Hedge Fund Database

PIPER SANDLER & CO.

Adviser information for PIPER SANDLER & CO. last updated from Form ADV on March 18th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.

Advisory Business

Type of Organization Corporation
Fiscal Year End DECEMBER
Legal Location Delaware, United States

Employees

Total Number of Employees 1335
Investment Advisory/Research 24
Registered Broker-Dealer Representatives 1335
Registered State Investment Advisers 24
Licensed Agents of an Insurance Company 0
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 0 $0
Non-Discretionary 1 $1.6B
Total 1 $1.6B

Clients

Type Number RAUM
Individuals 0 $0
HNW Individuals 0 $0
Banking or thrift institutions 0 $0
Investment companies 0 $0
Business development companies 0 $0
Pooled investment vehicles 0 $0
Pension and profit sharing plans 0 $0
Charitable organizations 0 $0
State or municipal gov entities 1 $1.6B
Other investment advisers 0 $0
Insurance companies 0 $0
Sovereign wealth funds and foreign official institutions 0 $0
Corporations or other businesses 0 $0
Other 0 $0
Type Number
No. of Non-RAUM Clients 21
No. of Non-U.S. Clients 0

Services

Advisory Services Portfolio management for businesses or institutional clientsANALYTICAL REPORTS/PUBLIC FINANCE CONSULTING PROGRAM
Compensation % of AUMFixed feesCommissions
Other Business Activities Broker-dealerCommodity pool operator or commodity trading advisorRegistered municipal advisor

Identifiers

SEC RIA File Number 801-108049
SEC ERA File Number 801-108049
SEC CIK Numbers 724683
SEC CRD Numbers 665
Legal Entity Identifier 549300GRQCWQ3XGH0H10

Principal Office

800 NICOLLET MALL
SUITE 900
MINNEAPOLIS
MN
United States
Monday - Friday, 8:00 AM - 5:00 PM
Tel: 612-303-6000, Fax: 612-303-6295

Websites

www.pipersandler.com

Chief Compliance Officer

BRIDGET T. LARSEN
800 NICOLLET MALL
SUITE 900 J12NCO
MINNEAPOLIS
MN
United States
Tel: 612-303-6843
Fax: 612-303-6295
(Full email address available in API data)

Regulatory Contact

ALYSSA L. BALLIS
COMPLIANCE DIRECTOR
800 NICOLLET MALL
SUITE 900
MINNEAPOLIS
MN
United States
Tel: 612-303-6891
Fax: 612-303-6295
(Full email address available in API data)

Industry Affiliates

PIPER HEARTLAND HEALTHCARE CAPITAL, LLC Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles
PIPER SANDLER ADVISORS LLC Other investment adviser, including financial planners
PIPER SANDLER FINANCE MANAGEMENT, LLC Other investment adviser, including financial planners
PIPER SANDLER LTD. Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles
PSC CAPITAL PARTNERS LLC Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
PIPER SANDLER COMPANIES Domestic Entity – PARENT 12/2003 > 75%
SCHONEMAN, DEBBRA LYNN Individual – PRESIDENT; BOARD MEMBER 01/2018 < 5%
ABRAHAM, CHAD RICHARD Individual – CHAIRMAN, CEO; BOARD MEMBER 01/2018 < 5%
GEELAN, JOHN WILLIAM JR. Individual – CHIEF LEGAL OFFICER 01/2013 < 5%
COX, MICHAEL EDWARD Individual – CO-HEAD OF EQUITIES; BOARD MEMBER 02/2018 < 5%
DOYLE, JONATHAN JAY Individual – HEAD OF FINANCIAL SERVICES GROUP 01/2020 < 5%
DILLAHUNT, MICHAEL RAY Individual – CO-HEAD INV BKG & CAP MKTS; BOARD MEMBER 03/2021 < 5%
LARSEN, BRIDGET TERE Individual – CHIEF COMPLIANCE OFFICER 04/2021 < 5%
GERBER, JEREMY JOSEPH Individual – CO HEAD OF PUBLIC FINANCE; BOARD MEMBER 12/2023 < 5%
CLUNE, KATHERINE PATRICIA Individual – CFO; BOARD MEMBER 01/2024 < 5%

No. Employees, Historic

2,0001,00002019202020212022202320242025760 on 10/30/2019833 on 12/4/2019833 on 1/13/2020833 on 2/4/20201105 on 2/4/20201104 on 3/30/20201104 on 8/27/20201128 on 3/31/20211128 on 4/12/20211128 on 7/6/20211253 on 3/30/20221253 on 10/5/20221253 on 12/19/20221330 on 3/27/20231330 on 3/28/20231335 on 3/18/20241335 on 3/18/20241335 on 3/18/2024

RAUM, Historic

4B2B02019202020212022202320242025175394421 on 10/30/2019150657359 on 12/4/2019150657359 on 1/13/2020150657359 on 2/4/2020151418842 on 2/4/2020151418842 on 3/30/2020151418842 on 8/27/20202082940165 on 3/31/20212082940165 on 4/12/20212082940165 on 7/6/20213295578000 on 3/30/20223295578000 on 10/5/20221274330897 on 12/19/20221408399403 on 3/27/20231408399403 on 3/28/20231580517015 on 3/18/20241580517015 on 3/18/20241580517015 on 3/18/2024

No. Clients, Historic

70350201920202021202220232024202512 on 10/30/20193 on 12/4/20193 on 1/13/20203 on 2/4/20203 on 2/4/20203 on 3/30/20203 on 8/27/202037 on 3/31/202137 on 4/12/202137 on 7/6/202167 on 3/30/202267 on 10/5/20221 on 12/19/20221 on 3/27/20231 on 3/28/20231 on 3/18/20241 on 3/18/20241 on 3/18/2024

Holdings

From latest 13F, filed August 8th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ARBOR REALTY TRUST INC NOTE 7.500% 8/0 3M – –
BIOMARIN PHARMACEUTICAL INC NOTE 0.599% 8/0 21M – –
BLACKLINE INC NOTE 0.125% 8/0 2M – –
CARTESIAN GROWTH CORP II *W EXP 07/12/202 41K 403K –
CHEGG INC NOTE 0.125% 3/1 5M – –
EAGLE BULK SHIPPING INC NOTE 5.000% 8/0 31M – –
FIVERR INTL LTD NOTE 11/0 2M – –
I3 VERTICALS LLC NOTE 1.000% 2/1 93K – –
JAZZ INVESTMENTS I LTD NOTE 1.500% 8/1 27M – –
KVH INDS INC COM 15K 3K –
PALO ALTO NETWORKS INC NOTE 0.375% 6/0 1M – –
PENNYMAC CORP NOTE 5.500%11/0 14M – –
PROFRAC HLDG CORP CLASS A COM 60K 8K –
PROSPECT CAP CORP NOTE 6.375% 3/0 4M – –
REDWOOD TRUST INC NOTE 5.625% 7/1 5M – –
SHATTUCK LABS INC COM 152K 39K –
TURNING PT BRANDS INC NOTE 2.500% 7/1 13M – –