Chief Compliance Officer

0001085146-19-000516.txt : 20190212 0001085146-19-000516.hdr.sgml : 20190212 20190211202646 ACCESSION NUMBER: 0001085146-19-000516 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20181231 FILED AS OF DATE: 20190212 DATE AS OF CHANGE: 20190211 EFFECTIVENESS DATE: 20190212 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: 19587295 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 12-31-2018 12-31-2018 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 02-11-2019 0 180 544249 INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE 3M CO COM 88579Y101 297 1557 SH SOLE 0 0 1557 ABBOTT LABS COM 002824100 1356 18754 SH SOLE 0 0 18754 ABBVIE INC COM 00287Y109 3296 35748 SH SOLE 0 0 35748 ABERDEEN STD GOLD ETF TR PHYSCL SWISS GLD 00326A104 1006 8132 SH SOLE 0 0 8132 AERCAP HOLDINGS NV SHS N00985106 246 6215 SH SOLE 0 0 6215 AGNICO EAGLE MINES LTD COM 008474108 265 6550 SH SOLE 0 0 6550 AIR LEASE CORP CL A 00912X302 9178 303800 SH SOLE 119225 0 184575 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 841 6134 SH SOLE 0 0 6134 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 137 1000 SH Call SOLE 0 0 1000 ALLSTATE CORP COM 020002101 330 3991 SH SOLE 0 0 3991 ALPHABET INC CAP STK CL A 02079K305 6024 5765 SH SOLE 0 0 5765 ALPHABET INC CAP STK CL C 02079K107 5691 5495 SH SOLE 0 0 5495 ALPS ETF TR ALERIAN MLP 00162Q866 554 63420 SH SOLE 0 0 63420 ALTRIA GROUP INC COM 02209S103 451 9139 SH SOLE 0 0 9139 AMAZON COM INC COM 023135106 2990 1991 SH SOLE 0 0 1991 AMERICAN ELEC PWR INC COM 025537101 733 9809 SH SOLE 0 0 9809 AMERICAN EXPRESS CO COM 025816109 232 2439 SH SOLE 0 0 2439 AMGEN INC COM 031162100 348 1788 SH SOLE 0 0 1788 ANNALY CAP MGMT INC COM 035710409 1128 114883 SH SOLE 0 0 114883 AON PLC SHS CL A G0408V102 2407 16559 SH SOLE 0 0 16559 APACHE CORP COM 037411105 223 8499 SH SOLE 0 0 8499 APPLE INC COM 037833100 4970 31505 SH SOLE 0 0 31505 ARDELYX INC COM 039697107 4726 2639952 SH SOLE 2054910 0 585042 ARES CAP CORP COM 04010L103 1320 84745 SH SOLE 0 0 84745 AT&T INC COM 00206R102 962 33698 SH SOLE 0 0 33698 AUTOMATIC DATA PROCESSING IN COM 053015103 562 4286 SH SOLE 0 0 4286 BANK AMER CORP COM 060505104 472 19160 SH SOLE 0 0 19160 BANK NEW YORK MELLON CORP COM 064058100 3052 64832 SH SOLE 0 0 64832 BARCLAYS BK PLC IPATH S&P500 VIX 06746L422 213 4537 SH SOLE 0 0 4537 BAXTER INTL INC COM 071813109 532 8082 SH SOLE 0 0 8082 BECTON DICKINSON & CO COM 075887109 390 1732 SH SOLE 0 0 1732 BERKSHIRE HATHAWAY INC DEL CL A 084670108 306 1 SH SOLE 0 0 1 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 9159 44858 SH SOLE 0 0 44858 BIOGEN INC COM 09062X103 318 1058 SH SOLE 0 0 1058 BLACKROCK INC COM 09247X101 244 621 SH SOLE 0 0 621 BLACKSTONE GROUP L P COM UNIT LTD 09253U108 1804 60524 SH SOLE 0 0 60524 BLACKSTONE MTG TR INC COM CL A 09257W100 3370 105780 SH SOLE 0 0 105780 BOEING CO COM 097023105 433 1342 SH SOLE 0 0 1342 BP PLC SPONSORED ADR 055622104 5292 139547 SH SOLE 0 0 139547 BRIGHTHOUSE FINL INC COM 10922N103 1633 53565 SH SOLE 0 0 53565 BRISTOL MYERS SQUIBB CO COM 110122108 1947 37456 SH SOLE 0 0 37456 CAMBRIA ETF TR GLOBAL VALUE ETF 132061409 5725 272630 SH SOLE 0 0 272630 CANADIAN NATL RY CO COM 136375102 2366 31927 SH SOLE 0 0 31927 CANOPY GROWTH CORP COM 138035100 219 8187 SH SOLE 0 0 8187 CAPSTEAD MTG CORP COM NO PAR 14067E506 122 18335 SH SOLE 0 0 18335 CBOE GLOBAL MARKETS INC COM 12503M108 570 5827 SH SOLE 0 0 5827 CELGENE CORP COM 151020104 273 4255 SH SOLE 0 0 4255 CENTENE CORP DEL COM 15135B101 1596 13844 SH SOLE 0 0 13844 CF INDS HLDGS INC COM 125269100 1297 29800 SH SOLE 0 0 29800 CHARTER COMMUNICATIONS INC N CL A 16119P108 300 1052 SH SOLE 0 0 1052 CHEVRON CORP NEW COM 166764100 2139 19664 SH SOLE 0 0 19664 CHINA MOBILE LIMITED SPONSORED ADR 16941M109 12887 268483 SH SOLE 19350 0 159133 CHINA MOBILE LIMITED SPONSORED ADR 16941M109 336 7000 SH Call SOLE 0 0 7000 CHUBB LIMITED COM H1467J104 789 6106 SH SOLE 0 0 6106 CITIGROUP INC COM NEW 172967424 975 18719 SH SOLE 0 0 18719 CME GROUP INC COM CL A 12572Q105 2505 13317 SH SOLE 0 0 13317 COCA COLA CO COM 191216100 852 17989 SH SOLE 0 0 17989 COHEN & STEERS INFRASTRUCTUR COM 19248A109 271 13695 SH SOLE 0 0 13695 COHERENT INC COM 192479103 7031 66513 SH SOLE 31033 0 35480 COMCAST CORP NEW CL A 20030N101 209 6152 SH SOLE 0 0 6152 CONOCOPHILLIPS COM 20825C104 651 10436 SH SOLE 0 0 10436 CVS HEALTH CORP COM 126650100 230 3511 SH SOLE 0 0 3511 CYTRX CORP COM PAR 232828608 7 16261 SH SOLE 0 0 16261 DANAHER CORP DEL COM 235851102 533 5170 SH SOLE 0 0 5170 DESPEGAR COM CORP ORD SHS G27358103 4916 396117 SH SOLE 265339 0 130778 DIAGEO P L C SPON ADR NEW 25243Q205 421 2968 SH SOLE 0 0 2968 DISNEY WALT CO COM DISNEY 254687106 1106 10086 SH SOLE 0 0 10086 DOMINION ENERGY INC COM 25746U109 239 3343 SH SOLE 0 0 3343 DOWDUPONT INC COM 26078J100 592 11072 SH SOLE 0 0 11072 EATON CORP PLC SHS G29183103 1420 20677 SH SOLE 0 0 20677 EMBRAER S A SP ADR REP 4 COM 29082A107 11517 520410 SH SOLE 249377 0 271033 EMERSON ELEC CO COM 291011104 1045 17489 SH SOLE 0 0 17489 ENBRIDGE INC COM 29250N105 691 22218 SH SOLE 0 0 22218 ENTERPRISE PRODS PARTNERS L COM 293792107 1075 43699 SH SOLE 0 0 43699 ENTERPRISE PRODS PARTNERS L COM 293792107 49 2000 SH Call SOLE 0 0 2000 EXACT SCIENCES CORP COM 30063P105 315 5000 SH SOLE 0 0 5000 EXELON CORP COM 30161N101 10221 226632 SH SOLE 0 0 226632 EXXON MOBIL CORP COM 30231G102 6151 90203 SH SOLE 0 0 90203 FABRINET SHS G3323L100 4059 79115 SH SOLE 0 0 79115 FACEBOOK INC CL A 30303M102 618 4711 SH SOLE 0 0 4711 FEDEX CORP COM 31428X106 347 2152 SH SOLE 0 0 2152 FREEPORT-MCMORAN INC CL B 35671D857 155 15000 SH SOLE 0 0 15000 GABELLI EQUITY TR INC COM 362397101 122 23943 SH SOLE 0 0 23943 GENERAL DYNAMICS CORP COM 369550108 653 4155 SH SOLE 0 0 4155 GENERAL ELECTRIC CO COM 369604103 390 51534 SH SOLE 0 0 51534 GENERAL MTRS CO COM 37045V100 701 20958 SH SOLE 0 0 20958 GILEAD SCIENCES INC COM 375558103 779 12460 SH SOLE 0 0 12460 GOLDMAN SACHS GROUP INC COM 38141G104 460 2755 SH SOLE 0 0 2755 GOLUB CAP BDC INC COM 38173M102 1352 81996 SH SOLE 0 0 81996 HELMERICH & PAYNE INC COM 423452101 216 4500 SH SOLE 0 0 4500 HOME DEPOT INC COM 437076102 449 2616 SH SOLE 0 0 2616 HUDSON TECHNOLOGIES INC COM 444144109 2563 2880126 SH SOLE 1852847 0 1027279 IDEX CORP COM 45167R104 398 3150 SH SOLE 0 0 3150 ILLINOIS TOOL WKS INC COM 452308109 248 1958 SH SOLE 0 0 1958 INTEL CORP COM 458140100 318 6777 SH SOLE 0 0 6777 INTERNATIONAL BUSINESS MACHS COM 459200101 773 6796 SH SOLE 0 0 6796 INVESCO EXCHNG TRADED FD TR SR LN ETF 46138G508 0 41000 SH Put SOLE 41000 0 0 IQIYI INC SPONSORED ADS 46267X108 186 12500 SH SOLE 0 0 12500 IQIYI INC SPONSORED ADS 46267X108 7 500 SH Call SOLE 0 0 500 ISHARES GOLD TRUST ISHARES 464285105 1503 122318 SH SOLE 0 0 122318 ISHARES TR CORE S&P500 ETF 464287200 584 2320 SH SOLE 0 0 2320 ISHARES TR MSCI EMG MKT ETF 464287234 563 14423 SH SOLE 0 0 14423 JOHNSON & JOHNSON COM 478160104 4827 37403 SH SOLE 0 0 37403 JOINT CORP COM 47973J102 96 11500 SH SOLE 0 0 11500 JONES LANG LASALLE INC COM 48020Q107 13192 104199 SH SOLE 32715 0 71484 JPMORGAN CHASE & CO COM 46625H100 2468 25283 SH SOLE 0 0 25283 MAGELLAN MIDSTREAM PRTNRS LP COM UNIT RP LP 559080106 1361 23850 SH SOLE 0 0 23850 MANULIFE FINL CORP COM 56501R106 200 14124 SH SOLE 0 0 14124 MCDONALDS CORP COM 580135101 1411 7944 SH SOLE 0 0 7944 MCKESSON CORP COM 58155Q103 407 3685 SH SOLE 0 0 3685 MEDTRONIC PLC SHS G5960L103 607 6673 SH SOLE 0 0 6673 MERCK & CO INC COM 58933Y105 5245 68647 SH SOLE 0 0 68647 METLIFE INC COM 59156R108 243 5920 SH SOLE 0 0 5920 MFA FINL INC COM 55272X102 82 12250 SH SOLE 0 0 12250 MICROSOFT CORP COM 594918104 4550 44796 SH SOLE 0 0 44796 MONMOUTH REAL ESTATE INVT CO CL A 609720107 143 11540 SH SOLE 0 0 11540 MORGAN STANLEY COM NEW 617446448 220 5560 SH SOLE 0 0 5560 MORNINGSTAR INC COM 617700109 291 2649 SH SOLE 0 0 2649 MOSAIC CO NEW COM 61945C103 10142 347196 SH SOLE 122559 0 224637 NEXTERA ENERGY INC COM 65339F101 544 3128 SH SOLE 0 0 3128 NIKE INC CL B 654106103 421 5676 SH SOLE 0 0 5676 NOKIA CORP SPONSORED ADR 654902204 70 12089 SH SOLE 0 0 12089 NOVARTIS A G SPONSORED ADR 66987V109 7281 84855 SH SOLE 0 0 84855 NUTRIEN LTD COM 67077M108 243 5174 SH SOLE 0 0 5174 NUVEEN CR STRATEGIES INCM FD COM SHS 67073D102 255 34409 SH SOLE 0 0 34409 NUVEEN DIVERSIFIED DIV INCM COM 6706EP105 108 11725 SH SOLE 0 0 11725 OAKTREE CAP GROUP LLC UNIT CL A 674001201 13848 348380 SH SOLE 169152 0 179228 PARK HOTELS RESORTS INC COM 700517105 1307 50300 SH SOLE 0 0 50300 PAYPAL HLDGS INC COM 70450Y103 325 3860 SH SOLE 0 0 3860 PEPSICO INC COM 713448108 3993 36139 SH SOLE 0 0 36139 PFIZER INC COM 717081103 3116 71394 SH SOLE 0 0 71394 PHILIP MORRIS INTL INC COM 718172109 454 6797 SH SOLE 0 0 6797 PROCTER AND GAMBLE CO COM 742718109 1003 10909 SH SOLE 0 0 10909 PUTNAM PREMIER INCOME TR SH BEN INT 746853100 74 15875 SH SOLE 0 0 15875 QUALCOMM INC COM 747525103 5009 88020 SH SOLE 28300 0 59720 RAYTHEON CO COM NEW 755111507 303 1979 SH SOLE 0 0 1979 RED HAT INC COM 756577102 263 1500 SH SOLE 0 0 1500 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 482 8272 SH SOLE 0 0 8272 SANOFI SPONSORED ADR 80105N105 1650 38005 SH SOLE 0 0 38005 SCHLUMBERGER LTD COM 806857108 532 14741 SH SOLE 0 0 14741 SILICOM LTD ORD M84116108 7542 215867 SH SOLE 146019 0 69848 SINA CORP ORD G81477104 16952 316037 SH SOLE 224143 0 91894 SK TELECOM LTD SPONSORED ADR 78440P108 16779 626079 SH SOLE 226562 0 399517 SOLAR CAP LTD COM 83413U100 2745 143042 SH SOLE 0 0 143042 SPDR GOLD TRUST GOLD SHS 78463V107 4388 36193 SH SOLE 1200 0 34993 SPDR S&P 500 ETF TR TR UNIT 78462F103 671 2683 SH SOLE 0 0 2683 SPDR S&P 500 ETF TR TR UNIT 78462F103 112432 850000 SH Put SOLE 850000 0 0 SPIRIT AIRLS INC COM 848577102 5045 87100 SH SOLE 0 0 87100 SPROTT PHYSICAL GOLD & SILVE TR UNIT 85208R101 6373 508198 SH SOLE 0 0 508198 SPROTT PHYSICAL GOLD TRUST UNIT 85207H104 46926 4551467 SH SOLE 2257330 0 2294137 SPROTT PHYSICAL SILVER TR TR UNIT 85207K107 96 17150 SH SOLE 0 0 17150 STARBUCKS CORP COM 855244109 1177 18275 SH SOLE 0 0 18275 STARWOOD PPTY TR INC COM 85571B105 506 25680 SH SOLE 0 0 25680 STERICYCLE INC COM 858912108 631 17190 SH SOLE 0 0 17190 SUNCOR ENERGY INC NEW COM 867224107 5598 200132 SH SOLE 0 0 200132 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADR 874039100 1877 50850 SH SOLE 0 0 50850 TITAN INTL INC ILL COM 88830M102 3662 785887 SH SOLE 428156 0 357731 TOTAL S A SPONSORED ADR 89151E109 1192 22835 SH SOLE 0 0 22835 UNION PAC CORP COM 907818108 1208 8737 SH SOLE 0 0 8737 UNITED TECHNOLOGIES CORP COM 913017109 411 3858 SH SOLE 0 0 3858 US BANCORP DEL COM NEW 902973304 1910 41795 SH SOLE 0 0 41795 VANECK MERK GOLD TRUST GOLD TRUST 921078101 4114 326900 SH SOLE 178000 0 148900 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 795 37694 SH SOLE 0 0 37694 VANGUARD GROUP DIV APP ETF 921908844 250 2550 SH SOLE 0 0 2550 VANGUARD INDEX FDS TOTAL STK MKT 922908769 2389 18718 SH SOLE 0 0 18718 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 498 10915 SH SOLE 0 0 10915 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 3956 103842 SH SOLE 0 0 103842 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 1938 52250 SH SOLE 0 0 52250 VERIZON COMMUNICATIONS INC COM 92343V104 11013 195896 SH SOLE 0 0 195896 VERIZON COMMUNICATIONS INC COM 92343V104 478 8500 SH Call SOLE 0 0 8500 VISA INC COM CL A 92826C839 1796 13615 SH SOLE 0 0 13615 VOYA FINL INC COM 929089100 2829 70486 SH SOLE 0 0 70486 WALGREENS BOOTS ALLIANCE INC COM 931427108 917 13416 SH SOLE 0 0 13416 WALMART INC COM 931142103 2072 22240 SH SOLE 0 0 22240 WEIBO CORP SPONSORED ADR 948596101 2925 50055 SH SOLE 0 0 50055 WELLS FARGO CO NEW COM 949746101 296 6416 SH SOLE 0 0 6416 WESTERN ASSET HIGH INCM FD I COM 95766J102 58 10000 SH SOLE 0 0 10000 WEYERHAEUSER CO COM 962166104 499 22830 SH SOLE 0 0 22830 WILLIS TOWERS WATSON PUB LTD SHS G96629103 2838 18687 SH SOLE 0 0 18687 ZEBRA TECHNOLOGIES CORP CL A 989207105 1178 7400 SH SOLE 0 0 7400