DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Hazard & Siegel Advisory Services LLC
Latest filing Mar 31, 2026
First filing on the tape Mar 28, 2012 · 26 filings
SEC status approved since Oct 26, 2009
RAUM
$450M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
12%
$56.2M individuals and HNW
Advisors
27
registered through the firm on IAPD
RAUM per advisor
$16.7M
derived; firm RAUM over IAPD count
Employees
24
23 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$450M as of Mar 31, 2026
Mar 28, 2012$115M then
HNW client RAUM$1.1M as of Mar 31, 2026
Mar 23, 2018$5.8M then
State-registered IARs (5.B.3)23 as of Mar 31, 2026
Apr 2, 201310 then
Employees (5.A)24 as of Mar 31, 2026
Apr 2, 201329 then
Private funds: no history
RAUM +19% over the last fiscal year+16% a year over threeIARs 23 to 23
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- OCIO / institutional advisory · selection of other advisers (5.G.7) and institutional share at least 50 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $16.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $1.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 88%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.9derivedItem 5.A over advisors
- Advisors per office
- 13.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$394M88%
- Individuals$55.1M12%
- High-net-worth individuals$1.1M0.2%
- Individual clients
- 124reported
- HNW clients
- n/areported
- Pension plan clients
- 26reported
- Charitable clients
- 0reported
- Accounts
- 293reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.12 fund_share=0.0 institutional_share=0.88 related_bd=true related_bank=false bd_reps=23.0derived
Advisors registered through the firm
27 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| David Mark Mullen | Dewitt, Ny | Nov 10, 2010 | 42 y | 0 |
| Heidi Linda Rexford | Duncanville, Pa | Jan 8, 2013 | 24 y | 2 |
| Timothy John Hoag | Dewitt, Ny | Sep 18, 2013 | 19 y | 2 |
| Peter Carroll Ward | Dewitt, Ny | Apr 4, 2016 | 20 y | 3 |
| Michael Patrick Ward | Cazenovia, Ny | Jan 8, 2019 | 19 y | 0 |
| Michael Paul Pfeuffer | Pittsburgh, Pa | Feb 11, 2020 | 23 y | 2 |
| Anthony Michael Romantino | Carnegie, Pa | Feb 1, 2021 | 42 y | 2 |
| Thomas Murray Steffey | Punxsutawney, Pa | Feb 10, 2021 | 34 y | 1 |
| Stephen Michael Polizzi | Dewitt, Ny | May 14, 2021 | 39 y | 1 |
| Michael David Cronin | Dewitt, Ny | May 14, 2021 | 21 y | 0 |
| Clyde Goldberg | Dewitt, Ny | May 14, 2021 | 39 y | 5 |
| Alexander Sotir Joseph | Dewitt, Ny | May 14, 2021 | 17 y | 0 |
| Douglas James Cronin | Dewitt, Ny | Jun 17, 2021 | 21 y | 0 |
| Brian Charles Cameron | Nanuet, Ny | Jun 17, 2021 | 39 y | 0 |
| William Charles Farrance | Dewitt, Ny | Jul 12, 2021 | 25 y | 0 |
| Jane Eileen Slack | Old Forge, Ny | Jul 12, 2021 | 42 y | 0 |
| Mark Allen Kirsche | Dewitt, Ny | Jul 12, 2021 | 31 y | 0 |
| Edmond James Theobald | Dewitt, Ny | Jul 12, 2021 | 26 y | 0 |
| George Kurt Finkbeiner | Syracuse, Ny | Jul 12, 2021 | 41 y | 0 |
| Thomas Michael Walsh | Dewitt, Ny | Jul 12, 2021 | 37 y | 0 |
| Stephen Paul Wilkie | Dewitt, Ny | Jul 12, 2021 | 31 y | 0 |
| Peter Anthony Tallarico | Dewitt, Ny | Jul 12, 2021 | 20 y | 0 |
| David Michael Desimone | Constantia, Ny | Jul 12, 2021 | 39 y | 0 |
| Russell James Grosjean | Dewitt, Ny | Jul 15, 2021 | 44 y | 0 |
| Nataly Anna Rombel | Dewitt, Ny | Apr 23, 2024 | 21 y | 0 |
| William Howard Wood | Dewitt, Ny | Oct 1, 2025 | 15 y | 2 |
| Jason Shannon | Dewitt, Ny | Aug 14, 2026 | 16 y | 1 |
Advisor movement
1 left, 2 joined in 12 months
net +1 in 12 months1 left in 90 days1 joined in 90 daysdeparture rate 3.7% of current headcount3 left over 36 months
Left, latest
- John Raymond Decrescente to LPL Financial LLCJul 30, 2026 · Other
- Christopher Alan Mccarthy to Retirement Planning Group, LLCFeb 12, 2024 · Other
- Jason Michael Venditti to Stirlingshire InvestmentsDec 11, 2023 · Other
- John N Kalil to Esi Financial AdvisorsNov 4, 2022 · Other
- Alfred James Feronti to Sageguard Wealth Management, Inc.Jul 13, 2017 · Other
- Shane William Galino to Blackridge Asset Management, LLCAug 4, 2016 · Other
- Brian Lee Breisinger to Blackridge Asset Management, LLCAug 4, 2016 · Other
- Bernard Anthony Unger to Pruco Securities, LLCOct 29, 2014 · Other
- Benjamin Duggan to Key Investment Services LLCOct 10, 2014 · Other
- Michael Girard Deluca to Exodus Wealth, LLCAug 10, 2012 · Other
Joined, latest
- Jason Shannon from MML Investors Services, LLCAug 14, 2026 · Other
- William Howard Wood from Legend Advisory, LLCOct 1, 2025 · Other
- Clyde Goldberg from Ridgeway Conger Advisory ServicesMay 14, 2021 · Other
- Stephen Michael Polizzi from Blackridge Asset Management, LLCMay 14, 2021 · Other
- Thomas Murray Steffey from Cadaret Grant & Co IncFeb 10, 2021 · Other
- Anthony Michael Romantino from Pnc Wealth ManagementFeb 1, 2021 · Other
- Michael Paul Pfeuffer from LPL Financial LLCFeb 11, 2020 · Other
- John Raymond Decrescente from Next Financial Group, Inc.Oct 16, 2018 · Other
- Jason Michael Venditti from Morgan Stanley Dw Inc.Jul 24, 2017 · Other
- Peter Carroll Ward from Ridgeway Conger Advisory ServicesApr 4, 2016 · Other
- Alfred James Feronti from World Capital Advisors, LLCMar 14, 2016 · Other
- Shane William Galino from LPL Financial LLCNov 19, 2015 · Other
- Benjamin Duggan from Wall Street Financial Group, IncMar 3, 2014 · Other
- Bernard Anthony Unger from Cambridge Investment Research Advisors, Inc.Feb 11, 2014 · Other
- Timothy John Hoag from Mid Atlantic Financial Management, Inc.Sep 18, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Sotir Alexander Joseph · Ceo; Membercontrolsince 06/2003 · owns 75% or more
- Mark David Mullen · President/Chief Compliance Officer; Membercontrolsince 06/2003 · owns 10% to 25%
Related persons
Schedule D 7.A
- Alex S. Joseph Associates, Inc.real estaten
- Crown Risk Management LLCLP sponsory
- Hazard & Siegel Agency LLCreal estaten
- Hazard & Siegel, Inc.broker-dealern
- Omega, Inc.LP sponsorn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Dewitt, Ny · principal | 27 | 2 | 1 | ||
| Syracuse, Ny | 4 | 1 | 0 | ||
| Cazenovia, Ny | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Syracuse, NY1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Mar 31, 2026discretionary share of RAUM of 0% against a peer median of 100% (212 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: other advisers, $100M to $500M (212) · 0.0% percentile
- high institutional concentrationStatic outlier · filing Mar 31, 2026institutional share of RAUM of 88% against a peer median of 0% (212 comparable advisers, 100.0th percentile, 29.5 robust deviations)peers: other advisers, $100M to $500M (212) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 294 to 293Apr 1, 2025 to Mar 31, 2026
- HNW clients · 7.0 to unsetApr 1, 2025 to Mar 31, 2026
- Individual clients · 134 to 124Apr 1, 2025 to Mar 31, 2026
- HNW RAUM · $6.8M to $1.1MApr 1, 2025 to Mar 31, 2026
- Individual RAUM · $38.0M to $55.1MApr 1, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $378M to $450MApr 1, 2025 to Mar 31, 2026
- Pension RAUM · $334M to $394MApr 1, 2025 to Mar 31, 2026
- RAUM · $378M to $450MApr 1, 2025 to Mar 31, 2026
- Advisory employees · 25 to 23Mar 27, 2024 to Apr 1, 2025
- BD registered reps · 25 to 23Mar 27, 2024 to Apr 1, 2025
- Individual clients · 111 to 134Mar 27, 2024 to Apr 1, 2025
- Employees · 26 to 24Mar 27, 2024 to Apr 1, 2025
- Financial planning clients · 101-250 to 101-250Mar 27, 2024 to Apr 1, 2025
- State-registered IARs · 25 to 23Mar 27, 2024 to Apr 1, 2025
- HNW RAUM · $14.0M to $6.8MMar 27, 2024 to Apr 1, 2025
- Individual RAUM · $27.1M to $38.0MMar 27, 2024 to Apr 1, 2025
- Non-discretionary RAUM · $342M to $378MMar 27, 2024 to Apr 1, 2025
- Pension RAUM · $301M to $334MMar 27, 2024 to Apr 1, 2025
- RAUM · $342M to $378MMar 27, 2024 to Apr 1, 2025
- Accounts · 285 to 294Nov 6, 2023 to Mar 27, 2024
- HNW clients · 0 to 7Nov 6, 2023 to Mar 27, 2024
- Individual clients · 85 to 111Nov 6, 2023 to Mar 27, 2024
- Pension plan clients · 20 to 26Nov 6, 2023 to Mar 27, 2024
- Employees · 28 to 26Nov 6, 2023 to Mar 27, 2024
- Financial planning clients · 0 to 101-250Nov 6, 2023 to Mar 27, 2024
- HNW RAUM · $0 to $14.0MNov 6, 2023 to Mar 27, 2024
- Individual RAUM · $37.1M to $27.1MNov 6, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $287M to $342MNov 6, 2023 to Mar 27, 2024
- Pension RAUM · $250M to $301MNov 6, 2023 to Mar 27, 2024
- RAUM · $287M to $342MNov 6, 2023 to Mar 27, 2024
- Accounts · 245 to 285Sep 9, 2022 to Mar 31, 2023
- Advisory employees · 12 to 25Sep 9, 2022 to Mar 31, 2023
- BD registered reps · 12 to 25Sep 9, 2022 to Mar 31, 2023
- Individual clients · 76 to 85Sep 9, 2022 to Mar 31, 2023
- Pension plan clients · 19 to 20Sep 9, 2022 to Mar 31, 2023
- Employees · 15 to 28Sep 9, 2022 to Mar 31, 2023
- State-registered IARs · 12 to 25Sep 9, 2022 to Mar 31, 2023
- Individual RAUM · $38.2M to $37.1MSep 9, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $256M to $287MSep 9, 2022 to Mar 31, 2023
- Pension RAUM · $217M to $250MSep 9, 2022 to Mar 31, 2023
Signals
5 dated events
- John Raymond Decrescente left Hazard & Siegel Advisory Services Llc for Lpl Financial Llc (registered 2026-07-30)Jul 30, 2026 · Advisor changed firm · fact
- Christopher Alan Mccarthy left Hazard & Siegel Advisory Services Llc for Retirement Planning Group, Llc (registered 2024-08-02)Feb 12, 2024 · Advisor changed firm · fact
- Jason Michael Venditti left Hazard & Siegel Advisory Services Llc for Stirlingshire Investments (registered 2024-09-20)Dec 11, 2023 · Advisor changed firm · fact
- Hazard & Siegel Advisory Services Llc reported 25 state-registered advisory representatives, up from 12 (2022-09-09 to 2023-03-31)Mar 31, 2023 · Advisor headcount change · derived
- John N Kalil left Hazard & Siegel Advisory Services Llc for Esi Financial Advisors (registered 2022-11-07)Nov 4, 2022 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- HAZARDSIEGEL.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 315-414-0722reportedpublic record, Form ADV, Mar 31, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $16.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026