HAZARD & SIEGEL ADVISORY SERVICES LLC
Adviser information for HAZARD & SIEGEL ADVISORY SERVICES LLC last updated from Form ADV on March 27th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | New York, United States |
Employees
| Total Number of Employees | 26 |
|---|---|
| Investment Advisory/Research | 25 |
| Registered Broker-Dealer Representatives | 25 |
| Registered State Investment Advisers | 25 |
| Licensed Agents of an Insurance Company | 24 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 0 | $0 |
| Non-Discretionary | 294 | $342.5M |
| Total | 294 | $342.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 111 | $27.1M |
| HNW Individuals | 7 | $14.0M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 26 | $301.4M |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 105 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesSOLICITOR FEES |
Identifiers
| SEC RIA File Number | 801-70690 |
|---|---|
| SEC ERA File Number | 801-70690 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 151462 |
| Legal Entity Identifier | None |
Principal Office
5793 WIDEWATERS PARKWAYDEWITT
NY
United States
Monday - Friday, 8:30 - 5:00
Tel: 315-414-0722, Fax: 315-414-0724
Websites
Chief Compliance Officer
DAVID MULLEN
PRESIDENT
5793 WIDEWATERS PKWY
PO BOX 157
DEWITT
NY
United States
Tel:
315-414-0722
Fax:
315-414-0724
D******@***************M
(Full email address available in API data)
Regulatory Contact
ALEXANDER S. JOSEPH JR.
CEO
5793 WIDEWATERS PKWY
PO BOX 157
DEWITT
NY
United States
Tel:
315-414-0722
Fax:
315-414-0724
A******@***************M
(Full email address available in API data)
Industry Affiliates
| ALEX S. JOSEPH ASSOCIATES, INC. | Insurance company or agency |
| CROWN RISK MANAGEMENT LLC | Pension consultant |
| HAZARD & SIEGEL AGENCY LLC | Insurance company or agency |
| HAZARD & SIEGEL, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| OMEGA, INC. | Pension consultant |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| JOSEPH, ALEXANDER, SOTIR | Individual | – | CEO; MEMBER | 06/2003 | > 75% |
| MULLEN, DAVID, MARK | Individual | – | PRESIDENT/CHIEF COMPLIANCE OFFICER; MEMBER | 06/2003 | 10-25% |