DFS ADVISORY
TEAM HAYS INC. Legal Name
Adviser information for DFS ADVISORY last updated from Form ADV on March 20th, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Texas, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 3 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 483 | $78.8M |
| Non-Discretionary | 25 | $24.0M |
| Total | 508 | $102.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 483 | $33.3M |
| HNW Individuals | 24 | $37.8M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 25 | $27.0M |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | <5 | $4.7M |
| 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 individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-127517 |
|---|---|
| SEC ERA File Number | 801-127517 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 324992 |
| Legal Entity Identifier | None |
Principal Office
2220 SAN JACINTO BOULEVARDSUITE 110
DENTON
TX
United States
Monday - Friday, 8:30AM TO 5:00PM
Tel: (940) 297-1474, Fax: 940-226-1234
Chief Compliance Officer
JOEL T. HAYS
PRESIDENT
2220 SAN JACINTO BOULEVARD
SUITE 110
DENTON
TX
United States
Tel:
(940) 297-1474
C*********@*****************************M
(Full email address available in API data)
Industry Affiliates
| DISTINCT FINANCIAL SOLUTIONS INC. | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| HAYS, JOEL, TERRELL | Individual | – | PRESIDENT AND CHIEF COMPLIANCE OFFICER | 02/2023 | > 75% |