PIPER SANDLER LTD.
Adviser information for PIPER SANDLER LTD. last updated from Form ADV on March 15th, 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 | Other (specify) |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | United Kingdom |
Employees
| Total Number of Employees | 0 |
|---|---|
| Investment Advisory/Research | 0 |
| Registered Broker-Dealer Representatives | 0 |
| 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 | No |
|---|
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 | 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 | – |
|---|---|
| Compensation | – |
| Other Business Activities | Broker-dealer |
Identifiers
| SEC RIA File Number | 802-76331 |
|---|---|
| SEC ERA File Number | 802-76331 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 163758 |
| Legal Entity Identifier | 2138008LHD1TOYE4JE |
Principal Office
22 WAVERLEY PLACEABERDEENSHIRE
ABERDEEN
United Kingdom
Monday - Friday, 8.30 - 18.00
Tel: 44 1224 202300, Fax: 44 1224 202303
Websites
Chief Compliance Officer
NoneIndustry Affiliates
| PARALLEL GENERAL PARTNER LIMITED | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| 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 planners |
| PIPER SANDLER FINANCE MANAGEMENT, LLC | Other investment adviser, including financial planners |
| 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 |
|---|---|---|---|---|
| SIMMONS PARALLEL ENERGY LP | Private Equity Fund | $11.7M | $0.0M | 75 |
| SIMMONS PRIVATE EQUITY II L.P. | Private Equity Fund | $77.0M | $0.4M | 104 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| PIPER SANDLER EUROPEAN HOLDINGS CO. | Domestic Entity | – | HOLDING COMPANY - DIRECT OWNER OF PIPER SANDLER LTD. | 08/2016 | > 75% |
| SCHONEMAN, DEBBRA, LYNN | Individual | – | PRESIDENT/PIPER SANDLER COMPANIES | 01/2018 | < 5% |
| QUANT, SHAWN, CHRISTIAN | Individual | – | CHIEF INFORMATION OFFICER/PIPER SANDLER COMPANIES | 01/2011 | < 5% |
| GRANT, JAMES | Individual | – | COMPANY SECRETARY | 04/2013 | < 5% |
| SUBRAMANIAN, KASI, V | Individual | – | TREASURER/PIPER SANDLER COMPANIES | 01/2018 | < 5% |
| PIPER SANDLER COMPANIES | Domestic Entity | PIPER SANDLER EUROPEAN HOLDINGS CO. | ULTIMATE PARENT | 02/2016 | > 75% |
| ADAM, SINEAD, ROSE | Individual | – | CFO | 04/2020 | < 5% |
| BAKER, JAMES, PHILIP | Individual | – | CO-HEAD INVESTMENT BANKING/PIPER SANDLER COMPANIES | 04/2020 | < 5% |
| DALGARNO, NICHOLAS, JOHN | Individual | – | HEAD EUROPEAN INVESTMENT BANKING ENERGY | 07/2021 | < 5% |
| MCINTOSH, KIRK, EWAN | Individual | – | CEO, MANAGING DIRECTOR EUROPEAN INVESTMENT BANKING CHEMICALS | 04/2020 | < 5% |
| CLUNE, KATHERINE, PATRICIA | Individual | – | CFO/PIPER SANDLER COMPANIES | 01/2024 | < 5% |
| ROBBINS, BRENT, DOUGLAS | Individual | – | INSTITUTIONAL SALES | 01/2024 | < 5% |