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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

HAMILTON-BATES INVESTMENT RESEARCH, INC.

CRD 114127

NEWTOWN SQUARE, PA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:3a4784c3-8a78-1939-87e5-0cce59575e8a

Data as of Jul 23, 2012 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:35 AM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 0
On other graphs: 0
Observed: Mar 22, 2012 to Jul 23, 2012
6 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $33.4MItem 5.F on the latest filing (2012-07-23); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $32.5M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 10
RAUM per advisor: $3.3Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Accounts: 349
SEC number: 801-60463
CRD: 114127
Filings on the tape: 6
First filed: Mar 22, 2012
Latest filed: Jul 23, 2012
Organised: Corporation, Pennsylvania

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
ALAN DAVID BATES	n/a	NEWTOWN SQUARE, PA \| MERTZTOWN, PA	26	35	n/a	no
RICHARD ELWOOD HAMILTON	n/a	NEWTOWN SQUARE, PA	26	48	n/a	no
Darrell Arthur Fryer	n/a	SAN JUAN CAPISTRANO, CA	8	19	1	no
RODERICK MICHAEL LATTA	n/a	FORT WORTH, TX	6	40	2	no
ERIC CHARLES BELL	n/a	LAGUNA HILLS, CA \| DOVE CANYON, CA	1	28	6	no
DAVID KIRK LIGHTNER	n/a	LAGUNA NIGUEL, CA	1	31	2	no
MARC ROBERT CALDERON	n/a	ONTARIO, CA	0	16	n/a	no
FRANKLIN JOE GARCIA	n/a	YORBA LINDA, CA	0	30	3	no
Darren Singh Vera Cruz	n/a	PLACENTIA, CA	0	15	1	no
ADRIENNE E COOPER	n/a	CARDIFF, CA	0	32	n/a	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
BATES, ALAN, DAVID	SECRETARY/CHIEF COMPLIANCE OFFICER	C	yes	09/1998	Mar 22, 2012	Jul 23, 2012
HAMILTON, RICHARD, ELWOOD	President	C	yes	09/1998	Mar 22, 2012	Jul 23, 2012

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Mar 22, 2012	$33.4M	$32.5M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
2	0	2	0.0%	0	0	0	4	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2011	$33.4M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Registered with (10)

← ADRIENNE E COOPERAdvisorregistration: current employment
Dec 12, 2025 to presentfactForm ADV
← FRANKLIN JOE GARCIAAdvisorregistration: previous registration
May 3, 2012 to May 31, 2012factForm ADV
← Darren Singh Vera CruzAdvisorregistration: current employment
Nov 5, 2025 to presentfactForm ADV
← MARC ROBERT CALDERONAdvisorregistration: current employment
Sep 24, 2025 to presentfactForm ADV
← DAVID KIRK LIGHTNERAdvisorregistration: current employment
Aug 6, 2025 to presentfactForm ADV
← ERIC CHARLES BELLAdvisorregistration: current employment
Jan 14, 2025 to presentfactForm ADV
← RODERICK MICHAEL LATTAAdvisorregistration: current employment
Jun 10, 2020 to presentfactForm ADV
← Darrell Arthur FryerAdvisorregistration: current employment
Apr 9, 2018 to presentfactForm ADV
← RICHARD ELWOOD HAMILTONAdvisorregistration: current employment
Jul 28, 2000 to presentfactForm ADV
← ALAN DAVID BATESAdvisorregistration: current employment
Nov 19, 1999 to presentfactForm ADV

Controls (2)

← HAMILTON, RICHARD, ELWOODOwnerPRESIDENT, ownership code C, individual
Mar 22, 2012 to presentfactForm ADV
← BATES, ALAN, DAVIDOwnerSECRETARY/CHIEF COMPLIANCE OFFICER, ownership code C, individual
Mar 22, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3a4784c3-8a78-1939-87e5-0cce59575e8a
First observed: Mar 22, 2012
Last observed: Jul 23, 2012 172 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

HAMILTON-BATES INVESTMENT RESEARCH, INC.

CRD 114127

NEWTOWN SQUARE, PA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:3a4784c3-8a78-1939-87e5-0cce59575e8a

Data as of Jul 23, 2012 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:35 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

ALAN DAVID BATES

n/a

NEWTOWN SQUARE, PA | MERTZTOWN, PA

n/a

RICHARD ELWOOD HAMILTON

n/a

NEWTOWN SQUARE, PA

n/a

Darrell Arthur Fryer

n/a

SAN JUAN CAPISTRANO, CA

RODERICK MICHAEL LATTA

n/a

FORT WORTH, TX

ERIC CHARLES BELL

n/a

LAGUNA HILLS, CA | DOVE CANYON, CA

DAVID KIRK LIGHTNER

n/a

LAGUNA NIGUEL, CA

MARC ROBERT CALDERON

n/a

ONTARIO, CA

n/a

FRANKLIN JOE GARCIA

n/a

YORBA LINDA, CA

Darren Singh Vera Cruz

n/a

PLACENTIA, CA

ADRIENNE E COOPER

n/a

CARDIFF, CA

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BATES, ALAN, DAVID

SECRETARY/CHIEF COMPLIANCE OFFICER

yes

09/1998

Mar 22, 2012

Jul 23, 2012

HAMILTON, RICHARD, ELWOOD

President

yes

09/1998

Mar 22, 2012

Jul 23, 2012

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2011

Mar 22, 2012

$33.4M

$32.5M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2011

$33.4M

n/a