DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

Institutional Securities Corporation

Former SEC-registered adviserDallas, TexasCRD 20291SEC 801-36967IAPD
Latest filing Mar 28, 2013
First filing on the tape Mar 29, 2012 · 3 filings
RAUM
$539M
reported, Item 5.F
Discretionary
47%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
28
22 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$539M as of Mar 28, 2013
Mar 29, 2012$419M then
HNW client RAUM: no history
State-registered IARs (5.B.3)22 as of Mar 28, 2013
Mar 29, 20120 then
Employees (5.A): 28
Private funds: no history
RAUM +29% over the last fiscal yearIARs 0 to 22
Practice profile
derived from the filing of Mar 28, 2013; every figure names its basis
RAUM per advisor
$24.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$342,078derivedRAUM over accounts (5.F.2.f)
Discretionary
47%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
22.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+29%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, publicationsreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • is a broker-dealer (6.A.1)
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1,575reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourly, commissionsreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Scott Allen Hayes · Chief Compliance Officercontrol
    since 11/2004 · owns less than 5%
  • Terry Lee Hill · Executive Vice Presidentcontrol
    since 03/2013 · owns less than 5%
  • Scott Allen Hayes · Membercontrol
    since 12/2012 · owns 50% to 75% of Isc Investment Management LLC
  • Donald William Sterling · Financial Operations Principal
    since 06/1993 · owns less than 5%
Entity owners
  • Isc Group, Inc. · Owns Applicant
    direct · owns 75% or more
  • Isc Investmentment Management LLC · Owner
    indirect · owns 75% or more of Isc Group, Inc.
Related persons
Schedule D 7.A
Advisers that list Institutional Securities Corporation as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • RAUM · $419M to $539M
    Jul 23, 2012 to Mar 28, 2013
  • Accounts · 1,393 to 1,575
    Jul 23, 2012 to Mar 28, 2013
  • Advisory employees · unset to 22.0
    Jul 23, 2012 to Mar 28, 2013
  • BD registered reps · unset to 28.0
    Jul 23, 2012 to Mar 28, 2013
  • Employees · unset to 28.0
    Jul 23, 2012 to Mar 28, 2013
  • State-registered IARs · 0 to 22
    Jul 23, 2012 to Mar 28, 2013
  • Discretionary RAUM · $15.8M to $255M
    Jul 23, 2012 to Mar 28, 2013
  • Non-discretionary RAUM · $403M to $284M
    Jul 23, 2012 to Mar 28, 2013
  • Related adviser · false to true
    Jul 23, 2012 to Mar 28, 2013
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
Provenance
Form ADV
SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors
IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026