ISC ADVISORS, INC. of DALLAS, TX is an SEC-registered investment adviser (CRD 166586). Regulatory assets under management: $1.6B.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Corporations.
| Name | Role | Location |
|---|---|---|
| Scott Allen Hayes | MEMBER; PRESIDENT; PRESIDENT & CEO | — |
| Donald William Sterling | FINANCIAL OPERATIONS PRINCIPAL | — |
| Derrill Chad Brantley | MEMBER | — |
| Christopher Wade Neidlinger | CHIEF COMPLIANCE OFFICER | — |
| Sharon Elaine Berry | COMPLIANCE OFFICER | — |
| Terry Lynn Blythe | CHIEF COMPLIANCE OFFICER; COMPLIANCE OFFICER | — |
| Andreya Starlite Weadon | COMPLIANCE OFFICER | — |
| Marcus Cole Mccain | CHIEF COMPLIANCE OFFICER | — |
| STERLING DONALD WILLIAM | FINANCIAL OPERATIONS PRINCIPAL | — |
| HILL TERRY LEE | EXECUTIVE VICE PRESIDENT | — |
| HAYES SCOTT ALLEN | MEMBER; PRESIDENT; PRESIDENT/CCO | — |
| BRANTLEY DERRILL CHAD | MEMBER | — |
| BLYTHE TERRY LYNN | CHIEF COMPLIANCE OFFICER; COMPLIANCE OFFICER | — |
| NEIDLINGER CHRISTOPHER WADE | CHIEF COMPLIANCE OFFICER | — |
| BERRY SHARON ELAINE | COMPLIANCE OFFICER | — |
| WEADON ANDREYA STARLITE | COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2018-12-04 | regulatory | THE FIRM ALLEGEDLY BREACHED OUR DUTY TO SEEK BEST EXECUTION, BY CAUSING CERTAIN ADVISORY CLIENTS TO INVEST IN FUND SHARE CLASSES THAT CHARGED 12B-1 FEES WHEN SHARE CLASSES OF THE SAME FUNDS THAT PRESENTED A MORE FAVORABLE VALUE FOR THESE CLIENTS UNDER THE PARTICULAR CIRCUMSTANCES IN PLACE AT THE TIM… | Final | $180K |
| — | regulatory | — | — | — |