Hazard & Siegel Advisory Services Llc
- Regulatory AUM
- $450M
- Discretionary
- $0
- Clients
- 150
- Avg AUM / client
- $3.0M
- Accounts
- 293
- Employees
- 24
AUM over time
Annual snapshots from Form ADV filings · as of Mar 31, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 124 | $55.1M | 12.3% |
| High net worth individuals | Fewer than 5 clients | $1.1M | 0.24% |
| Pension and profit sharing plans | 26 | $394M | 87.5% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Manac Trailers Usa, Inc. Savings Plan Manac Trailers Usa, Inc. | 2024 | |
| Byrne Dairy, Inc. And Sonbyrne Sales, Inc. 401(k) Profit Sharing Plan Byrne Dairy, Inc. | 2024 | |
| Asbestos Workers Syracuse Annuity Fund Asbestos Workers Syracuse Annuity Fund | 2024 |
People (28)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| David Mark Mullen | President/Chief Compliance Officer; Member | Jun 2003 (23y) | 10% – 25% | |
| Joseph, Alexander, Sotir | Ceo; Member | Jun 2003 (23y) | 75% or more | |
| Heidi Linda Rexford | Registered representative | Jan 2013 (14y) | ||
| Timothy John Hoag | Registered representative | Sep 2013 (13y) | ||
| Peter Carroll Ward | Registered representative | Apr 2016 (10y) | ||
| Michael Patrick Ward | Registered representative | Jan 2019 (8y) | ||
| Michael Paul Pfeuffer | Registered representative | Feb 2020 (6y) | ||
| Anthony Michael Romantino | Registered representative | Feb 2021 (6y) | ||
| Thomas Murray Steffey | Registered representative | Feb 2021 (5y) | ||
| Alexander Sotir Joseph | Registered representative | May 2021 (5y) | ||
| Clyde Goldberg | Registered representative | May 2021 (5y) | ||
| John Raymond Decrescente | Registered representative | May 2021 (5y) | ||
| Michael David Cronin | Registered representative | May 2021 (5y) | ||
| Stephen Michael Polizzi | Registered representative | May 2021 (5y) | ||
| Brian Charles Cameron | Registered representative | Jun 2021 (5y) | ||
| Douglas James Cronin | Registered representative | Jun 2021 (5y) | ||
| David Michael Desimone | Registered representative | Jul 2021 (5y) | ||
| Edmond James Theobald | Registered representative | Jul 2021 (5y) | ||
| George Kurt Finkbeiner | Registered representative | Jul 2021 (5y) | ||
| Jane Eileen Slack | Registered representative | Jul 2021 (5y) | ||
| Mark Allen Kirsche | Registered representative | Jul 2021 (5y) | ||
| Peter Anthony Tallarico | Registered representative | Jul 2021 (5y) | ||
| Stephen Paul Wilkie | Registered representative | Jul 2021 (5y) | ||
| Thomas Michael Walsh | Registered representative | Jul 2021 (5y) | ||
| William Charles Farrance | Registered representative | Jul 2021 (5y) | ||
| Russell James Grosjean | Registered representative | Jul 2021 (5y) | ||
| Nataly Anna Rombel | Registered representative | Apr 2024 (2y) | ||
| William Howard Wood | Registered representative | Oct 2025 (1y) |
Undisclosed: 0% – 15% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (3)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Manac Trailers Usa, Inc. Savings Plan | Manac Trailers Usa, Inc. | 152 | $4.8M | 01/01/2024 |
| Byrne Dairy, Inc. And Sonbyrne Sales, Inc. 401(k) Profit Sharing Plan | Byrne Dairy, Inc. | 1,869 | $38.3M | 01/01/2024 |
| Asbestos Workers Syracuse Annuity Fund | Asbestos Workers Syracuse Annuity Fund | 69 | $10.4M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/31/2026 | 1.3 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: PER FINRA RULE 2010 AND NASD RULE 3010 THAT MR MULLEN FAILED TO REASONABLY SUPERVISE HUSBAND/WIFE REGISTERED RERRESENTATIVES AT HIS MEMBER FIRM IN THE SUBMISSION OF VARIABLE ANNUITY APPLICATIONS. IT WAS ALLEGED THAT THE HUSBAND HAD BEEN SIGNING HIS WIFE'S NAME ON APPLICATIONS AND THAT MULLEN FAILED TO TAKE APPROPRIATE ACTION TO SUPERVISE THE REPRESENTATIVES THAT WAS REASONABLE DEGINED TO PREVENT THEIR VIOLATIONS AND ACHIEVE COMPLIANCE WITH APPLICABLE RULES Status: Final Sanction Detail: SUSPENDED FROM BROKER DEALER SUPERVISORY DUTIES ONLY. $10,000 FINE, PAID VIA AN INSTALLMENT AGREEMENT Summary: SUSPENSION FROM SUPERVISORY DUTIES ONLY BEGAN ON 12/17/2012 FOR A PERIOD TO END 2/16/2013
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
- • Other fees
- • REFERRAL FEES
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
- • Selection of other advisers
Custody
Reported custodians
- Fidelity Institutional $125M (28% of AUM) Mar 2026
- Principal Securities, Inc. $114M (25% of AUM) Mar 2026
- Folio Investments, Inc. $57.7M (13% of AUM) Mar 2026
- Ascensus Financial Services, Llc. $57.5M (13% of AUM) Mar 2026
- Voya Retirement Insurance And Annuity Company $2.5M (1% of AUM) Apr 2025
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 31, 2026.
View current Form ADV (SEC/IAPD) ↗