Shaun Alan Roach
CFAProfessional Summary
Shaun Alan Roach, CFA is a registered financial advisor currently at PEKIN HARDY STRAUSS, INC. located in Chicago, Illinois. Shaun is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Shaun has worked at 1 firm.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Credentials
Years of Experience
12 years in the financial services industry
Current & Past Employments
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Current Firm
APPLESEED CAPITAL | PEKIN SINGER STRAUSS ASSET MANAGEMENT INC. | PEKIN SINGER & SHAPIRO ASSET MANAGEMENT INC | PEKIN HARDY STRAUSS, INC. | APPLESEED PIONEER GP, LLC
Contact Information
Main Address
227 West Monroe Street Suite 3625, Chicago, IL 60606Phone Number
(312) 554-7525# of Employees
19SEC notice filing (25 States and Territories)
Registered to provide investment advisory services in 25 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
1,941AUM (Assets Under Management)
$1,551,736,308Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/26/2025 | Cover Page | Report |
| 09/25/2024 | Cover Page | Report |
| 10/18/2023 | Cover Page | Report |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
APPLESEED CAPITAL | PEKIN SINGER STRAUSS ASSET MANAGEMENT INC. | PEKIN SINGER & SHAPIRO ASSET MANAGEMENT INC | PEKIN HARDY STRAUSS, INC. | APPLESEED PIONEER GP, LLC
State Registrations and Notice Filings
(6/13/2014)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary) - RIA
Click below to view Shaun Alan Roach's CRS (Customer Relationship Summary).
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