{"url":"https://nivawealth.com/firms/hayes-wealth-advisors-299807","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/299807","regulatoryAum":133260554,"crd":"299807","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"8085567","suffix":null,"lastName":"Gonzalez","firstName":"Alexis","middleName":null},{"crd":"7814258","suffix":null,"lastName":"Rosenberg","firstName":"Laura","middleName":"Rayne"},{"crd":"5185232","suffix":null,"lastName":"SCHMOOK","firstName":"NATALIE","middleName":"HAYES"}],"total":3,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2025-04-30","regulatoryAum":102109317,"clients":189,"employees":3,"offices":1},{"filedOn":"2026-04-24","regulatoryAum":133260554,"clients":192,"employees":3,"offices":1}],"secFileNumber":"801-132559","legalName":"Hayes Wealth Advisors, LLC","displayName":"Hayes Wealth 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HNW)","clients":47,"regulatoryAum":23133090},{"label":"High-net-worth individuals","clients":73,"regulatoryAum":68785554},{"label":"Pension and profit-sharing plans","clients":49,"regulatoryAum":36662770},{"label":"Charitable organizations","clients":13,"regulatoryAum":1160128},{"label":"Corporations and other businesses","clients":10,"regulatoryAum":3519012}],"feePrograms":[{"role":"main","program":"Portfolio management","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1042750","versionId":1042750,"ratePeriod":"annual","fee_billing":"arrears","submittedOn":"2026-04-24","documentName":"HAYES WEALTH ADVISORS BROCHURE AND SUPPLEMENT","fee_rate_low":0.35,"fee_rate_high":1.2,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Financial planning","summary":"Stand-alone financial planning is negotiated per engagement: an initial charge generally $6,000 to $12,000 and an annual update fee of $1,500 or higher.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1042750","versionId":1042750,"submittedOn":"2026-04-24","documentName":"HAYES WEALTH ADVISORS BROCHURE AND SUPPLEMENT"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T16:14:06.490008+00:00","documents":[{"name":"HAYES WEALTH ADVISORS BROCHURE AND SUPPLEMENT","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1042750","versionId":1042750,"submittedOn":"2026-04-24"}]},"custodians":[{"name":"TD Ameritrade, Inc.","shortName":"TD Ameritrade","location":"Omaha, NE","smaAssets":34710876}],"custodyNote":"Hayes Wealth Advisors does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Eric Schmook","title":"Member","crd":"5206525"},{"name":"Natalie Schmook","title":"Managing Member, CCO","crd":"5185232"}],"ownership":[{"label":"Natalie Schmook","detail":"Managing member, cco in the 75% or more ownership band and a control person, since October 2018."},{"label":"Eric Schmook","detail":"Member in the 5% to 10% ownership band, since October 2018."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"404-905-7489","stateRegisteredReps":2,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Pension consulting services"],"financialPlanningClients":"11-25","assetMix":[{"label":"Exchange-traded equity securities","percent":35},{"label":"U.S. government/agency bonds","percent":9},{"label":"Investment grade corporate bonds","percent":22},{"label":"Securities issued by registered investment companies or business development companies","percent":28},{"label":"Cash and cash equivalents","percent":6}],"privateFunds":0},"sources":{"adv1FilingDate":"24 April 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/299807/PDF/299807.pdf","brochureDate":"24 April 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1042750","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 Wealth Advisors have?","answer":"Hayes Wealth Advisors has 192 clients and manages $133 million for them, as of April 2026. They include 73 high-net-worth individuals, 49 pension and profit-sharing plans, and 47 individual clients.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 24 April 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Hayes Wealth Advisors offer?","answer":"Hayes Wealth Advisors provides financial planning, portfolio management for individuals and small businesses, and pension consulting.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Hayes Wealth Advisors charge?","answer":"Hayes Wealth Advisors charges 0.35%–1.20% a year for its Portfolio management. The fee is billed in arrears and is negotiable.","source":"HAYES WEALTH ADVISORS BROCHURE AND SUPPLEMENT, filed 24 April 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Hayes Wealth Advisors use?","answer":"Hayes Wealth Advisors’ separately managed account assets are held at TD Ameritrade, Inc. (Omaha, NE), with $34.7M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 24 April 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Hayes Wealth Advisors have?","answer":"Hayes Wealth Advisors has 2 investment adviser representatives registered with state securities authorities, out of 3 employees, and 2 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 Wealth Advisors invest in?","answer":"At the end of its last fiscal year, Hayes Wealth Advisors’ separately managed accounts held 35% exchange-traded equities, 28% registered funds (mutual funds, ETFs, BDCs), 22% investment grade corporate bonds, 9% U.S. government and agency bonds and 6% cash and equivalents.","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 Wealth Advisors?","answer":"Hayes Wealth Advisors’ direct owners are Natalie Schmook (75% or more) and Eric Schmook (5% to 10%).","source":"Form ADV Part 1A, Schedules A and B, filed 24 April 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Hayes Wealth Advisors get paid?","answer":"Hayes Wealth Advisors is paid through a percentage of assets under management and fixed fees. 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 Wealth Advisors?","answer":"Its phone number is 404-905-7489. Its website is hayeswealthadvisors.com.","source":"Form ADV Part 1A, Item 1.F, filed 24 April 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."}