0001085146-16-004592.txt : 20161031
0001085146-16-004592.hdr.sgml : 20161031
20161031143116
ACCESSION NUMBER: 0001085146-16-004592
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20160930
FILED AS OF DATE: 20161031
DATE AS OF CHANGE: 20161031
EFFECTIVENESS DATE: 20161031
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: PEKIN SINGER STRAUSS ASSET MANAGEMENT /IL
CENTRAL INDEX KEY: 0001020317
IRS NUMBER: 363667359
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-05740
FILM NUMBER: 161961213
BUSINESS ADDRESS:
STREET 1: 161 NORTH CLARK STREET
STREET 2: SUITE 2200
CITY: CHICAGO
STATE: IL
ZIP: 60601
BUSINESS PHONE: 3125547529
MAIL ADDRESS:
STREET 1: 161 NORTH CLARK STREET
STREET 2: SUITE 2200
CITY: CHICAGO
STATE: IL
ZIP: 60601
FORMER COMPANY:
FORMER CONFORMED NAME: Pekin Singer Strauss Asset Management Inc.
DATE OF NAME CHANGE: 20060117
FORMER COMPANY:
FORMER CONFORMED NAME: PEKIN SINGER & SHAPIRO ASSET MANAGEMENT /IL
DATE OF NAME CHANGE: 19990324
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
false
false
0001020317
XXXXXXXX
09-30-2016
09-30-2016
false
PEKIN SINGER STRAUSS ASSET MANAGEMENT /IL
161 NORTH CLARK STREET
SUITE 2200
CHICAGO
IL
60601
13F HOLDINGS REPORT
028-05740
N
Patrick Herrington
Chief Compliance Officer
312-554-7525
/s/ Patrick Herrington
Chicago
IL
10-28-2016
0
164
585254
INFORMATION TABLE
2
form13fInfoTable.xml
DESCRIPTION FOR INFORMATION TABLE
3M CO
COM
88579Y101
314
1781
SH
SOLE
0
0
1781
ABBOTT LABS
COM
002824100
878
20750
SH
SOLE
0
0
20750
ABBVIE INC
COM
00287Y109
3353
53160
SH
SOLE
0
0
53160
AETNA INC NEW
COM
00817Y108
346
3000
SH
SOLE
0
0
3000
AIR LEASE CORP
CL A
00912X302
10786
377393
SH
SOLE
202116
0
175277
ALLSTATE CORP
COM
020002101
279
4030
SH
SOLE
0
0
4030
ALPHABET INC
CAP STK CL A
02079K305
5320
6616
SH
SOLE
0
0
6616
ALPHABET INC
CAP STK CL C
02079K107
5182
6667
SH
SOLE
0
0
6667
ALTRIA GROUP INC
COM
02209S103
699
11056
SH
SOLE
0
0
11056
AMAZON COM INC
COM
023135106
1453
1735
SH
SOLE
0
0
1735
AMERICAN CAPITAL AGENCY CORP
COM
02503X105
370
18930
SH
SOLE
0
0
18930
AMERICAN ELEC PWR INC
COM
025537101
638
9938
SH
SOLE
0
0
9938
AMERICAN EXPRESS CO
COM
025816109
3764
58780
SH
SOLE
0
0
58780
ANNALY CAP MGMT INC
COM
035710409
3928
374061
SH
SOLE
0
0
374061
AON PLC
SHS CL A
G0408V102
4755
42272
SH
SOLE
0
0
42272
APPLE INC
COM
037833100
3771
33361
SH
SOLE
0
0
33361
ARES CAP CORP
COM
04010L103
469
30250
SH
SOLE
0
0
30250
AT&T INC
COM
00206R102
3300
81263
SH
SOLE
0
0
81263
AUTOMATIC DATA PROCESSING IN
COM
053015103
291
3300
SH
SOLE
0
0
3300
BANK AMER CORP
COM
060505104
362
23140
SH
SOLE
0
0
23140
BANK MONTREAL QUE
COM
063671101
225
3433
SH
SOLE
0
0
3433
BANK NEW YORK MELLON CORP
COM
064058100
3561
89287
SH
SOLE
0
0
89287
BAXTER INTL INC
COM
071813109
329
6913
SH
SOLE
0
0
6913
BECTON DICKINSON & CO
COM
075887109
364
2024
SH
SOLE
0
0
2024
BERKSHIRE HATHAWAY INC DEL
CL A
084670108
216
1
SH
SOLE
0
0
1
BERKSHIRE HATHAWAY INC DEL
CL B NEW
084670702
7159
49553
SH
SOLE
0
0
49553
BIOGEN INC
COM
09062X103
299
956
SH
SOLE
0
0
956
BLACKSTONE GROUP L P
COM UNIT LTD
09253U108
639
25038
SH
SOLE
0
0
25038
BLACKSTONE MTG TR INC
COM CL A
09257W100
1680
57052
SH
SOLE
0
0
57052
BOEING CO
COM
097023105
376
2857
SH
SOLE
0
0
2857
BP PLC
SPONSORED ADR
055622104
6153
175009
SH
SOLE
0
0
175009
BRISTOL MYERS SQUIBB CO
COM
110122108
1840
34131
SH
SOLE
0
0
34131
CANADIAN NATL RY CO
COM
136375102
3468
53024
SH
SOLE
0
0
53024
CAPSTEAD MTG CORP
COM NO PAR
14067E506
389
41260
SH
SOLE
0
0
41260
CATERPILLAR INC DEL
COM
149123101
383
4312
SH
SOLE
0
0
4312
CBOE HLDGS INC
COM
12503M108
345
5314
SH
SOLE
0
0
5314
CENTRAL FD CDA LTD
CL A
153501101
8187
590659
SH
SOLE
0
0
590659
CHEVRON CORP NEW
COM
166764100
1810
17587
SH
SOLE
0
0
17587
CHINA MOBILE LIMITED
SPONSORED ADR
16941M109
9042
146977
SH
SOLE
64120
0
82857
CHUBB LIMITED
COM
H1467J104
917
7300
SH
SOLE
0
0
7300
CISCO SYS INC
COM
17275R102
204
6438
SH
SOLE
0
0
6438
CITIGROUP INC
COM NEW
172967424
749
15859
SH
SOLE
0
0
15859
CME GROUP INC
COM
12572Q105
1450
13875
SH
SOLE
0
0
13875
COACH INC
COM
189754104
230
6300
SH
SOLE
0
0
6300
COCA COLA CO
COM
191216100
379
8950
SH
SOLE
0
0
8950
COHEN & STEERS INFRASTRUCTUR
COM
19248A109
278
12900
SH
SOLE
0
0
12900
COMCAST CORP NEW
CL A
20030N101
334
5037
SH
SOLE
0
0
5037
CONOCOPHILLIPS
COM
20825C104
603
13866
SH
SOLE
0
0
13866
CSX CORP
COM
126408103
624
20447
SH
SOLE
0
0
20447
CVR PARTNERS LP
COM
126633106
1310
247208
SH
SOLE
0
0
247208
CVS HEALTH CORP
COM
126650100
359
4038
SH
SOLE
0
0
4038
CYTRX CORP
COM PAR
232828509
9
16105
SH
SOLE
0
0
16105
DANAHER CORP DEL
COM
235851102
433
5520
SH
SOLE
0
0
5520
DIAGEO P L C
SPON ADR NEW
25243Q205
629
5419
SH
SOLE
0
0
5419
DISNEY WALT CO
COM DISNEY
254687106
1507
16230
SH
SOLE
0
0
16230
DOMINION RES INC VA NEW
COM
25746U109
301
4054
SH
SOLE
0
0
4054
DOW CHEM CO
COM
260543103
756
14582
SH
SOLE
0
0
14582
DSW INC
CL A
23334L102
10381
506862
SH
SOLE
226939
0
279923
EATON CORP PLC
SHS
G29183103
1668
25387
SH
SOLE
0
0
25387
EMERSON ELEC CO
COM
291011104
1359
24923
SH
SOLE
0
0
24923
ENTERPRISE PRODS PARTNERS L
COM
293792107
327
11830
SH
SOLE
0
0
11830
EQUITY COMWLTH
COM SH BEN INT
294628102
13274
439231
SH
SOLE
153099
0
286132
ETFS GOLD TR
SHS
26922Y105
707
5517
SH
SOLE
0
0
5517
EXELON CORP
COM
30161N101
11264
338346
SH
SOLE
0
0
338346
EXPRESS SCRIPTS HLDG CO
COM
30219G108
1355
19211
SH
SOLE
0
0
19211
EXXON MOBIL CORP
COM
30231G102
8013
91810
SH
SOLE
0
0
91810
FACEBOOK INC
CL A
30303M102
502
3916
SH
SOLE
0
0
3916
FEDEX CORP
COM
31428X106
361
2067
SH
SOLE
0
0
2067
FREEPORT-MCMORAN INC
CL B
35671D857
196
18050
SH
SOLE
0
0
18050
GABELLI EQUITY TR INC
COM
362397101
130
22980
SH
SOLE
0
0
22980
GENERAL ELECTRIC CO
COM
369604103
4624
156104
SH
SOLE
0
0
156104
GENERAL MTRS CO
COM
37045V100
1951
61418
SH
SOLE
0
0
61418
GILEAD SCIENCES INC
COM
375558103
915
11569
SH
SOLE
0
0
11569
GLAXOSMITHKLINE PLC
SPONSORED ADR
37733W105
237
5496
SH
SOLE
0
0
5496
GOLUB CAP BDC INC
COM
38173M102
383
20635
SH
SOLE
0
0
20635
GOVERNMENT PPTYS INCOME TR
COM SHS BEN INT
38376A103
257
11375
SH
SOLE
0
0
11375
HALLIBURTON CO
COM
406216101
219
4875
SH
SOLE
0
0
4875
HELMERICH & PAYNE INC
COM
423452101
1753
26050
SH
SOLE
0
0
26050
HERBALIFE LTD
COM USD SHS
G4412G101
17182
277181
SH
SOLE
198600
0
78581
HOME DEPOT INC
COM
437076102
420
3266
SH
SOLE
0
0
3266
HOUSTON WIRE & CABLE CO
COM
44244K109
62
10000
SH
SOLE
0
0
10000
INTERNATIONAL BUSINESS MACHS
COM
459200101
1614
10160
SH
SOLE
0
0
10160
ISHARES GOLD TRUST
ISHARES
464285105
332
26150
SH
SOLE
0
0
26150
ISHARES TR
1-3 YR CR BD ETF
464288646
1252
11840
SH
SOLE
0
0
11840
ISHARES TR
CORE S&P500 ETF
464287200
1009
4638
SH
SOLE
0
0
4638
ISHARES TR
CORE US AGGBD ET
464287226
4233
37649
SH
SOLE
0
0
37649
ISHARES TR
TIPS BD ETF
464287176
1083
9298
SH
SOLE
0
0
9298
ISHARES TR
U.S. PFD STK ETF
464288687
4174
105670
SH
SOLE
0
0
105670
JOHNSON & JOHNSON
COM
478160104
5345
45248
SH
SOLE
0
0
45248
JOINT CORP
COM
47973J102
88
37037
SH
SOLE
30000
0
7037
JONES LANG LASALLE INC
COM
48020Q107
14650
128743
SH
SOLE
48165
0
80578
JPMORGAN CHASE & CO
COM
46625H100
1793
26921
SH
SOLE
0
0
26921
KERYX BIOPHARMACEUTICALS INC
COM
492515101
159
30000
SH
SOLE
0
0
30000
LOCKHEED MARTIN CORP
COM
539830109
244
1016
SH
SOLE
0
0
1016
MACQUARIE INFRASTRUCTURE COR
COM
55608B105
250
3000
SH
SOLE
0
0
3000
MANULIFE FINL CORP
COM
56501R106
220
15616
SH
SOLE
0
0
15616
MCDERMOTT INTL INC
COM
580037109
1116
222700
SH
SOLE
0
0
222700
MCDONALDS CORP
COM
580135101
750
6505
SH
SOLE
0
0
6505
MEDTRONIC PLC
SHS
G5960L103
309
3577
SH
SOLE
0
0
3577
MERCK & CO INC
COM
58933Y105
4523
72468
SH
SOLE
0
0
72468
METLIFE INC
COM
59156R108
676
15211
SH
SOLE
0
0
15211
MFA FINL INC
COM
55272X102
255
34150
SH
SOLE
0
0
34150
MICROSOFT CORP
COM
594918104
2280
39587
SH
SOLE
0
0
39587
MONMOUTH REAL ESTATE INVT CO
CL A
609720107
208
14555
SH
SOLE
0
0
14555
MORNINGSTAR INC
COM
617700109
280
3534
SH
SOLE
0
0
3534
MOSAIC CO NEW
COM
61945C103
11909
486863
SH
SOLE
238378
0
248485
NABORS INDUSTRIES LTD
SHS
G6359F103
439
36110
SH
SOLE
0
0
36110
NEWMONT MINING CORP
COM
651639106
261
6655
SH
SOLE
0
0
6655
NEXTERA ENERGY INC
COM
65339F101
419
3425
SH
SOLE
0
0
3425
NIKE INC
CL B
654106103
311
5915
SH
SOLE
0
0
5915
NOVARTIS A G
SPONSORED ADR
66987V109
11183
141635
SH
SOLE
36750
0
104885
NUVEEN DIVERSIFIED DIV INCM
COM
6706EP105
133
11350
SH
SOLE
0
0
11350
NXP SEMICONDUCTORS N V
COM
N6596X109
204
2000
SH
SOLE
0
0
2000
OAKTREE CAP GROUP LLC
UNIT CL A
674001201
15146
357223
SH
SOLE
193756
0
163467
OCCIDENTAL PETE CORP DEL
COM
674599105
236
3237
SH
SOLE
0
0
3237
ORACLE CORP
COM
68389X105
1171
29802
SH
SOLE
0
0
29802
PEPSICO INC
COM
713448108
4467
41068
SH
SOLE
0
0
41068
PFIZER INC
COM
717081103
2824
83378
SH
SOLE
0
0
83378
PHILIP MORRIS INTL INC
COM
718172109
1006
10350
SH
SOLE
0
0
10350
POTASH CORP SASK INC
COM
73755L107
202
12385
SH
SOLE
0
0
12385
PRIVATEBANCORP INC
COM
742962103
276
6000
SH
SOLE
0
0
6000
PROCTER AND GAMBLE CO
COM
742718109
1042
11609
SH
SOLE
0
0
11609
PROGRESSIVE CORP OHIO
COM
743315103
299
9500
SH
SOLE
0
0
9500
RENTECH INC
COM NEW
760112201
1446
495226
SH
SOLE
483736
0
11490
RITE AID CORP
COM
767754104
81
10500
SH
SOLE
0
0
10500
ROYAL DUTCH SHELL PLC
SPONS ADR A
780259206
711
14196
SH
SOLE
0
0
14196
SCANSOURCE INC
COM
806037107
4358
119406
SH
SOLE
69550
0
49856
SCHLUMBERGER LTD
COM
806857108
1309
16651
SH
SOLE
0
0
16651
SK TELECOM LTD
SPONSORED ADR
78440P108
18018
797279
SH
SOLE
346729
0
450550
SOLAR CAP LTD
COM
83413U100
1372
66855
SH
SOLE
0
0
66855
SPDR GOLD TRUST
GOLD SHS
78463V107
1893
15063
SH
SOLE
0
0
15063
SPDR S&P 500 ETF TR
TR UNIT
78462F103
119073
550500
SH
Put
SOLE
550000
0
500
SPDR S&P 500 ETF TR
TR UNIT
78462F103
469
2168
SH
SOLE
0
0
2168
SPROTT PHYSICAL GOLD TRUST
UNIT
85207H104
53586
4893686
SH
SOLE
2593032
0
2300654
SPROTT PHYSICAL SILVER TR
TR UNIT
85207K107
170
23050
SH
SOLE
0
0
23050
STARBUCKS CORP
COM
855244109
797
14715
SH
SOLE
0
0
14715
SUNCOR ENERGY INC NEW
COM
867224107
6762
243411
SH
SOLE
0
0
243411
SUNWORKS INC
COM
86803X105
138
53720
SH
SOLE
0
0
53720
SUPERVALU INC
COM
868536103
83
16626
SH
SOLE
0
0
16626
SYNTEL INC
COM
87162H103
9539
227616
SH
SOLE
101655
0
125961
TEMPLETON GLOBAL INCOME FD
COM
880198106
4042
647700
SH
SOLE
0
0
647700
TEVA PHARMACEUTICAL INDS LTD
ADR
881624209
411
8925
SH
SOLE
0
0
8925
TITAN INTL INC ILL
COM
88830M102
9150
904163
SH
SOLE
375550
0
528613
TRANSOCEAN LTD
REG SHS
H8817H100
117
10943
SH
SOLE
0
0
10943
UNION PAC CORP
COM
907818108
1114
11427
SH
SOLE
0
0
11427
UNITED NAT FOODS INC
COM
911163103
19750
493258
SH
SOLE
267160
0
226098
UNITED TECHNOLOGIES CORP
COM
913017109
463
4556
SH
SOLE
0
0
4556
US BANCORP DEL
COM NEW
902973304
2243
52305
SH
SOLE
0
0
52305
VANECK VECTORS ETF TR
GOLD MINERS ETF
92189F106
1313
49694
SH
SOLE
0
0
49694
VANGUARD INDEX FDS
REIT ETF
922908553
1266
14595
SH
SOLE
0
0
14595
VANGUARD INDEX FDS
TOTAL STK MKT
922908769
1965
17652
SH
SOLE
0
0
17652
VANGUARD INTL EQUITY INDEX F
FTSE EMR MKT ETF
922042858
1276
33915
SH
SOLE
0
0
33915
VANGUARD SCOTTSDALE FDS
INT-TERM CORP
92206C870
1762
19665
SH
SOLE
0
0
19665
VANGUARD SCOTTSDALE FDS
SHRT TRM CORP BD
92206C409
3078
38215
SH
SOLE
0
0
38215
VANGUARD TAX MANAGED INTL FD
FTSE DEV MKT ETF
921943858
1451
38790
SH
SOLE
0
0
38790
VERIZON COMMUNICATIONS INC
COM
92343V104
17676
340063
SH
SOLE
105065
0
234998
VODAFONE GROUP PLC NEW
SPNSR ADR
92857W308
233
7980
SH
SOLE
0
0
7980
WALGREENS BOOTS ALLIANCE INC
COM
931427108
1498
18583
SH
SOLE
0
0
18583
WAL-MART STORES INC
COM
931142103
2600
36045
SH
SOLE
0
0
36045
WELLS FARGO & CO NEW
COM
949746101
300
6765
SH
SOLE
0
0
6765
WESTERN ASSET HIGH INCM FD I
COM
95766J102
115
16000
SH
SOLE
0
0
16000
WEYERHAEUSER CO
COM
962166104
1141
35730
SH
SOLE
0
0
35730
WILLIS TOWERS WATSON PUB LTD
SHS
G96629103
7194
54184
SH
SOLE
7172
0
47012
ZEBRA TECHNOLOGIES CORP
CL A
989207105
1585
22775
SH
SOLE
0
0
22775