DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Hays Financial Group, LLC
Latest filing Mar 25, 2026
First filing on the tape Mar 5, 2020 · 22 filings
SEC status approved since Jan 4, 2021
RAUM
$7.5B
reported, Item 5.F
Discretionary
33%
of RAUM
Private clients
1.3%
$99.0M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$1.9B
derived; firm RAUM over IAPD count
Employees
12
6 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$7.5B as of Mar 25, 2026
Feb 21, 2022$1.8B then
HNW client RAUM$70.9M as of Mar 25, 2026
Feb 21, 2022$37.6M then
State-registered IARs (5.B.3)6 as of Mar 25, 2026
Feb 21, 20228 then
Employees (5.A)12 as of Mar 25, 2026
Feb 21, 202212 then
Private funds: no history
RAUM +22% over the last fiscal year+33% a year over threeIARs 3 to 6offices 1 to 3
Practice profile
derived from the filing of Mar 25, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $1.9BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 84derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $10.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 33%derivedof RAUM
- Institutional
- 99%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +44%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Wrap fee program
- $55.2MreportedItem 5.I
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is an insurance broker or agent (6.A.6)
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$7.4B99%
- High-net-worth individuals$70.9M1.0%
- Individuals$28.1M0.4%
- Individual clients
- 302reported
- HNW clients
- 34reported
- Pension plan clients
- 236reported
- Charitable clients
- 0reported
- Accounts
- 687reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.01 fund_share=0.0 institutional_share=0.99 related_bd=false related_bank=false bd_reps=6.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| James P Miley | Minneapolis, Mn | May 28, 2021 | 19 y | 3 |
| Brian Jerold Whinnery | Minneapolis, Mn | May 28, 2021 | 15 y | 2 |
| Gregory Alan KleinCertified Financial Planner | Minneapolis, Mn | Mar 23, 2022 | 11 y | 1 |
| Bryon Andrew Eggan | Minneapolis, Mn | Oct 21, 2025 | 19 y | 2 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- Anna Elizabeth Kraemer to Mma Securities LLCNov 13, 2024 · Other
- Timothy Joseph Black to Asset Strategy Advisors, LLCAug 9, 2022 · Other
Joined, latest
- Bryon Andrew Eggan from Transamerica Retirement Advisors, LLCOct 21, 2025 · Other
- Anna Elizabeth Kraemer from Global Retirement Partners LLCOct 18, 2023 · Other
- Gregory Alan Klein from Global Retirement Partners LLCMar 23, 2022 · Other
- Timothy Joseph Black from The Patriot Financial Group, LLCJul 21, 2021 · Other
- Brian Jerold Whinnery from Global Retirement Partners LLCMay 28, 2021 · Other
- James P Miley from Global Retirement Partners LLCMay 28, 2021 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from Global Retirement Partners LLCOct 26, 2021 · San Rafael, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- John Michael Egan · Member And Chief Operating Officercontrolsince 11/2020 · owns 10% to 25%
- P James Miley · Member / Managing Director / Chief Compliance Officercontrolsince 11/2020 · owns 5% to 10%
- Jerold Brian Whinnery · Member / Presidentcontrolsince 03/2020 · owns 10% to 25%
- C. James Hayes · Trusteecontrolsince 06/2016 · owns 75% or more of James C Hays 2008 Irrevovocable Trust
- C. James Hayes · Presidentcontrolsince 06/2016 · owns F of Hg Group, Inc.
Entity owners
- Hg Group, Inc. · Managing Memberdirect · owns 50% to 75%
- James C Hays 2008 Irrevovocable Trust · Managing Memberindirect · owns 25% to 50% of Hg Group, Inc.
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Minneapolis, Mn · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Miami Beach, FL3 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- discretionary share shiftChange between filings · filing Mar 25, 2026discretionary share of RAUM moved from 3.0% to 33.0% between the annual amendments of 2025-03-27 and 2026-03-25peers: institutional managers, $5B to $20B (71)
What changed
consecutive filings, newest first
- Accounts · 688 to 687Dec 24, 2025 to Mar 25, 2026
- Advisory employees · 4 to 6Dec 24, 2025 to Mar 25, 2026
- BD registered reps · 4 to 6Dec 24, 2025 to Mar 25, 2026
- Charity clients · 14 to 0Dec 24, 2025 to Mar 25, 2026
- Corporate clients · unset to 0.0Dec 24, 2025 to Mar 25, 2026
- HNW clients · 9 to 34Dec 24, 2025 to Mar 25, 2026
- Individual clients · 225 to 302Dec 24, 2025 to Mar 25, 2026
- Pension plan clients · 277 to 236Dec 24, 2025 to Mar 25, 2026
- Pooled vehicle clients · unset to 0.0Dec 24, 2025 to Mar 25, 2026
- Employees · 10 to 12Dec 24, 2025 to Mar 25, 2026
- State-registered IARs · 3 to 6Dec 24, 2025 to Mar 25, 2026
- Other offices · 2 to 3Dec 24, 2025 to Mar 25, 2026
- Discretionary RAUM · $189M to $2.5BDec 24, 2025 to Mar 25, 2026
- HNW RAUM · $39.3M to $70.9MDec 24, 2025 to Mar 25, 2026
- Individual RAUM · $44.8M to $28.1MDec 24, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $5.9B to $5.0BDec 24, 2025 to Mar 25, 2026
- Pension RAUM · $5.8B to $7.4BDec 24, 2025 to Mar 25, 2026
- Pooled vehicle RAUM · unset to 0.0Dec 24, 2025 to Mar 25, 2026
- RAUM · $6.1B to $7.5BDec 24, 2025 to Mar 25, 2026
- Financial planning clients · 0 to 0Mar 27, 2025 to Oct 21, 2025
- Other offices · 1 to 2Mar 27, 2025 to Oct 21, 2025
- Accounts · 378 to 688May 29, 2024 to Mar 27, 2025
- Charity clients · 13 to 14May 29, 2024 to Mar 27, 2025
- HNW clients · 8 to 9May 29, 2024 to Mar 27, 2025
- Individual clients · 140 to 225May 29, 2024 to Mar 27, 2025
- Pension plan clients · 226 to 277May 29, 2024 to Mar 27, 2025
- Assets in custody · 38000000.0 to unsetMay 29, 2024 to Mar 27, 2025
- Custody of client assets · true to falseMay 29, 2024 to Mar 27, 2025
- Employees · 7 to 10May 29, 2024 to Mar 27, 2025
- Insurance-licensed employees · 2 to 0May 29, 2024 to Mar 27, 2025
- HQ city · EDINA to MINNEAPOLISMay 29, 2024 to Mar 27, 2025
- State-registered IARs · 4 to 3May 29, 2024 to Mar 27, 2025
- Discretionary RAUM · $298M to $189MMay 29, 2024 to Mar 27, 2025
- HNW RAUM · $29.4M to $39.3MMay 29, 2024 to Mar 27, 2025
- Individual RAUM · $23.7M to $44.8MMay 29, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $4.8B to $5.9BMay 29, 2024 to Mar 27, 2025
- Pension RAUM · $4.8B to $5.8BMay 29, 2024 to Mar 27, 2025
- RAUM · $5.1B to $6.1BMay 29, 2024 to Mar 27, 2025
- Wrap assets (manager) · $43.2M to $0May 29, 2024 to Mar 27, 2025
- Wrap assets (sponsor) · $43.2M to $0May 29, 2024 to Mar 27, 2025
Signals
9 dated events
- Anna Elizabeth Kraemer left Hays Financial Group, Llc for Mma Securities Llc (registered 2023-12-20)Nov 13, 2024 · Advisor changed firm · fact
- Hays Financial Group, Llc reported RAUM $5.1B, up 62% from $3.2B (2023-04-24 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- Hays Financial Group, Llc reported RAUM $3.2B, up 71% from $1.8B (2022-11-28 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- Timothy Joseph Black left Hays Financial Group, Llc for Asset Strategy Advisors, Llc (registered 2024-07-17)Aug 9, 2022 · Advisor changed firm · fact
- Hays Financial Group, Llc reported RAUM $1.8B, up 324% from $433.8M (2021-12-14 to 2022-02-21)Feb 21, 2022 · RAUM change · derived
- John Michael Egan (Member And Chief Operating Officer) appeared on Schedule A of Hays Financial Group, LlcDec 21, 2020 · Control person joined · fact
- P James Miley (Member) appeared on Schedule A of Hays Financial Group, LlcDec 21, 2020 · Control person joined · fact
- C. James Hayes (President) appeared on Schedule A of Hays Financial Group, LlcDec 21, 2020 · Control person joined · fact
- Hays Financial Group filed its initial SEC registration (Form ADV)Mar 5, 2020 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/hays-financial-groupreportedpublic record, Form ADV, Sep 17, 2026
- Website
- haysfinancialgroup.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- (612) 373-9863reportedpublic record, Form ADV, Mar 25, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $1.9Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026