PIPER SANDLER FINANCE MANAGEMENT, LLC
Adviser information for PIPER SANDLER FINANCE MANAGEMENT, LLC last updated from Form ADV on March 14th, 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 | 19 |
|---|---|
| Investment Advisory/Research | 6 |
| Registered Broker-Dealer Representatives | 12 |
| 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 | 0 | $0 |
| Non-Discretionary | 2 | $290.0M |
| Total | 2 | $290.0M |
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 | $290.0M |
| 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 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-118908 |
|---|---|
| SEC ERA File Number | 801-118908 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 309345 |
| Legal Entity Identifier | None |
Principal Office
800 NICOLLET MALLSUITE 1000
MINNEAPOLIS
MN
United States
Monday - Friday, 8:00AM - 5:00PM
Tel: 612-303-6000, Fax: 612-303-6295
Chief Compliance Officer
ALYSSA L. BALLIS
800 NICOLLET MALL
MINNEAPOLIS
MN
United States
Tel:
612-590-6257
Fax:
612-303-6295
A************@******M
(Full email address available in API data)
Regulatory Contact
KAREN J. COSTELLO
COMPLIANCE MANAGER
800 NICOLLET MALL
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 ADVISORS LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| 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 |
|---|---|---|---|---|---|
| CHIARELLI, JAMES, DOUGLAS | Individual | – | CHIEF OPERATING OFFICER | 05/2020 | < 5% |
| PIPER SANDLER INVESTMENT GROUP INC. | Domestic Entity | – | MEMBER | 05/2020 | > 75% |
| SHEER, LEONARD, LANS | Individual | – | PRESIDENT | 05/2020 | < 5% |
| AGRAWAL, AMRIT | Individual | – | CHIEF INVESTMENT OFFICER | 05/2020 | < 5% |
| LAURIA, ROBERT, JAMES | Individual | – | MANAGING DIRECTOR | 05/2020 | < 5% |
| MARTIN, JAMES, MARTELL | Individual | – | SECRETARY | 05/2020 | < 5% |
| PIPER SANDLER COMPANIES | Domestic Entity | PIPER SANDLER INVESTMENT GROUP INC. | PARENT | 07/2012 | > 75% |
| BALLIS, ALYSSA, LYNN | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2024 | < 5% |
| CLUNE, KATHERINE, PATRICIA | Individual | – | CHIEF FINANCIAL OFFICER | 01/2024 | < 5% |