Hazard & Siegel Advisory Services provides financial planning, portfolio management for individuals and small businesses, pension consulting, and selecting other managers. Financial planning was provided to 101–250 clients last fiscal year.
Hazard & Siegel Advisory Services reports 150 clients. They include 124 individuals and 26 pension and profit-sharing plans. Of its assets, 0.0% ($0 across 0 accounts) are managed with discretion; $450M across 293 accounts are not. It advised 153 clients without assets under management last fiscal year.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 83% | 12% |
| High-net-worth individuals | Fewer than 5 | <1% |
| Pension and profit-sharing plans | 17% | 88% |
Client shares use reported counts. Client types without a reported count are excluded from that total.
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 124 | $55.1M | 12.3% | $444K |
| High-net-worth individuals | Fewer than 5 | $1.07M | 0.2% | — |
| Pension and profit-sharing plans | 26 | $394M | 87.5% | $15.1M |
| Total | 150 | $450M | 100% | — |
- Clients
- 124
- Regulatory AUM
- $55.1M
- AUM share
- 12.3%
- Avg. per client
- $444K
- Clients
- Fewer than 5
- Regulatory AUM
- $1.07M
- AUM share
- 0.2%
- Avg. per client
- —
- Clients
- 26
- Regulatory AUM
- $394M
- AUM share
- 87.5%
- Avg. per client
- $15.1M
Total
- Clients
- 150
- Regulatory AUM
- $450M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 153
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 101–250
Hazard & Siegel Advisory Services is paid through a percentage of assets under management, hourly charges, fixed fees (other than subscription fees) and other compensation; its fees and minimums are set out in its brochures on the SEC website.
Alexander Joseph owns 75% or more of Hazard & Siegel Advisory Services. The leadership team of Hazard & Siegel Advisory Services includes President David Mullen. It has 24 employees, 23 of them in advisory roles.
Leadership
- David MullenPresident/Chief Compliance Officer; Member
- Alexander JosephCEO; Member
Investment adviser representatives
26 representatives listed in the SEC register as of 9 October 2026.
- Brian Charles Cameron
- Douglas James Cronin
- Michael David Cronin
- David Michael Desimone
- William Charles Farrance III
- George Kurt Finkbeiner
- Clyde Goldberg
- Russell James Grosjean
- Timothy John Hoag
- Alexander Sotir Joseph III
- Mark Allen Kirsche
- David Mark Mullen
- Michael Paul Pfeuffer
- Stephen Michael Polizzi
- Heidi Linda Rexford
- Anthony Michael Romantino
- Nataly Anna Rombel
- Jason Shannon
- Jane Eileen Slack
- Thomas Murray Steffey
- Peter Anthony Tallarico JR
- Thomas Michael Walsh
- Michael Patrick Ward
- Peter Carroll Ward
- Stephen Paul Wilkie
- William Howard Wood
Staff
- 24 employees
- 23 in advisory functions
- 23 state-registered reps
- 23 broker-dealer reps
- 23 insurance agents
- Owns 75% or more of Hazard & Siegel Advisory Services LLC
Alexander Joseph
Control person · since June 2003
- Owns 10% to 25% of Hazard & Siegel Advisory Services LLC
David Mullen
Control person · since June 2003
Hazard & Siegel Advisory Services’ regulatory assets grew 1.9× from $231M (July 2021) to $450M (March 2026); clients rose from 93 to 150 and employees from 15 to 24.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| March 2026 | $450M | 150 | 24 | 2 |
| April 2025 | $378M | 167 | 24 | 2 |
| March 2024 | $342M | 144 | 26 | 2 |
| March 2023 | $287M | 105 | 28 | 2 |
| March 2022 | $256M | 95 | 15 | 2 |
| July 2021 | $231M | 93 | 15 | 2 |
Besides its headquarters, Hazard & Siegel Advisory Services has 1 office, with 2 listed addresses in New York.
New York · 2 listed addresses
- 5793 Widewaters Parkway, Suite 200, DewittHQ
- 432 North Franklin Street, Syracuse
Contact and registration details
- Legal name
- Hazard & Siegel Advisory Services LLC
- Headquarters
- 5793 Widewaters Parkway, Suite 200, Dewitt, NY 13214
- Website
- hazardsiegel.com
- Phone
- 315-414-0722
- SEC file
- 801-70690
- Structure
- New York LLC
- Fiscal year end
- December
Hazard & Siegel Advisory Services uses Fidelity ($125M, 35%), Principal Securities ($114M, 32%) and Folio Investments ($57.7M, 16%), among others, as custodians for its separately managed accounts. Hazard & Siegel Advisory Services does not have custody of client assets.
- Ascensus Financial ServicesAscensus Financial Services, LLC. · Dresher, PA · $57.5M16%
- Folio InvestmentsFolio Investments, Inc. · McLean, VA · $57.7M16%
- Principal SecuritiesPrincipal Securities, Inc. · Des Moines, IA · $114M32%
- FidelityFidelity Institutional · Boston, MA · $125M35%
At year end, Hazard & Siegel Advisory Services’ separately managed accounts were largely in funds (38%) and stocks (32%).
What the accounts hold
- Stocks32%
- Exchange-traded equities30%
- Non-exchange-traded equities2%
- Funds38%
- Bonds25%
- U.S. government and agency bonds10%
- State and local bonds8%
- Investment grade corporate bonds5%
- High-yield corporate bonds2%
- Cash5%
How many clients does Hazard & Siegel Advisory Services have?
Hazard & Siegel Advisory Services has 150 clients and manages $450 million for them, as of March 2026. They include 124 individuals and 26 pension and profit-sharing plans.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 31 March 2026
What services does Hazard & Siegel Advisory Services offer?
Hazard & Siegel Advisory Services provides financial planning, portfolio management for individuals and small businesses, pension consulting, and selecting other managers.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
Which custodians does Hazard & Siegel Advisory Services use?
Hazard & Siegel Advisory Services’ separately managed account assets are held at Fidelity Institutional (Boston, MA), with $125M, Principal Securities, Inc. (Des Moines, IA), with $114M, Folio Investments, Inc. (McLean, VA), with $57.7M and Ascensus Financial Services, LLC. (Dresher, PA), with $57.5M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 31 March 2026
How many financial advisors does Hazard & Siegel Advisory Services have?
Hazard & Siegel Advisory Services has 23 investment adviser representatives registered with state securities authorities, out of 24 employees, and 23 perform investment advisory functions. 23 employees are registered representatives of a broker-dealer and 23 employees are licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Hazard & Siegel Advisory Services invest in?
At the end of its last fiscal year, Hazard & Siegel Advisory Services’ separately managed accounts held 38% registered funds (mutual funds, ETFs, BDCs), 30% exchange-traded equities, 10% U.S. government and agency bonds, 8% state and local bonds, 5% investment grade corporate bonds, 5% cash and equivalents, 2% non-exchange-traded equities and 2% high-yield corporate bonds.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Hazard & Siegel Advisory Services?
Hazard & Siegel Advisory Services’ direct owners are Alexander Joseph (75% or more) and David Mullen (10% to 25%).
Source: Form ADV Part 1A, Schedules A and B, filed 31 March 2026
How does Hazard & Siegel Advisory Services get paid?
Hazard & Siegel Advisory Services is paid through a percentage of assets under management, hourly charges, fixed fees and other compensation. 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
How do I contact Hazard & Siegel Advisory Services?
Hazard & Siegel Advisory Services’ main office is at 5793 Widewaters Parkway, Suite 200, Dewitt, NY 13214. Its phone number is 315-414-0722. Its website is hazardsiegel.com.