{"url":"https://nivawealth.com/firms/hazard-and-siegel-advisory-services-151462","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/151462","regulatoryAum":449795352,"crd":"151462","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"1069681","suffix":null,"lastName":"CAMERON","firstName":"BRIAN","middleName":"CHARLES"},{"crd":"4806188","suffix":null,"lastName":"CRONIN","firstName":"DOUGLAS","middleName":"JAMES"},{"crd":"857719","suffix":null,"lastName":"CRONIN","firstName":"MICHAEL","middleName":"DAVID"},{"crd":"1546630","suffix":null,"lastName":"DESIMONE","firstName":"DAVID","middleName":"MICHAEL"},{"crd":"4429474","suffix":"III","lastName":"FARRANCE","firstName":"WILLIAM","middleName":"CHARLES"},{"crd":"1332275","suffix":null,"lastName":"FINKBEINER","firstName":"GEORGE","middleName":"KURT"},{"crd":"223898","suffix":null,"lastName":"GOLDBERG","firstName":"CLYDE","middleName":null},{"crd":"1218349","suffix":null,"lastName":"GROSJEAN","firstName":"RUSSELL","middleName":"JAMES"},{"crd":"5386477","suffix":null,"lastName":"HOAG","firstName":"TIMOTHY","middleName":"JOHN"},{"crd":"6141503","suffix":"III","lastName":"JOSEPH","firstName":"ALEXANDER","middleName":"SOTIR"},{"crd":"2587688","suffix":null,"lastName":"KIRSCHE","firstName":"MARK","middleName":"ALLEN"},{"crd":"1327419","suffix":null,"lastName":"MULLEN","firstName":"DAVID","middleName":"MARK"},{"crd":"4673412","suffix":null,"lastName":"PFEUFFER","firstName":"MICHAEL","middleName":"PAUL"},{"crd":"1037994","suffix":null,"lastName":"POLIZZI","firstName":"STEPHEN","middleName":"MICHAEL"},{"crd":"4525092","suffix":null,"lastName":"REXFORD","firstName":"HEIDI","middleName":"LINDA"},{"crd":"1239223","suffix":null,"lastName":"ROMANTINO","firstName":"ANTHONY","middleName":"MICHAEL"},{"crd":"2695109","suffix":null,"lastName":"ROMBEL","firstName":"NATALY","middleName":"ANNA"},{"crd":"7216451","suffix":null,"lastName":"SHANNON","firstName":"JASON","middleName":null},{"crd":"3104142","suffix":null,"lastName":"SLACK","firstName":"JANE","middleName":"EILEEN"},{"crd":"2267412","suffix":null,"lastName":"STEFFEY","firstName":"THOMAS","middleName":"MURRAY"},{"crd":"5064917","suffix":"JR","lastName":"TALLARICO","firstName":"PETER","middleName":"ANTHONY"},{"crd":"1874054","suffix":null,"lastName":"WALSH","firstName":"THOMAS","middleName":"MICHAEL"},{"crd":"5050123","suffix":null,"lastName":"WARD","firstName":"MICHAEL","middleName":"PATRICK"},{"crd":"5104412","suffix":null,"lastName":"WARD","firstName":"PETER","middleName":"CARROLL"},{"crd":"2572933","suffix":null,"lastName":"WILKIE","firstName":"STEPHEN","middleName":"PAUL"},{"crd":"5771520","suffix":null,"lastName":"WOOD","firstName":"WILLIAM","middleName":"HOWARD"}],"total":26,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-07-27","regulatoryAum":231181434,"clients":93,"employees":15,"offices":2},{"filedOn":"2022-03-04","regulatoryAum":255788131,"clients":95,"employees":15,"offices":2},{"filedOn":"2023-03-31","regulatoryAum":286856073,"clients":105,"employees":28,"offices":2},{"filedOn":"2024-03-27","regulatoryAum":342464897,"clients":144,"employees":26,"offices":2},{"filedOn":"2025-04-01","regulatoryAum":378476990,"clients":167,"employees":24,"offices":2},{"filedOn":"2026-03-31","regulatoryAum":449795352,"clients":150,"employees":24,"offices":2}],"secFileNumber":"801-70690","legalName":"Hazard 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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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Hazard & Siegel Advisory Services offer?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Hazard & Siegel Advisory Services use?","answer":"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","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Hazard & Siegel Advisory Services have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Hazard & Siegel Advisory Services invest in?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Hazard & Siegel Advisory Services?","answer":"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","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Hazard & Siegel Advisory Services get paid?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Hazard & Siegel Advisory Services?","answer":"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.","source":"Form ADV Part 1A, Item 1.F, filed 31 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}