PEKIN HARDY STRAUSS, INC. of CHICAGO, IL is an SEC-registered investment adviser (CRD 107310). Regulatory assets under management: $1.6B.
Compensation: % of AUM.
Clients served: Individuals, High net worth, Pooled vehicles.
| 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 | — |
| 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 |