RICHARD YOUNG ASSOCIATES, LTD.
Adviser information for RICHARD YOUNG ASSOCIATES, LTD. last updated from Form ADV on February 28th, 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 | Illinois, United States |
Employees
| Total Number of Employees | 15 |
|---|---|
| Investment Advisory/Research | 7 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 7 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 4,349 | $837.5M |
| Non-Discretionary | 0 | $0 |
| Total | 4,349 | $837.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 1,520 | $388.6M |
| HNW Individuals | 205 | $444.0M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | <5 | $4.4M |
| Charitable organizations | <5 | $179,071 |
| 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 | <5 | $264,153 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesEducational seminars/workshops |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-70318 |
|---|---|
| SEC ERA File Number | 801-70318 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 126124 |
| Legal Entity Identifier | None |
Principal Office
205 HUDSON TRACESUITE A
AUGUSTA
GA
United States
Monday - Friday, 8:30 AM TO 5:00 PM
Tel: 706-739-0725, Fax: 706-739-0366
Chief Compliance Officer
WALTER S. MARBERT
PRESIDENT
205 HUDSON TRACE
SUITE A
AUGUSTA
GA
United States
Tel:
706-739-0725
Fax:
706-739-0366
S*******@*********M
(Full email address available in API data)
Regulatory Contact
WALTER S. MARBERT
PRESIDENT
205 HUDSON TRACE
SUITE A
AUGUSTA
GA
United States
Tel:
706-739-0725
Fax:
706-739-0366
S*******@*********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 |
|---|---|---|---|---|---|
| MARBERT, WALTER, STEPHEN | Individual | – | PRESIDENT/CHIEF COMPLIANCE OFFICER | 07/2002 | 50-75% |
| MARBERT, KATHRYN, O. | Individual | – | MEMBER/SHAREHOLDER | 05/2008 | 25-50% |