Hamilton Bates Investment Research, Inc.
- Regulatory AUM
- $61.4M
- Discretionary
- $61.4M
- Clients
- 254
- Avg AUM / client
- $242K
- Accounts
- 349
- Employees
- 5
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Feb 15, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 143 | $32.8M | 53.4% |
| High net worth individuals | 110 | $28.2M | 45.9% |
| Charitable organizations | 1 | $429K | 0.7% |
People (10)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Alan David Bates | Secretary/Chief Compliance Officer | Sep 1998 (28y) | 25% – 50% | |
| Richard Elwood Hamilton | President | Sep 1998 (28y) | 25% – 50% | |
| Darrell Arthur Fryer | Registered representative | Apr 2018 (8y) | ||
| Roderick Michael Latta | Registered representative | Jun 2020 (6y) | ||
| Eric Charles Bell | Registered representative | Jan 2025 (2y) | ||
| David Kirk Lightner | Registered representative | Aug 2025 (1y) | ||
| Marc Robert Calderon | Registered representative | Sep 2025 (1y) | ||
| Darren Singh Vera Cruz | Registered representative | Nov 2025 (1y) | ||
| Franklin Joe Garcia | Registered representative | Nov 2025 (1y) | ||
| Adrienne E Cooper | Registered representative | Dec 2025 (1y) |
Undisclosed: 0% – 50% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 02/15/2026 | 1.02 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- National Financial Services (Fidelity) $61.4M (100% of AUM) Feb 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Feb 15, 2026.
View current Form ADV (SEC/IAPD) ↗