Patrick Hayes

Patrick serves as Founder and Managing Partner of Hayes Law and Compliance. He represents and supports advisers in the development and administration of their compliance programs, including the creation and implementation of written policies and procedures governing all activities of the adviser and any associated funds. His clients include wealth management firms, private equity advisers, family offices, ERISA investment fiduciaries, dual registrants, broker-dealers, cryptotraders, FinTech and Robo-advisers, mutual fund trusts, and institutional equity and fixed-income asset managers.

Patrick also serves as outside general counsel to draft, coordinate, and review all legal documents of the adviser, including contracts, fund formation documents, adviser and fund regulatory filings, and other related materials.

Patrick conducts due diligence and monitors the activities of sub-advisers, third-party managers, and relevant service providers, and will assist with matters before the Securities and Exchange Commission, Commodity Futures Trading Commission, Department of Justice, Financial Industry Regulatory Authority, North American Securities Administrators Association, as well as before state securities commissions, attorneys general and local authorities.

In 2020, Patrick launched The Securities Compliance Podcast: Compliance in Context™, co-sponsored by Calfee and the National Society of Compliance Professionals, a nonprofit, membership organization dedicated to serving and supporting compliance professionals in the financial services industry. Patrick designed the podcast as a personal master class for the securities industry’s legal and compliance professionals.

Patrick serves the National Society of Compliance Professionals as Immediate Past Chair of the Board of Directors and a member of NSCP's Executive Committee. He carries both Series 7 and Series 24 securities licenses and is licensed to practice law in the state of Ohio and the Commonwealth of Kentucky.

Since 2022, Patrick has been recognized by Chambers & Partners as a Leading Lawyer in Investment Funds: Regulatory & Compliance, most recently ranked in both the Chambers Global Legal 2026 Guide (USA, Band 2) and the Chambers USA 2026 Guide (USA - Nationwide, Band 2). Clients provided the following feedback to Chambers, "Patrick brings a high level of expertise about the industry, as well as a wealth of experience. He is easy to work with, responsive, personable, practical and very knowledgeable."

Prior to joining Hayes Law and Compliance, Patrick served Chair of the Investment Management practice at Calfee Halter & Griswold LLP, Investment Management Counsel and Chief Compliance Officer at Graydon Compliance Solutions, LLC and Private Funds and Regulatory Compliance Officer at Fort Washington Investment Advisors, Inc.

Patrick earned his J.D. from the University of Cincinnati College of Law, where he was inducted into the Order of the Barristers for outstanding ability in appellate advocacy. He is also a recent recipient of the Cincinnati Business Courier's Forty Under 40 Award recognizing young professionals in Greater Cincinnati who are crafting successful careers while also giving back to their community.