# PEKIN HARDY STRAUSS, INC.

PEKIN HARDY STRAUSS, INC. of CHICAGO, IL is an SEC-registered investment adviser.

## Registration

- CRD: 107310
- Type: SEC-registered investment adviser
- SEC file number: 801-35684
- Location: 227 WEST MONROE STREET, SUITE 3625, CHICAGO, IL, 60606
- Phone: 312-554-7525
- Latest filing: 2026-03-13
- Regulatory AUM: $1.6B
- Discretionary AUM: $1.6B
- Clients: 19
- Accounts: 1,941

## Business model

- Compensation: % of AUM
- Clients served: Individuals, High net worth, Pooled vehicles

## Officers, owners & control persons (20)

| Name | Role | Location |
| --- | --- | --- |
| Brandon John Hardy | SENIOR VICE-PRESIDENT | — |
| Jennifer Ann Dunlap | CHIEF COMPLIANCE OFFICER | — |
| William Andrew Pekin | CO-TRUSTEE; SENIOR VICE PRESIDENT | — |
| Adam Savitz Strauss | CO-CHIEF EXECUTIVE OFFICER; TRUSTEE | — |
| Joshua Daniel Strauss | CO-CHIEF EXECUTIVE OFFICER; TRUSTEE | — |
| Samantha Blair Pekin | CO-TRUSTEE | — |
| Samantha Pekin | CO-TRUSTEE | — |
| SHAPIRO NATHAN | SENIOR VICE-PRESIDENT | — |
| SINGER RICHARD ALLEN | SENIOR VICE-PRESIDENT; TRUSTEE | — |
| STRAUSS RONALD LEE | PRESIDENT; SENIOR VICE-PRESIDENT | — |
| HARDY BRANDON | FINANCIAL ANALYST | — |
| ZABLE ALAN L | CHIEF FINANCIAL OFFICER; CHIEF FINANCIAL OFFICER AND CHIEF COMPLIANCE OFFICER; CHIEF FINANCIAL OFFICER AND COMPLIANCE OFFICER (+1 more) | — |
| PEKIN WILLIAM ANDREW | SENIOR VICE-PRESIDENT; VICE-PRESIDENT | — |
| STRAUSS ADAM SAVITZ | CO-CHIEF EXECUTIVE OFFICER; CO-TRUSTEE; SENIOR VICE PRESIDENT | — |
| STRAUSS JOSHUA DANIEL | CO-CHIEF EXECUTIVE OFFICER; CO-TRUSTEE; SENIOR VICE PRESIDENT | — |
| PEKIN SHELDON MARK | PRESIDENT; SENIOR VICE-PRESIDENT | — |
| HARDY BRANDON JOHN | FINANCIAL ANALYST; SENIOR VICE-PRESIDENT | — |
| SCHMIDLE WILLIAM GEORGE | CHIEF COMPLIANCE OFFICER; CHIEF FINANCIAL OFFICER | — |
| HERRINGTON PATRICK WILLIAM | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER AND CHIEF OPERATING OFFICER; SHAREHOLDER | — |
| DUNLAP JENNIFER ANN | CHIEF COMPLIANCE OFFICER | — |


## Disclosures (7)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2015-06-23 | regulatory | THE COMMISSION FOUND THAT THE FIRM DID NOT CONDUCT TIMELY ANNUAL COMPLIANCE REVIEWS IN 2009 AND 2010 AND IMPLEMENT AND ENFORCE CERTAIN POLICIES AND PROCEDURES. THE FIRM DID NOT CAUSE THE FIRM'S ADVISORY CLIENTS WHO HELD OR PURCHASED APPLESEED FUND INVESTOR CLASS SHARES TO ACQUIRE INSTITUTIONAL CLASS… | Final | $240K |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/107310/brochure
- Similar advisers: https://search.stillhousedata.com/firm/107310/similar
- Related entities: https://search.stillhousedata.com/firm/107310/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/107310

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.