Providing Expert Counsel to RIAs + Broker Dealers
Whether you're launching, growing, or navigating a complex regulatory challenge, HLC provides the expert guidance your firm can rely on.
Our Services
From initial registration to ongoing compliance, HLC provides the legal and regulatory expertise your firm needs to operate with confidence.
Regulatory Counsel
Providing sophisticated counsel to investment advisers, broker-dealers, family offices, crypto and digital asset traders, and other financial professionals on managing and directing the effective integration of the Securities Act, Exchange Act, Investment Company Act and Advisers Act into clients' compliance programs.
Firm Registration + Compliance Program Development
Supporting the firm's registration with the SEC, FINRA, and other regulators, while building and developing compliance programs, including the creation and implementation of written policies and procedures governing all activities of the registrant and any associated funds. The firm will also help draft, coordinate, and review all legal documents of the firm, including but not limited to advisory contracts, fund formation and offering documents, and other related materials.
Ongoing Compliance Support + Outsourced CCO
Whether a brand-new registrant or longstanding firm, HLC can serve as the firm's outsourced Chief Compliance Officer (CCO) or serve as backoffice support for the current CCO supporting all day-to-day functions of the firm's compliance program and broader compliance and operations infrastructure.
Founded With Purpose.
From day one, Hayes Law and Compliance has been built around a single commitment: providing sophisticated, curated solutions to financial advisors at every stage of their business.
About Patrick Hayes
Recognized by Chambers & Partners as a Band 2 Leading Lawyer since 2022, Patrick has built a reputation for counsel that is as practical as it is sophisticated. Before founding Hayes Law and Compliance in 2026, he served as Chair of the Investment Management Practice at Calfee, Halter & Griswold LLP — bringing with him deep experience as both an in-house compliance officer and private funds counsel. He holds Series 7 and Series 24 licenses, is licensed to practice in Ohio and Kentucky, and serves on the Executive Committee of the National Society of Compliance Professionals.
Contact Us
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