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Investment Adviser Firm Summary

PEKIN SINGER STRAUSS ASSET MANAGEMENT INC. (CRD# 107310 / SEC# 801-35684)
Alternate Names: APPLESEED CAPITAL , APPLESEED PIONEER GP, LLC , PEKIN SINGER & SHAPIRO ASSET MANAGEMENT INC , PEKIN SINGER STRAUSS ASSET MANAGEMENT INC.

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 12/29/1989

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Arizona 05/16/2006
California 05/19/2005
Colorado 03/23/2018
Connecticut 05/16/2006
Delaware 03/23/2018
Florida 03/20/2002
Georgia 11/26/2008
Illinois 03/27/1990
Indiana 09/27/2012
Louisiana 03/23/2012
Maryland 12/03/2015
Massachusetts 05/16/2006
Michigan 11/26/2008
Minnesota 03/23/2018
Nebraska 03/23/2012
New Hampshire 01/31/2017
New Jersey 05/31/2005
New York 05/19/2005
North Carolina 05/16/2006
Ohio 01/20/2010
Pennsylvania 03/28/2013
Texas 03/23/2012
Vermont 03/23/2016
Virginia 12/03/2015
Washington 03/23/2018
Wisconsin 12/13/2002

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser