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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

HAYS ADVISORY, LLC

CRD 113713

FRANKLIN, TN

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:9e2dcb0d-775d-c1c6-ab57-4d14e54fe2b2

Data as of May 7, 2018 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:08 PM UTC and rebuilt at most every 15 minutes.

Relationships: 15
Dated events: 1
On other graphs: 1
Observed: Mar 28, 2012 to May 7, 2018
19 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Allocatorsidentity

Hays Advisory, LLC

Investment consultant · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $293MItem 5.F on the latest filing (2018-05-07); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $293M
Private client RAUM: $281MderivedItem 5.D individuals plus high net worth individuals
Private client share: 96%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 10
Advisory employees: 4
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 1,219
Individual clients: 1,167
High net worth clients: 8
SEC number: 801-60453
CRD: 113713
Filings on the tape: 19
First filed: Mar 28, 2012
Latest filed: May 7, 2018
Organised: Limited Liability Company, Tennessee

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
BROOKS, MICHAEL, PRESTON	Member	C	yes	04/2014	Feb 6, 2018	May 7, 2018
CYPRESS CAPITAL, LLC	MANAGING MEMBER	E	yes	01/2018	Feb 6, 2018	May 7, 2018
DODSON, MARK, TOMAS	Member	C	yes	04/2014	Mar 28, 2012	May 7, 2018
HAYS, JEFFREY, DAVID	Member	C	yes	04/2014	Mar 28, 2012	May 7, 2018
HAYS, KEITH, ALAN	President	Na	yes	07/2016	Mar 28, 2012	May 7, 2018
HAYS, KEITH, ALAN	Member	C	yes	04/2014	Mar 28, 2012	May 7, 2018
VASQUEZ, WENDY, LYNN	CHIEF COMPLIANCE OFFICER	Na	yes	05/2018	Mar 28, 2012	May 7, 2018

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
CYPRESS CAPITAL ADVISORS, LLC	n/a	Independent wealth	$432M	N	yes	n/a
CYPRESS CAPITAL, LLC	n/a	Independent wealth	$426M	N	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2017	Mar 27, 2018	$293M	$293M	10	4	0	n/a	n/a
2016	Mar 31, 2017	$605M	$605M	14	4	n/a	n/a	n/a
2015	Mar 30, 2016	$841M	$841M	19	4	n/a	n/a	n/a
2014	Feb 24, 2015	$976M	$976M	18	4	n/a	n/a	n/a
2013	Mar 26, 2014	$1.1B	$1.1B	15	8	n/a	n/a	n/a
2012	Apr 1, 2013	$844M	$844M	16	8	n/a	n/a	n/a
2011	Mar 28, 2012	$818M	$818M	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2017	$293M	$605M	-51.6%	$976M	-33.1%	10	14	0	n/a

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
CYPRESS CAPITAL, LLC	3	Dec 31, 2018	Dec 17, 2025	FRANKLIN, TN	Firm absorbed	RIA to RIA	100.0%

Relationships

Affiliated with (3)

→ CYPRESS CAPITAL, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ MUSIC ROW WEALTH MANAGEMENTRegistered adviserother investment adviser, common control
factForm ADV
← HAYS CAPITAL MANAGEMENT, LLCRegistered adviserother investment adviser, common control
factForm ADV

Controls (6)

← HAYS, KEITH, ALANOwnerMEMBER, ownership code C, individual
Mar 28, 2012 to presentfactForm ADV
← HAYS, JEFFREY, DAVIDOwnerMEMBER, ownership code C, individual
Mar 28, 2012 to presentfactForm ADV
← VASQUEZ, WENDY, LYNNOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 28, 2012 to presentfactForm ADV
← DODSON, MARK, TOMASOwnerMEMBER, ownership code C, individual
Mar 28, 2012 to presentfactForm ADV
← BROOKS, MICHAEL, PRESTONOwnerMEMBER, ownership code C, individual
Feb 6, 2018 to presentfactForm ADV
← CYPRESS CAPITAL, LLCOwnerMANAGING MEMBER, ownership code E, domestic entity
Feb 6, 2018 to presentfactForm ADV

Moved with (1)

→ CYPRESS CAPITAL, LLCRegistered adviser3 advisors, firm absorbed, same day
Dec 31, 2018 to Dec 17, 2025factForm ADV

Registered with (4)

← KEITH ALAN HAYSAdvisorregistration: previous registration
Jun 17, 2004 to Dec 31, 2018factForm ADV
← JEFFREY DAVID HAYSAdvisorregistration: previous registration
Jun 17, 2004 to Dec 31, 2018factForm ADV
← MARK TOMAS DODSONAdvisorregistration: previous registration
Jun 17, 2004 to Dec 31, 2018factForm ADV
← MAX KOHN BROWNAdvisorregistration: previous registration
Aug 10, 2016 to Feb 3, 2017factForm ADV

Dated events

Occurred
Mar 27, 2018
Regulatory AUM changed
Hays Advisory, Llc reported RAUM $292.8M, down 52% from $605.1M (2018-02-06 to 2018-03-27)
Form ADVobserved 5 days ago
$-312M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9e2dcb0d-775d-c1c6-ab57-4d14e54fe2b2
First observed: Mar 28, 2012
Last observed: May 7, 2018 101 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

HAYS ADVISORY, LLC

CRD 113713

FRANKLIN, TN

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:9e2dcb0d-775d-c1c6-ab57-4d14e54fe2b2

Data as of May 7, 2018 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:08 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BROOKS, MICHAEL, PRESTON

Member

yes

04/2014

Feb 6, 2018

May 7, 2018

CYPRESS CAPITAL, LLC

MANAGING MEMBER

yes

01/2018

Feb 6, 2018

May 7, 2018

DODSON, MARK, TOMAS

Member

yes

04/2014

Mar 28, 2012

May 7, 2018

HAYS, JEFFREY, DAVID

Member

yes

04/2014

Mar 28, 2012

May 7, 2018

HAYS, KEITH, ALAN

President

yes

07/2016

Mar 28, 2012

May 7, 2018

HAYS, KEITH, ALAN

Member

yes

04/2014

Mar 28, 2012

May 7, 2018

VASQUEZ, WENDY, LYNN

CHIEF COMPLIANCE OFFICER

yes

05/2018

Mar 28, 2012

May 7, 2018

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

CYPRESS CAPITAL ADVISORS, LLC

n/a

Independent wealth

$432M

yes

n/a

CYPRESS CAPITAL, LLC

n/a

Independent wealth

$426M

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2017

Mar 27, 2018

$293M

n/a

2016

Mar 31, 2017

$605M

n/a

2015

Mar 30, 2016

$841M

n/a

2014

Feb 24, 2015

$976M

n/a

2013

Mar 26, 2014

$1.1B

n/a

2012

Apr 1, 2013

$844M

n/a

2011

Mar 28, 2012

$818M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2017

$293M

$605M

-51.6%

$976M

-33.1%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

CYPRESS CAPITAL, LLC

Dec 31, 2018

Dec 17, 2025

FRANKLIN, TN

Firm absorbed

RIA to RIA

100.0%