SourcingSourcing

HAZARD & SIEGEL ADVISORY SERVICES LLC

C36
CRD 151462·SEC 801-70690·DEWITT, NY
AUM
$449.8M
$100M-$500M
Est. Revenue
$4.5M
@ 1% on AUM
Est. EBITDA
$1.3M
@ 30% margin
Est. Deal Value
$10.8M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
HAZARD & SIEGEL ADVISORY SERVICES LLC
CRD
151462
SEC file #
801-70690
EIN
—
DBA names
—

Economics

AUM
$449.8M
AUM band
$100M-$500M
AUM trajectory
'20'26
$153.0M → $449.8M▲ +194%
Client mix
Individuals Other124
Pension Profit Sharing Plans26

Operations

Employees (total)
24
Advisory staff (per ADV)
23
Advisory staff (5-yr trend)
'20'26
11 advisors → 23 advisors▲ +109%
Primary office
DEWITT NY
Branches
—

Custodian & Brokerage

Primary custodian
Fidelitylow confidence
Services offered
Financial planningPortfolio mgmt — individualsPension consultingSelection of other advisers
Fee basis
% of AUMHourly chargesFixed feesOther Compensation

Filings

Latest ADV filing
03/31/2026
ADV-W filed at
—
Website
hazardsiegel.com

Compliance

Disclosures (firm)
3
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
JOSEPH, ALEXANDER, SOTIR
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
2
Control Persons
JOSEPH, ALEXANDER, SOTIR
MULLEN, DAVID, MARK
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
HAZARDSIEGEL.COM
Rdap Domain Creation Date
2003-06-11T23:07:29Z
Rdap Firm Age Years
23
Rdap Firm Age Band
20+y
Rdap Registrar
Tucows Domains Inc.

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No
Form 5500 Plan Count
2
Form 5500 Total Compensation
49,303
Form 5500 Compensation Trajectory 3y
202549,303
Form 5500 Plan Count Trajectory 3y
20252
Schedule C Total Compensation
49,303
Schedule C Service Provider Rows
2

SEC EDGAR

Edgar Registered
No

Compliance & brand

Firm Registration Status
active

All other collected signals (14)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
27
Bc Firm Active IA Count
27
Bc Firm IAR Count
27
Custodian Candidates
Full
Fidelity4
E*trade4
Goldman Sachs2
Folio Institutional1
Firm Has Custody
No
Mailing Office Differs
No
Rdap Domain Expiration Date
2028-06-11T23:07:29Z
Rdap Domain Last Changed
2026-01-31T23:06:32Z
Rdap Nameservers
Ns1.softlayer.comNs2.softlayer.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Transfer ProhibitedClient Update Prohibited
Top Owner CRD
1092307
Trust Company Affiliate
No

People (28)

28
ALEXANDER SOTIR JOSEPH
Direct Owner · 87.5%
1092307
MULLEN, DAVID, MARK
IAR · Direct Owner · 17.5%
1327419
MICHAEL DAVID CRONIN
IAR
857719
MICHAEL PAUL PFEUFFER
IAR
4673412
DAVID MICHAEL DESIMONE
IAR
1546630
CLYDE GOLDBERG
IAR
223898
EDMOND JAMES THEOBALD
IAR
1018183
STEPHEN MICHAEL POLIZZI
IAR
1037994
TIMOTHY JOHN HOAG
IAR
5386477
STEPHEN PAUL WILKIE
IAR
2572933
PETER ANTHONY TALLARICO
IAR
5064917
WILLIAM CHARLES FARRANCE
IAR
4429474
THOMAS MURRAY STEFFEY
IAR
2267412
HEIDI LINDA REXFORD
IAR
4525092
MICHAEL PATRICK WARD
IAR
5050123
JANE EILEEN SLACK
IAR
3104142
THOMAS MICHAEL WALSH
IAR
1874054
ALEXANDER SOTIR JOSEPH
IAR
6141503
BRIAN CHARLES CAMERON
IAR
1069681
PETER CARROLL WARD
IAR
5104412
DOUGLAS JAMES CRONIN
IAR
4806188
RUSSELL JAMES GROSJEAN
IAR
1218349
MARK ALLEN KIRSCHE
IAR
2587688
NATALY ANNA ROMBEL
IAR
2695109
ANTHONY MICHAEL ROMANTINO
IAR
1239223
JOHN RAYMOND DECRESCENTE
IAR
6643460
WILLIAM HOWARD WOOD
IAR
5771520
GEORGE KURT FINKBEINER
IAR
1332275