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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

INSTITUTIONAL SECURITIES CORPORATION

CRD 20291

DALLAS, TX

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:fdd33c37-8891-9341-84ad-a60f229f8d90

Data as of Mar 28, 2013 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:54 PM UTC and rebuilt at most every 15 minutes.

Relationships: 26
Dated events: 0
On other graphs: 0
Observed: Mar 29, 2012 to Mar 28, 2013
3 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: $539MItem 5.F on the latest filing (2013-03-28); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $255M
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: 0
Employees: 28
Advisory employees: 22
Accounts: 1,575
SEC number: 801-36967
CRD: 20291
Filings on the tape: 3
First filed: Mar 29, 2012
Latest filed: Mar 28, 2013
Organised: Corporation, Texas

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
HAYES, SCOTT ALLEN	Member	D	yes	12/2012	Mar 29, 2012	Mar 28, 2013
HAYES, SCOTT ALLEN	CHIEF COMPLIANCE OFFICER	Na	yes	11/2004	Mar 29, 2012	Mar 28, 2013
HILL, TERRY LEE	EXECUTIVE VICE PRESIDENT	Na	yes	03/2013	Mar 29, 2012	Mar 28, 2013
ISC GROUP, INC.	OWNS APPLICANT	E	yes	07/1989	Mar 29, 2012	Mar 28, 2013
ISC INVESTMENTMENT MANAGEMENT LLC	Owner	E	yes	03/2013	Mar 28, 2013	Mar 28, 2013
STERLING, DONALD WILLIAM	FINANCIAL OPERATIONS PRINCIPAL	Na	no	06/1993	Mar 29, 2012	Mar 28, 2013

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
INSTITUTIONAL SECURITIES CORPORATION	n/a	Former SEC adviser	$539M	Y	yes	n/a

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
2012	Mar 28, 2013	$539M	$255M	28	22	n/a	n/a	n/a
2011	Mar 29, 2012	$419M	$15.8M	n/a	n/a	n/a	n/a	n/a

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
2012	$539M	$419M	28.6%	n/a	n/a	28	n/a	n/a	n/a

Relationships

Affiliated with (2)

← ISC ADVISORS, INC.Registered adviserbroker-dealer, common control
factForm ADV
→ INSTITUTIONAL SECURITIES CORPORATIONRegistered adviserother investment adviser, broker-dealer, control, common control
factForm ADV

Owns (1)

← STERLING, DONALD WILLIAMOwnerFINANCIAL OPERATIONS PRINCIPAL, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV

Controls (4)

← HAYES, SCOTT ALLENOwnerMEMBER, ownership code D, individual
Mar 29, 2012 to presentfactForm ADV
← HILL, TERRY LEEOwnerEXECUTIVE VICE PRESIDENT, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV
← ISC GROUP, INC.OwnerOWNS APPLICANT, ownership code E, domestic entity
Mar 29, 2012 to presentfactForm ADV
← ISC INVESTMENTMENT MANAGEMENT LLCOwnerOWNER, ownership code E, domestic entity
Mar 28, 2013 to presentfactForm ADV

Registered with (18)

← GLENN CURTIS MAYOAdvisorregistration: previous registration
Jul 7, 2006 to Dec 31, 2013factForm ADV
← CAREY STUART ROEBUCKAdvisorregistration: previous registration
Jan 9, 2008 to Dec 31, 2013factForm ADV
← PATRICK JAY STUHRAdvisorregistration: previous registration
Mar 1, 2010 to Dec 31, 2013factForm ADV
← Crystal ScottAdvisorregistration: previous registration
Feb 14, 2013 to Dec 31, 2013factForm ADV
← ELIZABETH GRARIAdvisorregistration: previous registration
Mar 7, 2011 to Dec 31, 2013factForm ADV
← ROBERT LANE DAHSEAdvisorregistration: previous registration
Nov 8, 2012 to Dec 31, 2013factForm ADV
← ERIC JAMES BLUDAUAdvisorregistration: previous registration
Apr 23, 2013 to Dec 31, 2013factForm ADV
← MELISSA ANNE COXAdvisorregistration: previous registration
Jan 3, 2007 to Dec 31, 2013factForm ADV
← STEVEN BRADLEY GRISTAdvisorregistration: previous registration
Jan 30, 2008 to Dec 31, 2013factForm ADV
← Terry Lee HillAdvisorregistration: previous registration
Jan 18, 2008 to Dec 31, 2013factForm ADV
← Floyd Thomas BernardAdvisorregistration: previous registration
Aug 4, 2011 to Dec 31, 2013factForm ADV
← JOSEPH ANDREW GIARDANOAdvisorregistration: previous registration
Oct 5, 2012 to Nov 6, 2012factForm ADV
← LARRY GLEN BRUNELLAdvisorregistration: previous registration
Nov 11, 2010 to Jun 2, 2011factForm ADV
← THOMAS JOHN OLEYAdvisorregistration: previous registration
Oct 8, 2008 to Sep 17, 2010factForm ADV
← GENTRY PARKS MOOREAdvisorregistration: previous registration
Jun 3, 2010 to Sep 17, 2010factForm ADV
← SHANNON SCOTT CARSONAdvisorregistration: previous registration
Feb 2, 2007 to Jan 11, 2010factForm ADV
← TEODORA KOMITOVA GRANTAdvisorregistration: previous registration
Oct 8, 2008 to Mar 25, 2009factForm ADV
← BRIAN KEITH MOONAdvisorregistration: previous registration
Jan 3, 2006 to Nov 7, 2008factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:fdd33c37-8891-9341-84ad-a60f229f8d90
First observed: Mar 29, 2012
Last observed: Mar 28, 2013 164 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.

INSTITUTIONAL SECURITIES CORPORATION

CRD 20291

DALLAS, TX

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:fdd33c37-8891-9341-84ad-a60f229f8d90

Data as of Mar 28, 2013 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:54 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

HAYES, SCOTT ALLEN

Member

yes

12/2012

Mar 29, 2012

Mar 28, 2013

HAYES, SCOTT ALLEN

CHIEF COMPLIANCE OFFICER

yes

11/2004

Mar 29, 2012

Mar 28, 2013

HILL, TERRY LEE

EXECUTIVE VICE PRESIDENT

yes

03/2013

Mar 29, 2012

Mar 28, 2013

ISC GROUP, INC.

OWNS APPLICANT

yes

07/1989

Mar 29, 2012

Mar 28, 2013

ISC INVESTMENTMENT MANAGEMENT LLC

Owner

yes

03/2013

Mar 28, 2013

STERLING, DONALD WILLIAM

FINANCIAL OPERATIONS PRINCIPAL

06/1993

Mar 29, 2012

Mar 28, 2013

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

INSTITUTIONAL SECURITIES CORPORATION

n/a

Former SEC adviser

$539M

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2012

Mar 28, 2013

$539M

$255M

n/a

2011

Mar 29, 2012

$419M

$15.8M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2012

$539M

$419M

28.6%

n/a