# Hazard & Siegel Advisory Services LLC

> 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.

- CRD: 151462
- Filed as: HAZARD & SIEGEL ADVISORY SERVICES LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Dewitt, NY
- Filing period: October 2026
- Form ADV filing dated: March 31, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/151462
- AdvisorCensus page: https://advisorcensus.com/firm/hazard-and-siegel-advisory-services-llc-dewitt-ny-151462

## Quick answers

**How is Hazard & Siegel Advisory Services LLC compensated?**
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.

**Where is Hazard & Siegel Advisory Services LLC located?**
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).

**Is Hazard & Siegel Advisory Services LLC registered with the SEC or a state?**
Hazard & Siegel Advisory Services LLC is an SEC-registered investment advisory firm, registered since 2009. Status as filed: Approved. CRD 151462.

**How much does Hazard & Siegel Advisory Services LLC manage?**
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).

**How have Hazard & Siegel Advisory Services LLC's assets and staff changed since 2021?**
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.

**What types of clients does Hazard & Siegel Advisory Services LLC serve?**
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).

**Which custodians does Hazard & Siegel Advisory Services LLC use?**
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.

**Does Hazard & Siegel Advisory Services LLC report any disciplinary disclosures?**
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

**What changed in Hazard & Siegel Advisory Services LLC's recent Form ADV filings?**
In the April 2026 filing data: Regulatory assets under management went from $378,476,990 to $449,795,352 (+19%).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Other

### Custodians (Schedule D, Section 5.K(3))
- Ascensus Financial Services, LLC.
- Fidelity Institutional
- Goldman Sachs Custody Solutions
- Principal Securities, Inc.

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.

### Regulatory assets under management (Item 5.F)
- Total: $449,795,352
- Discretionary: $0
- Non-discretionary: $449,795,352

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 124 | $55,112,004 |
| High net worth individuals | Fewer than 5 | $1,074,106 |
| Banking or thrift institutions | 0 | Not reported |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | $0 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 26 | $393,609,242 |
| Charitable organizations | 0 | $0 |
| State or municipal government entities (including government pension plans) | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses not listed above | 0 | $0 |
| Other | 0 | $0 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services
- Selection of other advisers (including private fund managers)

### Firm details
- Registered since: 2009 (16 years)
- Employees: 24 total, 23 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: AR, CO, CT, FL, MA, MD, NC, NY, OH, PA, SC, TX, VA
- Disclosures (Item 11): Reports 3 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.D(5): 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?
- 11.E(4): 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?
- 11.H(1)(c): 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?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/151462

### Other offices (Schedule D, Section 1.F), as of the April 2026 filing
- Syracuse, NY

### Websites listed on Form ADV (Item 1.I)
- hazardsiegel.com

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $231,181,434 | 15 | July 27, 2021 |
| October 2022 | $255,788,131 | 15 | September 9, 2022 |
| October 2023 | $286,856,073 | 28 | March 31, 2023 |
| October 2024 | $342,464,897 | 26 | March 27, 2024 |
| October 2025 | $378,476,990 | 24 | April 1, 2025 |
| October 2026 | $449,795,352 | 24 | March 31, 2026 |

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.

## Changes in the filing (last 12 months)

### April 2026
- Regulatory assets under management went from $378,476,990 to $449,795,352 (+19%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Hazard & Siegel Advisory Services LLC (CRD 151462): Form ADV filing data as of October 2026.