Asset manager · Dewitt, NY
Hazard & Siegel Advisory Services LLC
SEC-registered investment adviser · CRD 151462 · SEC 801-70690
At a glance
Hazard & Siegel Advisory Services LLC is an SEC-registered investment adviser based in Dewitt, New York, with $450 million in regulatory assets under management as of its Form ADV filed March 31, 2026. Its largest client group by assets is pension and profit sharing plans, and it reports 124 individual clients. By Form ADV it is a asset manager, ranked 1,735th of 3,218 asset managers and 8,269th of 17,210 SEC-registered advisers by assets.
Main office 315-414-0722hazardsiegel.comAs filed on Form ADV
- Regulatory AUM
- $450M
- Rank among asset managers
- #1,735 of 3,218
- Rank among all SEC RIAs
- #8,269 of 17,210
- Rank in New York
- #1,534 of 2,591
- Individual clients
- 124
- High-net-worth clients
- 0
- Accounts
- 293
- Discretionary
- 0% of AUM
- Employees
- 24
- Advisory staff
- 23
- Offices
- 2
Owners and executives on its Form ADV
- Alexander S. JosephCeo; Member
- David M. MullenPresident/chief Compliance Officer; Member
Custody and brokerage
4 custodians
- Fidelity$125M35%
- Principal Securities$114M32%
- Goldman Sachs$58M16%
- Ascensus Financial Services, LLC.$58M16%
Broker-dealer
Hybrid RIA
Hazard & Siegel Advisory Services LLC is a hybrid RIA: 23 of its employees are also registered representatives of a broker-dealer. It names an affiliated broker-dealer: Hazard & Siegel, Inc..
- Hazard & Siegel, Inc. ↗CRD 2048
An introducing broker-dealer: its trades clear through another firm, which holds the brokerage accounts. Its annual audited report filed with the SEC, March 2026
Its Form ADV brochure (filed March 2026) names Hazard & Siegel as the broker-dealer its advisers are registered with.
e-based advisory firm, some advisors of HSAS are Registered Representatives of Hazard & Siegel, Inc., a FINRA-member securities broker/dealer, and retain the option of selling commission-based products such as annuities, insurance, stocks,
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Pension and profit sharing plans | 26 | $394M | 88% |
| Individuals | 124 | $55M | 12% |
| High-net-worth individuals | – | $1M | <1% |
Disciplinary disclosures
Hazard & Siegel Advisory Services LLC answers yes to 3 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Pension consulting
- Selecting other advisers
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
- Other
Form ADV and brochures on the SEC’s adviser search ↗hazardsiegel.com ↗
AtlasMembers
The full record on Hazard & Siegel Advisory Services LLC
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 990 peers of its type and size
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- Owners and executives, with titles and stakes
- 2 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Hazard & Siegel Advisory Services LLC manage?
Hazard & Siegel Advisory Services LLC reports $450 million in regulatory assets under management across 293 accounts, on its Form ADV filed March 31, 2026.
What kind of firm is Hazard & Siegel Advisory Services LLC?
Hazard & Siegel Advisory Services LLC is a asset manager by its Form ADV answers. Most of its assets are managed for funds, institutions or other businesses rather than individuals.
Who are Hazard & Siegel Advisory Services LLC’s clients?
By assets, its largest client types are pension and profit sharing plans ($394 million, 26 clients); individuals ($55 million, 124 clients); high-net-worth individuals ($1 million).
Does Hazard & Siegel Advisory Services LLC have any disciplinary history?
Hazard & Siegel Advisory Services LLC answers yes to 3 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is Hazard & Siegel Advisory Services LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-03-31), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →