K | 3K | – |
| Generac Holdings, Inc. | COM | 410K | 3K | – |
| Globus Medical, Inc. | CL A | 438K | 6K | – |
| Gold Fields Ltd. | SPONSORED ADR | 339K | 23K | – |
| Goosehead Insurance Inc | COM CL A | 290K | 5K | – |
| Graphic Packaging Holding Co. | COM | 274K | 10K | – |
| Gravity Co. Ltd. | SPONSORED ADS NE | 412K | 5K | – |
| Greenbrier Companies, Inc./The | COM | 431K | 9K | – |
| Grupo Aeroportuario del Sureste SAB de CV | SPON ADR SER B | 416K | 1K | – |
| HF Sinaclair Corp. | COM | 325K | 6K | – |
| Hamilton Lane, Inc. | CL A | 692K | 6K | – |
| HERC HOLDINGS IN | COM | 507K | 4K | – |
| Houlihan Lokey, Inc. | CL A | 519K | 4K | – |
| IES Holdings, Inc. | COM | 752K | 5K | – |
| Ingersoll Rand, Inc. | COM | 881K | 10K | – |
| Insmed, Inc. | COM PAR $.01 | 735K | 11K | – |
| Installed Building Products, Inc. | COM | 541K | 3K | – |
| I3 Verticals, Inc. | COM CL A | 298K | 14K | – |
| James Hardie Industries PLC | SPONSORED ADR | 388K | 12K | – |
| Janus International Group, Inc. | COMMON STOCK | 145K | 12K | – |
| KLA-Tencor Corp. | COM NEW | 1M | 2K | – |
| KKR & Co. LP | COM | 1M | 10K | – |
| Kinsale Capital Group, Inc. | COM | 501K | 1K | – |
| Kirby Corp. | COM | 832K | 7K | – |
| Korn/Ferry International | COM NEW | 383K | 6K | – |
| Kulicke & Soffa Industries, Inc. | COM | 359K | 7K | – |
| LPL Financial Holdings, Inc. | COM | 2M | 6K | – |
| Landstar System, Inc. | COM | 415K | 2K | – |
| Lattice Semiconductor Corp. | COM | 377K | 7K | – |
| Lithia Motors, Inc. | COM | 530K | 2K | – |
| MKS Instruments, Inc. | COM | 457K | 4K | – |
| Masterbrand Inc. | COMMON STOCK | 597K | 41K | – |
| Matador Resources Co. | COM | 632K | 11K | – |
| Matson, Inc. | COM | 773K | 6K | – |
| Medpace Holdings, Inc. | COM | 741K | 2K | – |
| Merchants Bancorp/IN | COM | 357K | 9K | – |
| Modine Manufacturing Co. | COM | 416K | 4K | – |
| Monolithic Power Systems, Inc. | COM | 534K | 650 | – |
| Mueller Industries, Inc. | COM | 1M | 25K | – |
| NICE-Systems Ltd. | SPONSORED ADR | 361K | 2K | – |
| Northern Oil and Gas, Inc. | COM | 665K | 18K | – |
| Novanta, Inc. | COM | 375K | 2K | – |
| Onto Innovation, Inc. | COM | 687K | 3K | – |
| Ovintiv, Inc. | COM | 483K | 10K | – |
| PTC, Inc. | COM | 509K | 3K | – |
| PACS Group, Inc. | COM SHS | 304K | 10K | – |
| Pampa Energia SA | SPONS ADR LVL I | 319K | 7K | – |
| Patrick Industries, Inc. | COM | 402K | 4K | – |
| Paycom Software, Inc. | COM | 472K | 3K | – |
| Paylocity Holdings Corp. | COM | 435K | 3K | – |
| Penumbra, Inc. | COM | 540K | 3K | – |
| Performance Food Group Co. | COM | 372K | 6K | – |
| Permian Resources Corp. | CLASS A COM | 722K | 45K | – |
| Phinia, Inc. | COMMON STOCK | 412K | 10K | – |
| Pilgrim's Pride Corp. | COM | 346K | 9K | – |
| PulteGroup, Inc. | COM | 440K | 4K | – |
| Qualys, Inc. | COM | 670K | 5K | – |
| Rambus, Inc. | COM | 1M | 18K | – |
| Range Resources Corp. | COM | 359K | 11K | – |
| Raymond James Financial, Inc. | COM | 797K | 6K | – |
| RBC Bearings, Inc. | COM | 270K | 1K | – |
| Regal Rexnord Corp. | COM | 311K | 2K | – |
| Repligen Corp. | COM | 271K | 2K | – |
| Robinhood Markets, Inc. | COM CL A | 407K | 18K | – |
| Rollins, Inc. | COM | 356K | 7K | – |
| SPS Commerce, Inc. | COM | 815K | 4K | – |
| Saia, Inc. | COM | 873K | 2K | – |
| Shift4 Payments, Inc. | CL A | 315K | 4K | – |
| The Simply Good Foods Co. | COM | 354K | 10K | – |
| Simpson Manufacturing Co., Inc. | COM | 320K | 2K | – |
| Skyline Champion Corp. | COM | 298K | 4K | – |
| Steel Dynamics, Inc. | COM | 460K | 4K | – |
| Stifel Financial Corp. | COM | 412K | 5K | – |
| STMicroelectronics NV | NY REGISTRY | 369K | 9K | – |
| StoneX Group, Inc. | COM | 361K | 5K | – |
| Super Micro Computer, Inc. | COM | 3M | 4K | – |
| TD SYNNEX Corp. | COM | 312K | 3K | – |
| TaskUS, Inc. | CLASS A COM | 160K | 12K | – |
| Taylor Morrison Home Corp. | COM | 410K | 7K | – |
| Teledyne Technologies, Inc. | COM | 349K | 900 | – |
| Tenaris SA | SPONSORED ADS | 345K | 11K | – |
| Ternium SA | SPONSORED ADS | 311K | 8K | – |
| Tetra Tech, Inc. | COM | 286K | 1K | – |
| Texas Pacific Land Corp. | COM | 352K | 480 | – |
| Texas Roadhouse, Inc. | COM | 326K | 2K | – |
| Trade Desk, Inc./The | COM CL A | 557K | 6K | – |
| Thor Industries, Inc. | COM | 311K | 3K | – |
| TopBuild Corp. | COM | 501K | 1K | – |
| Toro Co./The | COM | 299K | 3K | – |
| Tractor Supply Co. | COM | 392K | 1K | – |
| Tradeweb Markets, Inc. | CL A | 514K | 5K | – |
| Trex Co., Inc. | COM | 615K | 8K | – |
| Tyler Technologies, Inc. | COM | 830K | 2K | – |
| UFP TECHNOLOGIES, INC, | COM | 409K | 2K | – |
| UFP Industries, Inc. | COM | 706K | 6K | – |
| U.S. Silica Holdings, Inc. | COM | 277K | 18K | – |
| UNITED STATES LIME & MINERAL INC. | COM | 300K | 825 | – |
| Veeva Systems, Inc. | CL A COM | 302K | 2K | – |
| Verra Mobility Corp. | CL A COM STK | 272K | 10K | – |
| Vertiv Holdings Co. | COM CL A | 667K | 8K | – |
| Vitesse Energy Inc. | COMMON STOCK | 336K | 14K | – |
| Warrior Met Coal, Inc. | COM | 471K | 8K | – |
| WESCO International, Inc. | COM | 571K | 4K | – |
| West Fraser Timber Co. Ltd. | COM | 288K | 4K | – |
| Westlake Corp. | COM | 442K | 3K | – |
| WillScot Mobile Mini Holdings Corp. | COM CL A | 282K | 8K | – |
| Arcos Dorados Holdings Inc. | SHS CLASS -A - | 657K | 73K | – |
| Dole PLC | ORD SHS | 154K | 13K | – |
| Dlocal Ltd./Uruguay | CLASS A COM | 496K | 61K | – |
| Fabrinet | SHS | 930K | 4K | – |
| FTAI Aviation Ltd. | SHS | 599K | 6K | – |
| Grab Holdings Ltd. | CLASS A ORD | 185K | 52K | – |
| ICON PLC | SHS | 768K | 2K | – |
| Weatherford International PLC | ORD SHS | 355K | 3K | – |
| nVent Electric PLC | SHS | 314K | 4K | – |
| StoneCo Ltd. | COM CL A | 188K | 16K | – |
| XP, Inc. | CL A | 225K | 13K | – |
| Bunge Global SA | COM SHS | 342K | 3K | – |
| Logitech International S.A. | SHS | 727K | 8K | – |
| Sportradar Group AG | CLASS A ORD SHS | 319K | 29K | – |
| Globant SA | COM | 685K | 4K | – |
| Camtek Ltd. | ORD | 1M | 10K | – |
| CyberArk Software Ltd. | SHS | 848K | 3K | – |
| Frontline PLC | COM | 511K | 20K | – |
| Nova, Ltd. | COM | 422K | 2K | – |
| Oddity Tech Ltd. | SHS CL A | 283K | 7K | – |
| Copa Holdings SA | CL A | 300K | 3K | – |
| International Seaways, Inc. | COM | 322K | 5K | – |