PIPER SANDLER ADVISORS LLC
Adviser information for PIPER SANDLER ADVISORS LLC last updated from Form ADV on March 13th, 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 10 |
|---|---|
| Investment Advisory/Research | 7 |
| Registered Broker-Dealer Representatives | 9 |
| Registered State Investment Advisers | 0 |
| 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 | 2 | $364.6M |
| Non-Discretionary | 0 | $0 |
| Total | 2 | $364.6M |
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 | 2 | $364.6M |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| 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 | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-118415 |
|---|---|
| SEC ERA File Number | 801-118415 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 307823 |
| Legal Entity Identifier | None |
Principal Office
800 NICOLLET MALLSUITE 900
MINNEAPOLIS
MN
United States
Monday - Friday, 8:30 A.M. - 5:00 P.M.
Tel: 800-333-6000, Fax: 612-303-6295
Chief Compliance Officer
ALYSSA BALLIS
CHIEF COMPLIANCE OFFICER
800 NICOLLET MALL
SUITE 900
MINNEAPOLIS
MN
United States
Tel:
612-303-6891
Fax:
612-303-6295
A************@******M
(Full email address available in API data)
Regulatory Contact
KAREN COSTELLO
COMPLIANCE MANAGER
800 NICOLLET MALL
SUITE 900
MINNEAPOLIS
MN
United States
Tel:
612-303-6612
Fax:
612-303-6295
K*************@******M
(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 & CO. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersRegistered municipal advisorCommodity pool operator or commodity trading advisor |
| 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 |
|---|---|---|---|---|
| MMCAPS FUNDING XVII, LTD. | CDO ISSUED IN 2005 | $140.4M | $0.1M | 24 |
| MMCAPS FUNDING XVIII, LTD. | CDO ISSUED IN 2006 | $224.2M | $0.1M | 15 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| DELLAPIETRA, MAY, FRANCES | Individual | – | MANAGING DIRECTOR AND TREASURER | 06/2005 | < 5% |
| DOYLE, JONATHAN, JAY | Individual | – | SENIOR MANAGING PRINCIPAL | 06/2005 | < 5% |
| PIPER SANDLER COMPANIES | Domestic Entity | – | PARENT COMPANY | 01/2020 | > 75% |
| BALLIS, ALYSSA, LYNN | Individual | – | CHIEF COMPLIANCE OFFICER | 06/2023 | < 5% |