SourcingSourcing

HAYS FINANCIAL GROUP, LLC

C26
CRD 306877·SEC 801-118389·MINNEAPOLIS, MN
AUM
$7.45B
$1B+
Est. Revenue
$74.5M
@ 1% on AUM
Est. EBITDA
$22.4M
@ 30% margin
Est. Deal Value
$178.8M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
HAYS FINANCIAL GROUP, LLC
CRD
306877
SEC file #
801-118389
EIN
—
DBA names
—

Economics

AUM
$7.45B
AUM band
$1B+
AUM trajectory
'22'26
$1.84B → $7.45B▲ +305%
Client mix
Individuals Other302
Pension Profit Sharing Plans236
Individuals High Net Worth34

Operations

Employees (total)
12
Advisory staff (per ADV)
6
Advisory staff (5-yr trend)
'21'26
3 advisors → 6 advisors▲ +100%
Primary office
MINNEAPOLIS MN
Branches
—

Custodian & Brokerage

Primary custodian
Fidelitylow confidence
Services offered
Financial planningPortfolio mgmt — businessesPension consulting
Fee basis
% of AUMHourly chargesFixed fees

Filings

Latest ADV filing
03/25/2026
ADV-W filed at
—
Website
linkedin.com/company/hays-financial-group(social)

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
NEW NINE INC.
Top Owner Pct
62.5
Top Owner Entity Kind
DE
Owner Count
3
Control Persons
NEW NINE INC.
MILEY, JAMES, P
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
fallback_guess:hays.com

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
Yes
Form 5500 Plan Count
34
Form 5500 Total Compensation
1,296,278
Form 5500 Compensation Trajectory 3y
20251,272,278
202624,000
Form 5500 Plan Count Trajectory 3y
202533
20261
Schedule C Total Compensation
1,296,278
Schedule C Service Provider Rows
34

SEC EDGAR

Edgar Registered
No

Compliance & brand

Firm Registration Status
active

All other collected signals (8)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
5
Bc Firm Active IA Count
5
Bc Firm IAR Count
5
Custodian Candidates
Full
Fidelity4
E*trade4
Lpl Financial2
Firm Has Custody
No
Mailing Office Differs
No
Trust Company Affiliate
No

People (5)

5
MILEY, JAMES, P
IAR · Direct Owner · 17.5%
5265672
WHINNERY, BRIAN, JEROLD
IAR · Direct Owner · 17.5%
5884103
GREGORY ALAN KLEIN
IAR
4651073
Bryon Andrew Eggan
IAR
5270308
Matthew William Hogan
IAR
4260849