Hays Financial Group, Llc
- Regulatory AUM
- $7.5B
- Discretionary
- $2.5B
- Clients
- 572
- Avg AUM / client
- $13.0M
- Accounts
- 687
- Employees
- 12
AUM over time
Annual snapshots from Form ADV filings · as of Mar 25, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 302 | $28.1M | 0.38% |
| High net worth individuals | 34 | $70.9M | 0.95% |
| Pension and profit sharing plans | 236 | $7.4B | 98.7% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
People (6)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Hayes, James, C. | President | Jun 2016 (10y) | GP / trustee / elected manager of Hg Group, Inc. (indirect) | |
| Brian Jerold Whinnery | Member / President | Mar 2020 (6y) | 10% – 25% | |
| Egan, Michael, John | Member And Chief Operating Officer | Nov 2020 (6y) | 10% – 25% | |
| James P Miley | Member / Managing Director / Chief Compliance Officer | Nov 2020 (6y) | 5% – 10% | |
| Gregory Alan Klein | Registered representative | CFP | Mar 2022 (4y) | |
| Bryon Andrew Eggan | Registered representative | Oct 2025 (1y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Hg Group, Inc. | Managing Member | Nov 2020 | A | 50% – 75% |
| James C Hays 2008 Irrevovocable Trust | Managing Member | Jun 2016 | B | ≈ 12.5% – 37.5% via Hg Group, Inc. |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- James C Hays 2008 Irrevovocable Trust: 25% – 50% of Hg Group, Inc. × 50% – 75% direct ≈ 12.5% – 37.5% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (52)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| The Arc Of Prince Georges County 403 B Plan | The Arc Of Prince Georges County Inc. | 689 | $9.7M | 07/01/2024 |
| Christensen Farms & Feedlots, Inc. 401(k) Profit Sharing Plan | Christensen Farms & Feedlots, Inc. | 1,051 | $45.1M | 01/01/2024 |
| Empire Candle 401(k) Plan | Empire Candle Co., Llc | 217 | $3.2M | 01/01/2024 |
| Simplisafe 401(k) Plan | Simplisafe, Inc. | 1,145 | $55.3M | 01/01/2024 |
| Arctic Wolf Networks, Inc. 401(k) Plan | Arctic Wolf Networks, Inc. | 1,437 | $88.7M | 01/01/2024 |
| Astrup Companies 401(k) Plan | Astrup Drug, Inc. | 449 | $33.7M | 01/01/2024 |
| Ki Mobility 401(k) Plan | Ki Mobility, Llc | 425 | $14.6M | 01/01/2024 |
| Uniguest 401(k) Plan | Uniguest, Inc. | 409 | $15.7M | 01/01/2024 |
| 403(b) Thrift Plan For Employees Of Planned Parenthood North Central States | Planned Parenthood North Central States | 592 | $29.2M | 01/01/2024 |
| The L&L Retirement Plan | Lokal Homes, Llc | 59 | $5.0M | 01/01/2024 |
| Autism Speaks 401(k) Plan | Autism Speaks, Inc. | 138 | $23.2M | 01/01/2024 |
| Jvm Realty Corporation Employees' 401(k) Plan And Trust | Jvm Realty Corporation | 145 | $7.9M | 01/01/2024 |
| American Equity Investment Profit Sharing And 401(k) Plan | American Equity Investment Life Holding Company | 840 | $153M | 01/01/2024 |
| Mobe Llc 401(k) Profit Sharing Plan & Trust | Mobe Llc | 223 | $18.3M | 01/01/2024 |
| Burd & Fletcher Company 401(k) Profit Sharing Plan | Burd & Fletcher Company | 429 | $25.2M | 01/01/2024 |
| Versant Health Holdco, Inc. 401(k) Plan | Versant Health Holdco, Inc. | 938 | $70.2M | 01/01/2024 |
| Markforged, Inc Retirement Plan | Markforged, Inc | 184 | $22.8M | 01/01/2024 |
| Hef Usa, Inc 401(k) Plan | Hef Usa, Inc. | 390 | $14.9M | 01/01/2024 |
| Dsb Technologies, Llc Savings And Retirement Plan | Dsb Technologies, Llc | 271 | $15.1M | 01/01/2024 |
| Sportradar Us Llc Retirement Plan | Cloud Sports Data Llc | 621 | $28.9M | 01/01/2024 |
| Animal Supply Company Llc 401(k) Retirement Plan | Animal Supply Company Llc | 710 | $38.9M | 01/01/2024 |
| Cfcu Community Credit Union 401(k) Plan | Cfcu Community Credit Union | 220 | $34.6M | 01/01/2024 |
| Rise Baking Company 401(k) Plan | Minnesota Best Maid Cookie Co., Inc. | 2,387 | $132M | 01/01/2024 |
| Midcountry Bank 401(k) Plan | Midcountry Bank | 150 | $26.9M | 01/01/2024 |
| Ruffalo Noel Levitz 401(k) Plan | Ruffalo Noel Levitz | 350 | $54.6M | 01/01/2024 |
Top 25 of 52 plans by assets.
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/25/2026 | 983 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
Custody
Reported custodians
- Fidelity Brokerage Services $4.7B (63% of AUM) Mar 2026
- Empower Retirement $1.0B (14% of AUM) Mar 2026
- LPL Financial $53.0M (1% of AUM) May 2024
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 25, 2026.
View current Form ADV (SEC/IAPD) ↗