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CRD 107310
CHICAGO, IL
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| BRANDON JOHN HARDY | n/a | CHICAGO, IL | 25 | 28 | n/a | no |
| WILLIAM ANDREW PEKIN | Chartered Financial Analyst | CHICAGO, IL | 21 | 32 | n/a | no |
| JOSHUA DANIEL STRAUSS | Chartered Financial Analyst | CHICAGO, IL | 19 | 22 | n/a | no |
| ADAM SAVITZ STRAUSS | Chartered Financial Analyst | Wayland, MA | CHICAGO, IL | 19 | 21 | n/a | no |
| MATTHEW RYAN BLUME | n/a | CHICAGO, IL | 13 | 16 | 2 | no |
| SHAUN ALAN ROACH | Chartered Financial Analyst | CHICAGO, IL | 12 | 12 | n/a | no |
| JOSEPH PLEVELICH | Chartered Financial Analyst | Wayne, PA | CHICAGO, IL | 5 | 22 | n/a | no |
| KATHLEEN CRISEL HUDOCK | n/a | CHICAGO, IL | Carmel, IN | 1 | 11 | 3 | no |
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| APPLESEED PIONEER FUND, LP | Hedge Fund | $10.5M | Jul 24, 2020 | 9 | Oct 6, 2016 | dropped | 021-271812 |
| APPLESEED DISCOVERY FUND, LP | Other Private Fund | $350,448 | Jul 24, 2020 | 5 | Feb 12, 2019 | dropped | 021-330034 |
| PEKIN SINGER REAL ESTATE EREF LLC | Real Estate Fund | $1,449 | Mar 26, 2019 | 17 | Mar 30, 2015 | dropped | n/a |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| DUNLAP, JENNIFER, ANN | CHIEF COMPLIANCE OFFICER | Na | yes | 01/2019 | Mar 13, 2026 | Mar 13, 2026 |
| HARDY, BRANDON, JOHN | SENIOR VICE- PRESIDENT | B | yes | 12/2011 | Mar 13, 2026 | Mar 13, 2026 |
| PEKIN, WILLIAM, ANDREW | SENIOR VICE PRESIDENT | Na | yes | 01/1993 | Mar 13, 2026 | Mar 13, 2026 |
| STRAUSS, ADAM, SAVITZ | CO-CHIEF EXECUTIVE OFFICER | Na | yes | 01/2007 | Mar 13, 2026 | Mar 13, 2026 |
| STRAUSS, JOSHUA, DANIEL | CO-CHIEF EXECUTIVE OFFICER | Na | yes | 01/2007 | Mar 13, 2026 | Mar 13, 2026 |
| ADAM S. N. STRAUSS GIFT TRUST | Shareholder | B | yes | 01/2007 | Mar 23, 2016 | Dec 6, 2024 |
| JOSHUA D. STRAUSS GIFT TRUST | Shareholder | B | yes | 01/2007 | Mar 23, 2016 | Dec 6, 2024 |
| SINGER, RICHARD, ALLEN | Trustee | F | yes | 01/1993 | Dec 14, 2011 | Dec 6, 2024 |
| STRAUSS, ADAM, SAVITZ | CO-TRUSTEE | F | yes | 01/2007 | Dec 14, 2011 | Dec 6, 2024 |
| STRAUSS, ADAM, SAVITZ | CO-TRUSTEE | F | yes | 01/2007 | Dec 14, 2011 | Dec 6, 2024 |
| STRAUSS, JOSHUA, DANIEL | CO-TRUSTEE | F | yes | 01/2007 | Dec 14, 2011 | Dec 6, 2024 |
| STRAUSS, JOSHUA, DANIEL | CO-TRUSTEE | F | yes | 01/2007 | Dec 14, 2011 | Dec 6, 2024 |
| WILLIAM A PEKIN TRUST | Shareholder | A | no | 01/1993 | Mar 23, 2016 | Dec 6, 2024 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| n/a | n/a | n/a | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 13, 2026 | $1.6B | $1.6B | 19 | 9 | 4 | n/a | n/a |
| 2024 | Apr 14, 2025 | $1.1B | $1.1B | 17 | 8 | 2 | n/a | n/a |
| 2023 | Mar 28, 2024 | $1.0B | $1.0B | 16 | 8 | 2 | n/a | n/a |
| 2022 | Mar 27, 2023 | $922M | $922M | 16 | 8 | 2 | n/a | n/a |
| 2021 | Mar 29, 2022 | $1000M | $1000M | 15 | 7 | 0 | n/a | n/a |
| 2020 | Feb 26, 2021 | $873M | $873M | 15 | 8 | 0 | n/a | n/a |
| 2019 | Mar 30, 2020 | $916M | $916M | 17 | 8 | 0 | 2 | $10.9M |
| 2018 | Feb 12, 2019 | $842M | $842M | 16 | 9 | 0 | 3 | $10.0M |
| 2017 | Mar 23, 2018 | $904M | $904M | 18 | 9 | 0 | 2 | $7.9M |
| 2016 | Mar 30, 2017 | $833M | $833M | 19 | 10 | n/a | 2 | $968,015 |
| 2015 | Mar 23, 2016 | $810M | $810M | 19 | 9 | n/a | 1 | $5,698 |
| 2014 | Mar 30, 2015 | $962M | $962M | 22 | 12 | n/a | 1 | $5,698 |
| 2013 | Mar 28, 2014 | $1.1B | $1.0B | 20 | 11 | n/a | n/a | n/a |
| 2012 | Mar 28, 2013 | $945M | $892M | 18 | 10 | n/a | n/a | n/a |
| 2011 | Mar 23, 2012 | $837M | $789M | n/a | n/a | n/a | n/a | n/a |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 1 | 1 | 0 | 12.5% | 0 | 0 | 0 | 2 | 1 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $1.6B | $1.1B | 35.6% | $922M | 18.9% | 19 | 17 | 4 | 2 |