{
  "crd_number": 151462,
  "slug": "hazard-and-siegel-advisory-services-llc-dewitt-ny-151462",
  "primary_business_name": "HAZARD & SIEGEL ADVISORY SERVICES LLC",
  "legal_name": "HAZARD & SIEGEL ADVISORY SERVICES LLC",
  "dbas": [],
  "city": "Dewitt",
  "state": "NY",
  "country": "United States",
  "cbsa_code": "45060",
  "metro": {
    "cbsa_code": "45060",
    "common_name": "Syracuse",
    "msa_name": "Syracuse, NY",
    "path": "/advisors/ny/syracuse"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2009-10-26",
  "years_registered": 16,
  "period": "2026-10-01",
  "filing_date": "2026-03-31",
  "carried_forward": false,
  "raum_total": 449795352.0,
  "raum_discretionary": 0.0,
  "raum_non_discretionary": 449795352.0,
  "raum_band": "100m_500m",
  "raum_band_label": "$100 million to $500 million",
  "total_employees": 24,
  "advisory_employees": 23,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "other": {
      "raum": 0.0,
      "count": 0
    },
    "charitable": {
      "raum": 0.0,
      "count": 0
    },
    "individuals": {
      "raum": 55112004.0,
      "count": 124
    },
    "banking_thrift": {
      "raum": null,
      "count": 0
    },
    "state_municipal": {
      "raum": 0.0,
      "count": 0
    },
    "insurance_companies": {
      "raum": 0.0,
      "count": 0
    },
    "investment_companies": {
      "raum": 0.0,
      "count": 0
    },
    "pension_profit_sharing": {
      "raum": 393609242.0,
      "count": 26
    },
    "other_investment_advisers": {
      "raum": 0.0,
      "count": 0
    },
    "high_net_worth_individuals": {
      "raum": 1074106.0,
      "count": null,
      "fewer_than_5": true
    },
    "pooled_investment_vehicles": {
      "raum": 0.0,
      "count": 0
    },
    "corporations_other_businesses": {
      "raum": 0.0,
      "count": 0
    },
    "business_development_companies": {
      "raum": 0.0,
      "count": 0
    },
    "sovereign_wealth_foreign_official": {
      "raum": 0.0,
      "count": 0
    }
  },
  "compensation_types": [
    "fixed",
    "hourly",
    "other",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "pension_consulting",
    "portfolio_management_individuals",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 3,
  "states_registered": [
    "AR",
    "CO",
    "CT",
    "FL",
    "MA",
    "MD",
    "NC",
    "NY",
    "OH",
    "PA",
    "SC",
    "TX",
    "VA"
  ],
  "websites": [
    "https://hazardsiegel.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/151462",
  "disclosure_items": [
    {
      "item": "11.D(5)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever denied, suspended, or revoked the registration or license of the firm or an advisory affiliate, prevented either by order from associating with an investment-related business, or restricted either one's activity?"
    },
    {
      "item": "11.E(4)",
      "question": "Has a self-regulatory organization or a commodities exchange ever disciplined the firm or an advisory affiliate by expelling or suspending it from membership, barring or suspending it from association with other members, or otherwise restricting its activities?"
    },
    {
      "item": "11.H(1)(c)",
      "question": "Has a domestic or foreign court ever dismissed, under a settlement agreement, an investment-related civil action brought against the firm or an advisory affiliate by a state or foreign financial regulator?"
    }
  ],
  "city_as_filed": "DEWITT",
  "url": "https://advisorcensus.com/firm/hazard-and-siegel-advisory-services-llc-dewitt-ny-151462",
  "display_name": "Hazard & Siegel Advisory Services LLC",
  "summary": "Hazard & Siegel Advisory Services LLC is an SEC-registered investment advisory firm in Dewitt, NY, registered since 2009, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 31, 2026.",
  "citation": "AdvisorCensus. Hazard & Siegel Advisory Services LLC (CRD 151462): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Hourly charges",
    "Fixed fees (other than subscription fees)",
    "Other"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Pension consulting services",
    "Selection of other advisers (including private fund managers)"
  ],
  "quick_answers": [
    {
      "q": "How is Hazard & Siegel Advisory Services LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Hazard & Siegel Advisory Services LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees); other."
    },
    {
      "q": "Where is Hazard & Siegel Advisory Services LLC located?",
      "a": "Hazard & Siegel Advisory Services LLC's principal office is in Dewitt, NY, according to its Form ADV; the April 2026 filing also lists 1 other office (Schedule D, Section 1.F)."
    },
    {
      "q": "Is Hazard & Siegel Advisory Services LLC registered with the SEC or a state?",
      "a": "Hazard & Siegel Advisory Services LLC is an SEC-registered investment advisory firm, registered since 2009. Status as filed: Approved. CRD 151462."
    },
    {
      "q": "How much does Hazard & Siegel Advisory Services LLC manage?",
      "a": "Hazard & Siegel Advisory Services LLC reports $449,795,352 in regulatory assets under management in its Form ADV filing dated March 31, 2026 (0% discretionary)."
    },
    {
      "q": "How have Hazard & Siegel Advisory Services LLC's assets and staff changed since 2021?",
      "a": "In the Form ADV data for Hazard & Siegel Advisory Services LLC: Regulatory assets under management: $231,181,434 in the October 2021 data and $449,795,352 in the October 2026 data, up 95%. Total employees: 15 in October 2021 and 24 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Hazard & Siegel Advisory Services LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (124); pension and profit sharing plans (but not the plan participants or government pension plans) (26)."
    },
    {
      "q": "Which custodians does Hazard & Siegel Advisory Services LLC use?",
      "a": "Hazard & Siegel Advisory Services LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Ascensus Financial Services, LLC., Fidelity Institutional, Goldman Sachs Custody Solutions and Principal Securities, Inc. as custodians holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Hazard & Siegel Advisory Services LLC report any disciplinary disclosures?",
      "a": "Reports 3 disclosure items on Form ADV Item 11: yes answers to 11.D(5) (another regulator's denial, suspension, or revocation of a registration or license, bar, or restriction), 11.E(4) (self-regulatory organization's expulsion, suspension, bar, or restriction), and 11.H(1)(c) (regulator's civil action dismissed under a settlement). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/151462"
    },
    {
      "q": "What changed in Hazard & Siegel Advisory Services LLC's recent Form ADV filings?",
      "a": "In the April 2026 filing data: Regulatory assets under management went from $378,476,990 to $449,795,352 (+19%)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 231181434.0,
      "total_employees": 15,
      "filing_date": "2021-07-27"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 255788131.0,
      "total_employees": 15,
      "filing_date": "2022-09-09"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 286856073.0,
      "total_employees": 28,
      "filing_date": "2023-03-31"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 342464897.0,
      "total_employees": 26,
      "filing_date": "2024-03-27"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 378476990.0,
      "total_employees": 24,
      "filing_date": "2025-04-01"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 449795352.0,
      "total_employees": 24,
      "filing_date": "2026-03-31"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Regulatory assets under management went from $378,476,990 to $449,795,352 (+19%)."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [
    {
      "name": "Ascensus Financial Services, LLC.",
      "name_as_filed": "ASCENSUS FINANCIAL SERVICES, LLC.",
      "affiliated": false
    },
    {
      "name": "Fidelity Institutional",
      "name_as_filed": "FIDELITY INSTITUTIONAL",
      "affiliated": false
    },
    {
      "name": "Goldman Sachs Custody Solutions",
      "name_as_filed": "GOLDMAN SACHS CUSTODY SOLUTIONS",
      "affiliated": false
    },
    {
      "name": "Principal Securities, Inc.",
      "name_as_filed": "PRINCIPAL SECURITIES, INC.",
      "affiliated": false
    }
  ],
  "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.",
  "markdown_url": "https://advisorcensus.com/firm/hazard-and-siegel-advisory-services-llc-dewitt-ny-151462.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 124,
      "fewer_than_5": false,
      "raum": 55112004.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": null,
      "fewer_than_5": true,
      "raum": 1074106.0
    },
    {
      "type": "banking_thrift",
      "label": "Banking or thrift institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "business_development_companies",
      "label": "Business development companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 26,
      "fewer_than_5": false,
      "raum": 393609242.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "state_municipal",
      "label": "State or municipal government entities (including government pension plans)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "other_investment_advisers",
      "label": "Other investment advisers",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "insurance_companies",
      "label": "Insurance companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "sovereign_wealth_foreign_official",
      "label": "Sovereign wealth funds and foreign official institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "other",
      "label": "Other",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    }
  ],
  "disclosure_line": "Reports 3 disclosure items on Form ADV Item 11.",
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/151462",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}