{"url":"https://nivawealth.com/firms/hayes-asset-management-141220","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/141220","regulatoryAum":116630863,"crd":"141220","history":[{"filedOn":"2021-03-29","regulatoryAum":107681000,"clients":121,"employees":3,"offices":1},{"filedOn":"2022-03-28","regulatoryAum":127498195,"clients":124,"employees":4,"offices":1},{"filedOn":"2023-03-22","regulatoryAum":134104100,"clients":122,"employees":4,"offices":1},{"filedOn":"2024-03-26","regulatoryAum":133842600,"clients":119,"employees":4,"offices":1},{"filedOn":"2025-05-30","regulatoryAum":117122008,"clients":115,"employees":4,"offices":1},{"filedOn":"2026-03-26","regulatoryAum":116630863,"clients":112,"employees":4,"offices":1}],"secFileNumber":"801-67003","legalName":"Hayes Asset Management, LLC","displayName":"Hayes Asset Management","slug":"hayes-asset-management-141220","website":"https://hayesassetmgt.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/141220/3c12f203e53287cd-r1.webp","tone":"dark","width":1241,"height":200,"sourceUrl":"https://hayesassetmgt.com/","sourceLabel":"Hayes Asset Management, LLC, website"},"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"New York limited liability company","fiscalYearEnd":"December","headquarters":{"street":"400 Andrews Street, Suite 600","city":"Rochester","state":"NY","stateName":"New York","country":"United States","postalCode":"14604"},"tradeNames":[],"registration":{"secApproved":"19 July 2006","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1040116.1517857143,"staff":{"employees":4,"advisory":4,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":116630863,"discretionary":92207603,"discretionaryAccounts":270,"nonDiscretionary":24423260,"nonDiscretionaryAccounts":16,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":83,"regulatoryAum":18923515},{"label":"High-net-worth individuals","clients":29,"regulatoryAum":97569494},{"label":"Charitable organizations","clients":null,"fewerThan5":true,"regulatoryAum":137854}],"feePrograms":[],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T13:28:06.056402+00:00","documents":[{"name":"2026 ADV BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1027125","versionId":1027125,"submittedOn":"2026-03-26"}]},"custodians":[],"custodyNote":"Hayes Asset Management does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Christopher Hayes","title":"President, Chief Compliance Officer","crd":"1301416"}],"ownership":[{"label":"Christopher Hayes","detail":"President, chief compliance officer in the 75% or more ownership band and a control person, since June 2006."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"New York","offices":1,"addresses":[{"street":"400 Andrews Street, Suite 600","city":"Rochester","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"585-730-6951","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":65},{"label":"U.S. government/agency bonds","percent":16},{"label":"U.S. state and local bonds","percent":3},{"label":"Investment grade corporate bonds","percent":3},{"label":"Cash and cash equivalents","percent":10},{"label":"Other","percent":3,"detail":"Certificates of Deposit"}],"privateFunds":0},"sources":{"adv1FilingDate":"26 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/141220/PDF/141220.pdf","brochureDate":"26 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1027125","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Hayes Asset Management have?","answer":"Hayes Asset Management has 112 clients and manages $117 million for them, as of March 2026. They include 83 individual clients and 29 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 26 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Hayes Asset Management offer?","answer":"Hayes Asset Management provides portfolio management for individuals and small businesses and portfolio management for institutions.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How many financial advisors does Hayes Asset Management have?","answer":"Hayes Asset Management has 0 investment adviser representatives registered with state securities authorities, out of 4 employees, and 4 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Hayes Asset Management invest in?","answer":"At the end of its last fiscal year, Hayes Asset Management’s separately managed accounts held 65% exchange-traded equities, 16% U.S. government and agency bonds, 10% cash and equivalents, 3% state and local bonds, 3% investment grade corporate bonds and 3% other. The 3% other category is described as: Certificates of Deposit.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Hayes Asset Management?","answer":"Hayes Asset Management’s direct owner is Christopher Hayes (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 26 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Hayes Asset Management get paid?","answer":"Hayes Asset Management is paid through a percentage of assets under management. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Hayes Asset Management?","answer":"Hayes Asset Management’s main office is at 400 Andrews Street, Suite 600, Rochester, NY 14604. Its phone number is 585-730-6951. Its website is hayesassetmgt.com.","source":"Form ADV Part 1A, Item 1.F, filed 26 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}