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

HAYES FINANCIAL, INC.

CRD 288733

SAN JOSE, CA

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:c0cdb31a-231b-e67a-61df-9e5f57580759

Data as of Mar 18, 2022 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:41 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 6
On other graphs: 0
Observed: Aug 1, 2017 to Mar 18, 2022
32 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

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: $345MItem 5.F on the latest filing (2022-03-18); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $342M
Private client RAUM: $341MderivedItem 5.D individuals plus high net worth individuals
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5
Advisory employees: 3
Offices: 2Schedule D 1.F, beyond the principal office
Accounts: 695
Individual clients: 112
High net worth clients: 112
SEC number: 801-111077
CRD: 288733
Filings on the tape: 32
First filed: Aug 1, 2017
Latest filed: Mar 18, 2022
Organised: Corporation, California

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
HAYES, ZACHARY, DANIEL	President	E	yes	02/2013	Aug 1, 2017	Mar 18, 2022
RALEIGH, CLARE	CHIEF COMPLIANCE OFFICER	Na	yes	07/2009	Aug 1, 2017	Mar 18, 2022

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
MORGAN HILL	CA	United States	1	no
Redding	CA	United States	1	no

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
2021	Mar 18, 2022	$345M	$342M	5	3	2	n/a	n/a
2020	Feb 16, 2021	$274M	$270M	5	3	2	n/a	n/a
2019	Jan 30, 2020	$229M	$224M	5	3	1	n/a	n/a
2018	Feb 25, 2019	$188M	$184M	5	3	2	n/a	n/a
2017	Mar 15, 2018	$174M	$174M	5	3	2	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
2021	$345M	$274M	25.7%	$188M	22.4%	5	5	2	2

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
Mariner	4	Feb 7, 2023	Dec 21, 2022	SAN JOSE, CA	Firm absorbed	RIA to ibd	100.0%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	2	Oct 2, 2017	Sep 6, 2017	SAN JOSE, CA	Team lift out	Other	0.1%

Relationships

Controls (2)

← HAYES, ZACHARY, DANIELOwnerPRESIDENT, ownership code E, individual
Aug 1, 2017 to presentfactForm ADV
← RALEIGH, CLAREOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Aug 1, 2017 to presentfactForm ADV

Registered with (4)

← ZACHARY DANIEL HAYESAdvisorregistration: previous registration
Sep 6, 2017 to Feb 7, 2023factForm ADV
← CLARE RALEIGHAdvisorregistration: previous registration
Sep 7, 2017 to Feb 7, 2023factForm ADV
← DANIEL GLENN NEWMANAdvisorregistration: previous registration
Sep 6, 2017 to Feb 7, 2023factForm ADV
← Ingrid Shang-Ying YehAdvisorregistration: previous registration
Dec 16, 2022 to Feb 7, 2023factForm ADV

Moved with (2)

→ MARINERRegistered adviser4 advisors, firm absorbed, same day
Feb 7, 2023 to Dec 21, 2022factForm ADV
← RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviser2 advisors, team lift out, same day
Oct 2, 2017 to Sep 6, 2017factForm ADV

Dated events

Occurred
Feb 7, 2023
Firm absorbed
Hayes Financial, Inc.'s advisors moved to Mariner (San Jose, CA): 4 of 4 registered, on the same day
Form ADVobserved 3 days ago
4 advisors
Occurred
Feb 7, 2023
Advisor changed firm
Daniel Glenn Newman left Hayes Financial, Inc. for Mariner (registered 2022-12-19)
Form ADVobserved 4 days ago
Occurred
Feb 7, 2023
Advisor changed firm
Zachary Daniel Hayes left Hayes Financial, Inc. for Mariner (registered 2022-12-19)
Form ADVobserved 4 days ago
Occurred
Feb 7, 2023
Advisor changed firm
Ingrid Shang-Ying Yeh left Hayes Financial, Inc. for Mariner (registered 2022-12-21)
Form ADVobserved 4 days ago
Occurred
Feb 7, 2023
Advisor changed firm
Clare Raleigh left Hayes Financial, Inc. for Mariner (registered 2022-12-19)
Form ADVobserved 4 days ago
Occurred
Aug 1, 2017
First Form ADV filing
Hayes Financial, Inc. filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c0cdb31a-231b-e67a-61df-9e5f57580759
First observed: Aug 1, 2017
Last observed: Mar 18, 2022 54 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.

HAYES FINANCIAL, INC.

CRD 288733

SAN JOSE, CA

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:c0cdb31a-231b-e67a-61df-9e5f57580759

Data as of Mar 18, 2022 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:41 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

HAYES, ZACHARY, DANIEL

President

yes

02/2013

Aug 1, 2017

Mar 18, 2022

RALEIGH, CLARE

CHIEF COMPLIANCE OFFICER

yes

07/2009

Aug 1, 2017

Mar 18, 2022

City

State

Country

Employees

Also broker-dealer

MORGAN HILL

United States

Redding

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2021

Mar 18, 2022

$345M

$342M

n/a

2020

Feb 16, 2021

$274M

$270M

n/a

2019

Jan 30, 2020

$229M

$224M

n/a

2018

Feb 25, 2019

$188M

$184M

n/a

2017

Mar 15, 2018

$174M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2021

$345M

$274M

25.7%

$188M

22.4%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

Mariner

Feb 7, 2023

Dec 21, 2022

SAN JOSE, CA

Firm absorbed

RIA to ibd

100.0%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Oct 2, 2017

Sep 6, 2017

SAN JOSE, CA

Team lift out

Other

0.1%