Pekin Hardy Strauss, Inc.
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client AUMClient assets under management
$1,485,880,201
Clients
725
Advisors
8
across 4 offices
About
Pekin Hardy Strauss, Inc. provides investment management, financial planning, retirement plan services (including ERISA 3(21) and 3(38) arrangements), and model strategies to individuals (including high net worth clients), pension and retirement plans, registered investment companies, charitable organizations and corporations. The firm manages separately managed accounts and model portfolios and also offers investment management services to plan participants with self-directed brokerage accounts.
The firm’s investment process is grounded in fundamental analysis, asset allocation, and consideration of material non-financial factors such as ESG criteria, with portfolio managers tailoring allocations to clients’ objectives, risk tolerances and liquidity needs and rebalancing as market conditions change. Pekin Hardy uses a range of instruments and strategies—including mutual funds and ETFs, options and futures, short positions and margin—to pursue long- and short-term opportunities and to manage income and risk.
Distinctive features in the brochure include Pekin Hardy’s role with registered investment companies (it operated the Appleseed Fund, which was liquidated on January 27, 2026) and its use of pooled investment vehicles and derivatives in separately managed accounts. The firm discloses the intentional use of borrowing, short selling and options/futures in client accounts and maintains formal valuation and trading procedures for less liquid and private investments, practices that are less common among similarly sized team advisory firms.
Client services
Expertise
Fee options
0.50% to 1.25% annually (standard range, negotiable per client)
Account minimum: $250,000 Fee-only: Investment management fees charged as a percentage of assets under management, generally 0.50% to 1.25% annually, negotiable; Financial planning generally included at no additional cost but may be charged separately based on complexity.
Main office
See office227 West Monroe Street, Suite 3625
Chicago IL 60606
Advisors at this office
5
Offices (4)
Most active in
Arizona · California · Colorado · Connecticut · Delaware · Florida · Georgia · Illinois · Indiana · Louisiana · Maryland · Massachusetts · Michigan · Minnesota · New Hampshire · New Jersey · New Mexico · New York · North Carolina · Ohio · Pennsylvania · Texas · Virginia · Washington · Wisconsin
Also doing business as
Appleseed Capital · Appleseed Pioneer Gp, LLC · Pekin Hardy Strauss, Inc. · Pekin Singer & Shapiro Asset Management Inc · Pekin Singer Strauss Asset Management Inc.
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Quick links
Advisors at this firm
Joseph P
CFA®
Wayne, PA
Pekin Hardy Strauss, Inc.
Joseph Plevelich is a CFA® charterholder at Pekin Hardy Strauss, Inc. with six years of industry experience. He has worked at Pekin Hardy Strauss since 2021 and concurrently at Boenning & Scattergood, Inc. since 2020, following sixteen years at Schneider Capital Management. Pekin Hardy Strauss, Inc. provides investment management, financial planning, and retirement plan services to individuals, pension and retirement plans, registered investment companies, charitable organizations, and corporations. The firm’s investment process emphasizes fundamental analysis, asset allocation, and ESG factors, employing a variety of instruments and strategies—including derivatives and pooled vehicles—to tailor portfolios to clients’ objectives and manage risk.
William P
CFA®, Series 63
Chicago, IL
Pekin Hardy Strauss, Inc.
William Pekin is a CFA® charterholder with 30 years of industry experience. He has been with Pekin Singer Strauss Asset Management since 2001. Pekin Hardy Strauss, Inc. is a team-based firm that provides investment management, financial planning, and retirement plan services to individuals, pension plans, registered investment companies, charitable organizations, and corporations. The firm’s investment approach integrates fundamental analysis, asset allocation, and ESG factors, employing a variety of strategies including derivatives and short selling to tailor portfolios to clients’ objectives and risk tolerances.
Brandon H
Series 63, Series 65
Chicago, IL
Pekin Hardy Strauss, Inc.
Brandon Hardy is a financial advisor at Pekin Hardy Strauss, Inc. in Chicago, IL, with 24 years of industry experience. He has been with Pekin Singer Strauss Asset Management since 1997. Hardy holds the Series 63 and Series 65 designations. Pekin Hardy Strauss, Inc. provides investment management, financial planning, and retirement plan services to individuals, pension and retirement plans, registered investment companies, charitable organizations, and corporations. The firm employs a fundamental analysis and asset allocation approach that incorporates ESG factors and utilizes a variety of instruments, including derivatives, to manage income and risk.
Matthew B
Series 66
Chicago, IL
Pekin Hardy Strauss, Inc.
Matthew Blume is a financial advisor at Pekin Hardy Strauss, Inc. with 16 years of industry experience. He has been with Pekin Singer Strauss Asset Management Inc. since 2012. He holds a Series 66 designation. Pekin Hardy Strauss, Inc. provides investment management, financial planning, and retirement plan services to individuals, pension and retirement plans, registered investment companies, charitable organizations, and corporations. The firm employs a fundamental analysis and asset allocation approach that incorporates ESG criteria and uses a variety of instruments including mutual funds, ETFs, options, and futures to tailor portfolios to clients’ objectives and risk tolerances.
Adam S
CFA®, Series 63
Wayland, MA
Pekin Hardy Strauss, Inc.
Adam Strauss is a CFA® charterholder with 19 years of experience in the financial industry. He is currently with Pekin Hardy Strauss, Inc., where he has worked since 2004. Strauss serves as president of the board of directors for Frontier Natural Brands, Inc., a role he has held since 1996. Pekin Hardy Strauss, Inc. provides investment management, financial planning, and retirement plan services to individuals, pension plans, registered investment companies, charitable organizations, and corporations. The firm employs a fundamental analysis approach combined with asset allocation and consideration of ESG factors, using a variety of instruments and strategies to tailor portfolios according to client objectives and risk tolerances.
Shaun R
CFA®
Chicago, IL
Pekin Hardy Strauss, Inc.
Shaun Roach is a CFA® charterholder with 11 years of industry experience. He has worked at Pekin Singer Strauss Asset Management Inc. since 2014. Roach is based in Chicago, IL, and is part of a team of nine advisors at Pekin Hardy Strauss, Inc. Pekin Hardy Strauss, Inc. provides investment management, financial planning, and retirement plan services to individuals, pension plans, registered investment companies, charitable organizations, and corporations. The firm’s investment process incorporates fundamental analysis, asset allocation, and ESG factors, using a range of instruments and strategies tailored to clients’ objectives and risk tolerances.
Kathleen H
Series 65, Series 66
Carmel, IN
Pekin Hardy Strauss, Inc.
Kathleen Hudock is a financial advisor at Pekin Hardy Strauss, Inc. with nine years of industry experience. She holds Series 65 and Series 66 credentials. Her prior work includes roles at TD Ameritrade and Woodforest National Bank. Pekin Hardy Strauss, Inc. provides investment management, financial planning, and retirement plan services to individuals, pension and retirement plans, charitable organizations, and corporations. The firm employs a fundamental analysis-based investment approach incorporating ESG factors, utilizing a range of instruments and strategies to tailor portfolios according to clients’ objectives and risk tolerances.
Joshua S
CFA®, Series 63
Chicago, IL
Pekin Hardy Strauss, Inc.
Joshua Strauss is a CFA® charterholder with 21 years of industry experience. He is affiliated with Pekin Hardy Strauss, Inc., a team-based firm located in Chicago, IL. Strauss has worked at Sf Investments, Inc. and Pekin Singer Strauss Asset Management, Inc. since 2004. Pekin Hardy Strauss, Inc. provides investment management, financial planning, and retirement plan services to individuals, pension and retirement plans, registered investment companies, charitable organizations, and corporations. The firm employs fundamental analysis and asset allocation, incorporating ESG factors, and utilizes a variety of instruments and strategies including derivatives to tailor portfolios to clients’ objectives and risk profiles.
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