DFI 551.202(27) Issuer Exemption Notice Filing

Professional Registration

DFI 551.202(27) Issuer Exemption Notice Filing

Page 1 Issuer

Name of Issuer:

Hayes Brokerage Opportunity Fund #1, LLC

Street Address of Issuer:

Address Line 1:

1674 Eisenhower Road

Address Line 2:

City:

De Pere

State:

Zip:

54115

Website Address of Issuer:

Page 2 Contact Information

Contact Person:

First Name:

Matthew

Middle Name:

Last Name:

Rowe

Organization:

Ruder Ware, L.L.S.C.

Title:

Attorney

CRD #:

Address:

Address Line 1:

500 N. First Street

Address Line 2:

Suite 8000

City:

Wausau

State:

Wisconsin

Zip:

54402

Phone Number:

7158454336

Email Address:

mrowe@ruderware.com

Page 3 Persons Involved in Offering

First Name:

Caleb

Middle Name:

Last Name:

Hayes

Organization:

Caleb Hayes Enterprises, LLC

Title:

Manager

CRD #:

Address:

Address Line 1:

1674 Eisenhower Road

Address Line 2:

City:

De Pere

State:

Wisconsin

Zip:

54115

Phone Number:

9203091037

Email Address:

caleb@calebhayes.com

Page 4 Financial Institution

Name of Institution into which investor funds are to be deposited:

Wells Fargo Bank, N.A.

Street Address of Institution:

Address Line 1:

1900 S. Webster Avenue

Address Line 2:

City:

Green Bay

State:

Wisconsin

Zip:

54301

Page 5 Documents

Document to be uploaded:

Financial Audit (PDF format):

Page 6 Notice Claim

On behalf of the Issuer, you represent that the following checked statements are true:

The issuer of the security is a business with a principal place of business in this state and that is doing business in this state. [see Wis. Stats. Sec. 551.202(27)(a)]

Yes

The transaction meets the requirements of the federal exemption for intrastate offerings in section 3(a)(11) of the Securities Act of 1933 (15 USC 77c(a)(11)) and Rule 147A adopted under the Securities Act of 1933 (17 CRF 230.147A). [see Wis. Stats. Sec. 551.202(27)(b)]

Yes

The sum of all cash and other consideration to be received for all sales of the security, excluding sales to any accredited investor, certified investor, or institutional investor, does not exceed the amounts specified in Wis. Stats. Sec. 551.202(27)(c).

Yes

The issuer will not accept more than $10,000 from any single purchaser unless the purchaser is an accredited investor or certified investor. [see Wis. Stats. Sec. 551.202(27)(d)]

Yes

The issuer is conducting an offering in reliance on the exemption under Wis. Stats. Sec. 551.202(27), and before the 101st offer of the security, submits this notice of claim of exemption from registration, accompanied by the filing fee of $50.

Yes

The issuer is not, either before or as a result of the offering, an investment company, as described in Wis. Stats. Sec. 551.202(27)(i).

Yes

No offer or sale of a different class or series of security has been made by the issuer in reliance on the exemption under Wis. Stats. Sec. 551.202(26) or (27) during the immediately preceding 12-month period. [see Wis. Stats. Sec. 551.202(27)(k)]

Yes

Submitted By:

Matthew D. Rowe