DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
P•••• H•••• S••••••• I•••
Latest filing Mar 13, 2026
First filing on the tape Dec 14, 2011 · 46 filings
SEC status approved since Dec 29, 1989
RAUM
$1.6B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$1.5B individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$194M
derived; firm RAUM over IAPD count
Employees
19
9 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
46 filings and snapshots on the tape
RAUM$1.6B as of Mar 13, 2026
Mar 23, 2012$837M then
HNW client RAUM$1.3B as of Mar 13, 2026
Mar 23, 2018$565M then
State-registered IARs (5.B.3)9 as of Mar 13, 2026
Mar 28, 201310 then
Employees (5.A)19 as of Mar 13, 2026
Mar 28, 201318 then
Private funds2 as of Mar 30, 2020
Mar 30, 20151 then
RAUM +36% over the last fiscal year+19% a year over threeIARs 8 to 9offices 2 to 4
Practice profile
derived from the filing of Mar 13, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $194MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 91derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.9MderivedHNW RAUM over HNW clients
- Average account
- $799,452derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.4derivedItem 5.A over advisors
- Advisors per office
- 1.6derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +36%derivedbetween the last two annual amendments
- Advisor growth, one year
- +13%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.7%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $526M, 251 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.3B86%
- Individuals$153M9.8%
- Corporations and businesses$30.4M2.0%
- Pension and profit-sharing plans$19.5M1.3%
- Charitable organizations$16.0M1.0%
- Individual clients
- 380reported
- HNW clients
- 345reported
- Pension plan clients
- 6reported
- Charitable clients
- 4reported
- Accounts
- 1,941reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $526M for 251 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••••• J••• H•••• | Chicago, Il | Apr 26, 2001 | 28 y | 0 |
| W•••••• A••••• P••••Chartered Financial Analyst | Chicago, Il | Oct 19, 2004 | 32 y | 0 |
| A••• S••••• S••••••Chartered Financial Analyst | Wayland, Ma | Nov 27, 2006 | 21 y | 0 |
| J••••• D••••• S••••••Chartered Financial Analyst | Chicago, Il | Nov 27, 2006 | 22 y | 0 |
| M•••••• R••• B•••• | Chicago, Il | Sep 26, 2012 | 16 y | 2 |
| S•••• A••• R••••Chartered Financial Analyst | Chicago, Il | Jun 13, 2014 | 12 y | 0 |
| J••••• P••••••••Chartered Financial Analyst | Wayne, Pa | May 14, 2021 | 22 y | 0 |
| K••••••• C••••• H••••• | Chicago, Il | Jul 17, 2025 | 11 y | 3 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 13% of current headcount1 left over 36 months
Left, latest
- B•••••• J••••• W••••••••• to M••••• G••••• A••••••• I•••Jun 17, 2026 · RIA to RIA
- R••••• K• C••• to L••••••• F•••••••• I•••Sep 1, 2015 · Other
Joined, latest
- B•••••• J••••• W••••••••• from B••••••• J•••• L••Mar 10, 2026 · RIA to RIA
- K••••••• C••••• H••••• from C••••• I••••••••• A••••••• L••Jul 17, 2025 · Affiliated broker-dealer or bank to independent RIA
- M•••••• R••• B•••• from C••••••••• F•••••••• N••••••Sep 26, 2012 · Other
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A•••••••• P•••••• F•••• L•no longer reported | Hedge Fund | $10.5M | 9 | Oct 6, 2016 |
| A•••••••• D•••••••• F•••• L•no longer reported | Other Private Fund | $350,448 | 5 | Feb 12, 2019 |
| P•••• S••••• R••• E••••• E••• L••no longer reported | Real Estate Fund | $1,449 | 17 | Mar 30, 2015 |
Owners and control persons
Schedule A and B, latest filing
- D•••••• J•••••••• A•• · Chief Compliance Officercontrolsince 01/2019 · owns less than 5%
- H••••• B••••••• J••• · Senior Vice- Presidentcontrolsince 12/2011 · owns 10% to 25%
- P••••• W••••••• A••••• · Senior Vice Presidentcontrolsince 01/1993 · owns less than 5%
- S••••••• A•••• S••••• · Co-Chief Executive Officercontrolsince 01/2007 · owns less than 5%
- S••••••• J•••••• D••••• · Co-Chief Executive Officercontrolsince 01/2007 · owns less than 5%
- S•••••• R••••••• A•••• · Trusteecontrolsince 01/1993 · owns F of W•••••• A• P•••• T••••
- S••••••• A•••• S••••• · Co-Trusteecontrolsince 01/2007 · owns F of J••••• D• S•••••• G••• T••••
- S••••••• A•••• S••••• · Co-Trusteecontrolsince 01/2007 · owns F of A••• S• N• S•••••• G••• T••••
- S••••••• J•••••• D••••• · Co-Trusteecontrolsince 01/2007 · owns F of J••••• D• S•••••• G••• T••••
- S••••••• J•••••• D••••• · Co-Trusteecontrolsince 01/2007 · owns F of A••• S• N• S•••••• G••• T••••
Entity owners
- A••• S• N• S•••••• G••• T•••• · Shareholderdirect · owns 10% to 25%
- J••••• D• S•••••• G••• T•••• · Shareholderdirect · owns 10% to 25%
- W•••••• A• P•••• T•••• · Shareholderdirect · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Chicago, Il · principal | 8 | 0 | 0 | ||
| Spokane, Wa | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- control person c•••gedChange between filings · filing Mar 13, 2026S•••••• R••••••• A•••• (TRUSTEE) left Schedule A between the filings of 2019-02-01 and 2026-03-13peers: independent wealth managers, $1B to $5B (1,362)
- compensation c•••gedChange between filings · filing Mar 13, 2026hourly charges (Item 5.E.2): yes on the filing of 2025-08-22, no on the filing of 2026-03-13peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 1,821 to 1,941Aug 22, 2025 to Mar 13, 2026
- Advisory employees · 8 to 9Aug 22, 2025 to Mar 13, 2026
- Advisory activities · 4 to 3Aug 22, 2025 to Mar 13, 2026
- Corporate clients · 9 to 8Aug 22, 2025 to Mar 13, 2026
- HNW clients · 325 to 345Aug 22, 2025 to Mar 13, 2026
- Individual clients · 374 to 380Aug 22, 2025 to Mar 13, 2026
- Assets in custody · $357M to $526MAug 22, 2025 to Mar 13, 2026
- Employees · 18 to 19Aug 22, 2025 to Mar 13, 2026
- State-registered IARs · 8 to 9Aug 22, 2025 to Mar 13, 2026
- Other offices · 2 to 4Aug 22, 2025 to Mar 13, 2026
- Discretionary RAUM · $1.1B to $1.6BAug 22, 2025 to Mar 13, 2026
- HNW RAUM · $926M to $1.3BAug 22, 2025 to Mar 13, 2026
- Individual RAUM · $114M to $153MAug 22, 2025 to Mar 13, 2026
- Pension RAUM · $13.9M to $19.5MAug 22, 2025 to Mar 13, 2026
- RAUM · $1.1B to $1.6BAug 22, 2025 to Mar 13, 2026
- Employees · 17 to 18Apr 14, 2025 to Aug 22, 2025
- Accounts · 1,773 to 1,821Dec 6, 2024 to Apr 14, 2025
- Corporate clients · 11 to 9Dec 6, 2024 to Apr 14, 2025
- HNW clients · 296 to 325Dec 6, 2024 to Apr 14, 2025
- Individual clients · 391 to 374Dec 6, 2024 to Apr 14, 2025
- Assets in custody · $314M to $357MDec 6, 2024 to Apr 14, 2025
- Employees · 16 to 17Dec 6, 2024 to Apr 14, 2025
- Financial planning clients · 101-250 to 101-250Dec 6, 2024 to Apr 14, 2025
- Discretionary RAUM · $1.0B to $1.1BDec 6, 2024 to Apr 14, 2025
- HNW RAUM · $797M to $926MDec 6, 2024 to Apr 14, 2025
- Individual RAUM · $126M to $114MDec 6, 2024 to Apr 14, 2025
- Pension RAUM · $12.3M to $13.9MDec 6, 2024 to Apr 14, 2025
- RAUM · $1.0B to $1.1BDec 6, 2024 to Apr 14, 2025
- Accounts · 1,753 to 1,773Mar 27, 2023 to Mar 28, 2024
- Charity clients · 3 to 4Mar 27, 2023 to Mar 28, 2024
- Corporate clients · 10 to 11Mar 27, 2023 to Mar 28, 2024
- HNW clients · 293 to 296Mar 27, 2023 to Mar 28, 2024
- Individual clients · 409 to 391Mar 27, 2023 to Mar 28, 2024
- Assets in custody · $280M to $314MMar 27, 2023 to Mar 28, 2024
- Discretionary RAUM · $922M to $1.0BMar 27, 2023 to Mar 28, 2024
- HNW RAUM · $697M to $797MMar 27, 2023 to Mar 28, 2024
- Individual RAUM · $118M to $126MMar 27, 2023 to Mar 28, 2024
- Pension RAUM · $5.2M to $12.3MMar 27, 2023 to Mar 28, 2024
- RAUM · $922M to $1.0BMar 27, 2023 to Mar 28, 2024
- Accounts · 1,671 to 1,753Mar 29, 2022 to Mar 27, 2023
Signals
3 dated events
- B•••••• J••••• W••••••••• left P•••• H•••• S••••••• I••• for M••••• G••••• A••••••• I••• (registered 2026-07-21)Jun 17, 2026 · advisor firm c•••ge · fact
- P•••• H•••• S••••••• I••• reported RAUM $1.6B, up 36% from $1.1B (2025-08-22 to 2026-03-13)Mar 13, 2026 · ria raum c•••ge · derived
- Ann Jennifer Dunlap (Chief Compliance Officer) appeared on Schedule A of P•••• H•••• S••••••• I•••Feb 1, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- P•••• H•••• S••••••• I••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Business email
- contact@pekinhardy.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 312-554-7502reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 312-554-7525reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/pekin-hardy-strauss-wealth-managementreportedpublic record, Form ADV, Sep 18, 2026
- Website
- pekinhardy.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 312-554-7525reportedpublic record, Form ADV, Mar 13, 2026
- Contact form
- pekinhardy.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- pekinhardy.com/our-teamreportedpublished by the firm, firm site, Sep 15, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $194Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
P•••• H•••• S••••••• I••• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
Checking your plan…