Firm profile

Pekin Hardy Strauss, Inc..

CHICAGO, ILCRD 107310Registration Status: ApprovedEffective since December 29, 1989SEC # 801-35684Latest ADV March 13, 2026

Pekin Hardy Strauss, Inc. is an SEC registered investment adviser organized as a corporation with a primary office location in Chicago, IL. Its latest Form ADV filing, dated March 13, 2026, reports $1.6B in regulatory assets under management, 19 employees, 5 offices, and 1,941 accounts.

Assets Under Management
$1.6B
Employees
19
Offices
5 offices
Total Clients
743

Associated firm names

5 names listed
  • APPLESEED CAPITAL
  • PEKIN SINGER STRAUSS ASSET MANAGEMENT INC.
  • PEKIN SINGER & SHAPIRO ASSET MANAGEMENT INC
  • PEKIN HARDY STRAUSS, INC.

Leadership

3 roles identified
CEOAdam S. Strauss
CEOJoshua D. Strauss
CCOJennifer A. Dunlap

Advisory services offered

3 types reported
Financial Planning Services
Portfolio management for businesses
Portfolio management for individuals and small businesses

Fee models offered

1 types reported
Asset based fees

Offices & Contact

Primary office

CHICAGO, Illinois, United States

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Primary office regionOther reported regions

Shading shows states and countries with reported offices. Cities are listed below; shading does not indicate service coverage.

Illinois

CHICAGOPrimary office

1 office records listed · 5 total offices reported. 4 additional office addresses are undisclosed and are not mapped. Counts can use different reporting dates. SEC filers may list only their largest 25 additional offices.

Contact and digital presence

ADV profile links

Regulatory Assets Under Management Breakdown

Total regulatory assets under management$1.6Bas of March 13, 2026
Discretionary100.0%
$1.6B
100% of total RAUM100.0%
Non-discretionary0.0%
$0
0% of total RAUM0.0%
All regulatory assets under management are discretionary.

Client Coverage Demographics

Top client segmentIndividuals represent 51.1% of total clients.
Top client categories% of clientsClients
1
Individuals
51.1%
380
2
HNWI
46.4%
345
3
Corporations
1.1%
8
4
Pension Plans
0.8%
6
5
Charitable
0.5%
4

Assets under management Growth by Quarter

Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.

Total AUM$1.6B
Total Accounts1,941
10Y AUM Change+$719M (+86.4%)

Private Funds

Private funds reported by Pekin Hardy Strauss, Inc..

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Employee Growth by Quarter

Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.

Total Employees19
Clients per Employee39:1
10Y Employee Change0 (0.0%)

Historical AUM and employee figures reflect available SEC Form ADV filings under this CRD. Filing gaps may reflect registration status changes, dormant periods, state registration periods, firm restructuring, or other reporting changes. Rialytix does not interpolate missing periods.


Ownership

Reported direct and indirect ownership ranges

Each range applies to a separate reported relationship and should not be added together.

Reported ownership ranges

Highlighted bands show the percentage range reported in Form ADV.

0%25%50%75%100%
WILLIAM PEKIN REVOCABLE TRUSTDirect owner · Schedule AInterest in PEKIN HARDY STRAUSS, INC.
25% to < 50%
BRANDON JOHN HARDYDirect owner · Schedule AInterest in PEKIN HARDY STRAUSS, INC.
10% to < 25%
ADAM S. STRAUSS DESCENDANT TRUSTDirect owner · Schedule AInterest in PEKIN HARDY STRAUSS, INC.
10% to < 25%
JOSHUA D. STRAUSS DESCENDANT TRUSTDirect owner · Schedule AInterest in PEKIN HARDY STRAUSS, INC.
10% to < 25%
JOSHUA D. STRAUSS REVOCABLE TRUSTDirect owner · Schedule AInterest in PEKIN HARDY STRAUSS, INC.
10% to < 25%
ADAM S. STRAUSS REVOCABLE TRUSTDirect owner · Schedule AInterest in PEKIN HARDY STRAUSS, INC.
< 5%

Bars represent the reported range at that individual ownership step, not an estimated percentage of the advisory firm. Indirect relationships may refer to intermediate entities rather than directly to Pekin Hardy Strauss, Inc...

Reported ownership and control details

Form ADV · Filing date 2026-03-13 · Schedules A and B

16 entries
#Owner / person & roleInterest in entityReported interestControl personTitle / status acquiredSource
1BRANDON JOHN HARDYSENIOR VICE- PRESIDENTIndividualPEKIN HARDY STRAUSS, INC.10% to less than 25%Code BYesSENIOR VICE- PRESIDENT12/2011Schedule APDF page 24
2WILLIAM PEKIN REVOCABLE TRUSTSHAREHOLDERDomestic entityPEKIN HARDY STRAUSS, INC.25% to less than 50%Code CYesSHAREHOLDER01/1993Schedule APDF page 24
3ADAM S. STRAUSS DESCENDANT TRUSTSHAREHOLDERDomestic entityPEKIN HARDY STRAUSS, INC.10% to less than 25%Code BYesSHAREHOLDER01/2007Schedule APDF page 24
4JOSHUA D. STRAUSS DESCENDANT TRUSTSHAREHOLDERDomestic entityPEKIN HARDY STRAUSS, INC.10% to less than 25%Code BYesSHAREHOLDER01/2007Schedule APDF page 24
5JENNIFER ANN DUNLAPCHIEF COMPLIANCE OFFICERIndividualPEKIN HARDY STRAUSS, INC.Less than 5%Code NAYesCHIEF COMPLIANCE OFFICER01/2019Schedule APDF page 24
6WILLIAM ANDREW PEKINSENIOR VICE PRESIDENTIndividualPEKIN HARDY STRAUSS, INC.Less than 5%Code NAYesSENIOR VICE PRESIDENT01/1993Schedule APDF page 24
7ADAM SAVITZ STRAUSSCO-CHIEF EXECUTIVE OFFICERIndividualPEKIN HARDY STRAUSS, INC.Less than 5%Code NAYesCO-CHIEF EXECUTIVE OFFICER01/2007Schedule APDF page 24
8JOSHUA DANIEL STRAUSSCO-CHIEF EXECUTIVE OFFICERIndividualPEKIN HARDY STRAUSS, INC.Less than 5%Code NAYesCO-CHIEF EXECUTIVE OFFICER01/2007Schedule APDF page 24
9ADAM S. STRAUSS REVOCABLE TRUSTSHAREHOLDERDomestic entityPEKIN HARDY STRAUSS, INC.Less than 5%Code NAYesSHAREHOLDER01/2007Schedule APDF page 24
10JOSHUA D. STRAUSS REVOCABLE TRUSTSHAREHOLDERDomestic entityPEKIN HARDY STRAUSS, INC.10% to less than 25%Code BYesSHAREHOLDER01/2007Schedule APDF page 24
11SAMANTHA BLAIR PEKINCO- TRUSTEEIndividualWILLIAM PEKIN REVOCABLE TRUSTPercentage not specifiedCode FNoCO- TRUSTEE12/2024Schedule BPDF page 25
12JOSHUA DANIEL STRAUSSTRUSTEEIndividualJOSHUA D. STRAUSS REVOCABLE TRUSTPercentage not specifiedCode FYesTRUSTEE01/2007Schedule BPDF page 25
13JOSHUA DANIEL STRAUSSTRUSTEEIndividualJOSHUA D. STRAUSS DESCENDANT TRUSTPercentage not specifiedCode FYesTRUSTEE01/2007Schedule BPDF page 25
14WILLIAM ANDREW PEKINCO- TRUSTEEIndividualWILLIAM PEKIN REVOCABLE TRUSTPercentage not specifiedCode FYesCO- TRUSTEE01/1993Schedule BPDF page 25
15ADAM SAVITZ STRAUSSTRUSTEEIndividualADAM S. STRAUSS REVOCABLE TRUSTPercentage not specifiedCode FYesTRUSTEE01/2007Schedule BPDF page 25
16ADAM SAVITZ STRAUSSTRUSTEEIndividualADAM S. STRAUSS DESCENDANT TRUSTPercentage not specifiedCode FYesTRUSTEE01/2007Schedule BPDF page 25

Less than 5% may include zero. Code F identifies a role without specifying a percentage. Reported interests may overlap and may not include every owner. Total indirect ownership is not calculated.

Compliance & Disclosures

Filing dated 3/13/2026 2:54:05 PM

Responses were selected by the RIA in its filing. Questions are shortened for readability; “you” refers to the reporting firm, and some questions also cover advisory affiliates.

RIA or supervised-person involvementThe RIA reported that none of the events below involve the firm or its supervised persons.RIA responseNo
AFelonies2 No

In the past ten years, have you or any advisory affiliate:

  • A1Been convicted of or pleaded guilty or no contest to a felony?No
  • A2Been charged with a felony?No
BMisdemeanors2 No

In the past ten years, have you or any advisory affiliate:

  • B1Been convicted of or pleaded guilty or no contest to a misdemeanor involving investments, an investment-related business, fraud, false statements or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, or extortion?No
  • B2Been charged with a misdemeanor of the kind listed above?No
CSEC or CFTC actions5 No

Has the SEC or CFTC ever:

  • C1Found you or an advisory affiliate made a false statement or omission?No
  • C2Found you or an advisory affiliate violated SEC or CFTC regulations or statutes?No
  • C3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
  • C4Entered an order against you or an advisory affiliate in connection with investment-related activity?No
  • C5Imposed a civil money penalty on you or an advisory affiliate, or ordered you or an advisory affiliate to cease and desist from any activity?No
DOther regulatory actions5 No

Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority ever:

  • D1Found you or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?No
  • D2Found you or an advisory affiliate violated investment-related regulations or statutes?No
  • D3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
  • D4In the past ten years, entered an order against you or an advisory affiliate in connection with investment-related activity?No
  • D5Denied, suspended, or revoked your or an advisory affiliate’s registration or license, or otherwise prevented association with an investment-related business or restricted activities?No
ESelf-regulatory organization actions4 No

Has a self-regulatory organization or commodities exchange ever:

  • E1Found you or an advisory affiliate made a false statement or omission?No
  • E2Found you or an advisory affiliate violated its rules, other than a violation designated as a minor rule violation under an SEC-approved plan?No
  • E3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
  • E4Disciplined you or an advisory affiliate by expulsion, suspension, barring association with other members, or otherwise restricting activities?No
FProfessional authorizations1 No
  • FHas an authorization to act as an attorney, accountant, or federal contractor granted to you or an advisory affiliate ever been revoked or suspended?No
GPending regulatory proceedings1 No
  • GAre you or any advisory affiliate now the subject of a regulatory proceeding that could result in a “Yes” answer to any part of C, D, or E?No
HCivil judicial actions and proceedings4 No

(1) Court actions

Has a domestic or foreign court:

  • H(1)(a)In the past ten years, enjoined you or an advisory affiliate in connection with investment-related activity?No
  • H(1)(b)Found that you or an advisory affiliate violated investment-related statutes or regulations?No
  • H(1)(c)Dismissed, pursuant to a settlement agreement, an investment-related civil action brought against you or an advisory affiliate by a state or foreign financial regulatory authority?No

(2) Pending civil proceedings

  • H(2)Are you or any advisory affiliate now the subject of a civil proceeding that could result in a “Yes” answer to any part of H(1)?No

* Metrics are based on the latest available data, including Form ADV filings, brochures, and relationship summaries pulled from the SEC IAPD, and may be subject to change. Learn what is included in the Rialytix data. Please refer to the firm's official disclosures for the most accurate information using their CRD number. This is not investment advice.