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HAZARD & SIEGEL ADVISORY SERVICES LLC

dba HAZARD & SIEGEL ADVISORY SERVICES LLC · CRD 151462 · Registered Investment Adviser

Regulatory disclosureCivil/Other disclosure

HAZARD & SIEGEL ADVISORY SERVICES LLC is a Registered Investment Adviser headquartered in DEWITT, NY. The firm reports $449,795,352 in regulatory assets under management across 293 accounts. It reports 3 Form ADV Item 11 disciplinary disclosure(s) (Regulatory, Civil/Other).

Regulatory assets under management

Discretionary$0
Non-discretionary$449,795,352
Total RAUM$449,795,352
Accounts293

Disciplinary history (Form ADV Item 11)

This adviser answered "yes" to 3 Item 11 disclosure question(s):

CategoryReported
Criminal (11A / 11B)—
Regulatory (11C–11F)Yes
Civil / Other (11G / 11H)Yes

Item 11 captures firm-level Y/N disclosures only. For the narrative Disciplinary Reporting Pages, see the full Form ADV PDF on SEC IAPD.

About this data

Form ADV is the uniform registration form every investment adviser files with the U.S. Securities and Exchange Commission (and state regulators). Part 1A captures the firm's identity, assets under management, client base, custody arrangements, and disciplinary disclosures. This page mirrors the SEC's monthly firm-roster export with citations to the Investment Adviser Public Disclosure (IAPD) system, where the full brochure (Part 2) and disciplinary detail are available.

References

  1. U.S. Securities and Exchange Commission. Investment Adviser Public Disclosure — CRD 151462. adviserinfo.sec.gov/firm/summary/151462.
  2. SEC Form ADV firm roster (FOIA monthly export). sec.gov Form ADV data.

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