Karl B. Ruff

PEARSON CREEK CAPITAL MANAGEMENT LLC

Chicago, IL 60618

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CRD#: 3045003

Professional summary

Karl Benjamin Ruff, who also goes by Ben Karl Ruff, is a registered financial advisor currently at PEARSON CREEK CAPITAL MANAGEMENT LLC located in Chicago, Illinois.

Karl is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Karl has worked at 5 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ben Karl Ruff

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Karl Benjamin Ruff's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

March 20, 2012 - Present

PEARSON CREEK CAPITAL MANAGEMENT LLC

Office #1: 3057 N Rockwell St Ste 252, Chicago, IL 60618

RIA

CRD#: 160354

Chicago, IL

Past

May 1, 2001 - October 6, 2004

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

Past

February 5, 2001 - May 1, 2001

JPMSI

CRD#: 15733

NEW YORK, NY

Past

April 14, 2000 - February 5, 2001

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

Past

March 6, 2000 - April 26, 2000

PIPER SANDLER & CO.

CRD#: 665

MINNEAPOLIS, MN

Past

November 4, 1998 - March 17, 2000

WILLIAM BLAIR

CRD#: 1252

CHICAGO, IL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

PEARSON CREEK CAPITAL MANAGEMENT LLC

CRD#: 160354 / SEC#: 801-88179

RIA

Registered Investment Advisory firm - (4/1/2015 Approved)

Illinois

Registered Investment Advisory firm - (4/1/2015 Terminated)

Missouri

Registered Investment Advisory firm - (6/10/2014 Cancelled)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Illinois
(3/20/2012)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 11/17/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 11/2/1998

General Securities Representative Examination

Current Firm

PEARSON CREEK CAPITAL MANAGEMENT LLC

CRD#: 160354 / SEC#: 801-88179

RIA

Registered Investment Advisory firm - (4/1/2015 Approved)

Illinois

Registered Investment Advisory firm - (4/1/2015 Terminated)

Missouri

Registered Investment Advisory firm - (6/10/2014 Cancelled)

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Contact information

Main Address

3057 N Rockwell St Ste 252, Chicago, IL 60618

Mailing Address

Phone number

(312) 878-5520

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PCCM BROCHURE 20250321 (3/25/2025)

KARL RUFF PART 2B FORM ADV BROCHURE SUPPLEMENT 20250321 (3/25/2025)

Regulatory assets under management

Total Number of Accounts	82
AUM (Assets Under Management)	$ 247,000,000

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Karl B. Ruff

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Karl Benjamin Ruff's CRS (Customer Relationship Summary).

Certified licenses

Experience

PEARSON CREEK CAPITAL MANAGEMENT LLC

J.P. MORGAN SECURITIES INC.

JPMSI

J.P. MORGAN SECURITIES INC.

PIPER SANDLER & CO.

WILLIAM BLAIR

Primary Firm SEC Registration

PEARSON CREEK CAPITAL MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 11/17/1998

Series 7

Date: 11/2/1998

Current Firm

PEARSON CREEK CAPITAL MANAGEMENT LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PEARSON CREEK CAPITAL MANAGEMENT LLC

TRUST BUT VERIFY

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