HAYS FINANCIAL GROUP, LLC
Adviser information for HAYS FINANCIAL GROUP, LLC last updated from Form ADV on March 28th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Minnesota, United States |
Employees
| Total Number of Employees | 7 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 4 |
| Registered State Investment Advisers | 4 |
| Licensed Agents of an Insurance Company | 3 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 152 | $297.6M |
| Non-Discretionary | 226 | $4.8B |
| Total | 378 | $5.1B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 140 | $23.7M |
| HNW Individuals | 8 | $29.4M |
| Banking or thrift institutions | <5 | $79.0M |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 226 | $4.8B |
| Charitable organizations | 13 | $48.0M |
| State or municipal gov entities | 5 | $72.6M |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for businesses or institutional clientsPension consulting services |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 43.2M |
| Portfolio Manager | 43.2M |
| Both for Same | 43.2M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| HFG WRAP FEE PROGRAM | HAYS FINANCIAL GROUP, LLC |
Identifiers
| SEC RIA File Number | 801-118389 |
|---|---|
| SEC ERA File Number | 801-118389 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 306877 |
| Legal Entity Identifier | None |
Principal Office
200 SOUTHDALE CENTERSUITE 700
EDINA
MN
United States
Monday - Friday, 8:30AM TO 5:00PM
Tel: (612) 373-9863, Fax: None
Chief Compliance Officer
JAMES P. MILEY
MANAGING DIRECTOR AND CHIEF INVESTMENT OFFICER
200 SOUTHDALE CENTER
EDINA
MN
United States
Tel:
(612) 373-9863
J*****@****************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| WHINNERY, BRIAN, JEROLD | Individual | – | MEMBER / PRESIDENT | 03/2020 | 10-25% |
| HG GROUP, INC. | Domestic Entity | – | MANAGING MEMBER | 11/2020 | 50-75% |
| EGAN, MICHAEL, JOHN | Individual | – | MEMBER AND CHIEF OPERATING OFFICER | 11/2020 | 10-25% |
| MILEY, JAMES, P | Individual | – | MEMBER / MANAGING DIRECTOR / CHIEF COMPLIANCE OFFICER | 11/2020 | 5-10% |
| HAYES, JAMES, C. | Individual | HG GROUP, INC. | PRESIDENT | 06/2016 | |
| JAMES C HAYS 2008 IRREVOVOCABLE TRUST | Domestic Entity | HG GROUP, INC. | MANAGING MEMBER | 06/2016 | 25-50% |
| HAYES, JAMES, C. | Individual | JAMES C HAYS 2008 IRREVOVOCABLE TRUST | TRUSTEE | 06/2016 | > 75% |