PIPER SANDLER FINANCE MANAGEMENT, LLC
CRD #309345 SEC #801-118908 MINNEAPOLIS, MN 612-303-6000
SEC Registered
Total AUM
$290M
Discretionary
$0
Employees
19
Clients
0
Accounts
2
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Delaware
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 14, 2024
- Branch Offices
- 2
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| AGRAWAL, AMRIT | I | CHIEF INVESTMENT OFFICER | NA | Control |
| AGRAWAL, AMRIT | I | CHIEF INVESTMENT OFFICER | NA | Control |
| AGRAWAL, AMRIT | I | CHIEF INVESTMENT OFFICER | NA | Control |
| AGRAWAL, AMRIT | I | CHIEF INVESTMENT OFFICER | NA | Control |
| AGRAWAL, AMRIT | I | CHIEF INVESTMENT OFFICER | NA | Control |
| AGRAWAL, AMRIT | I | CHIEF INVESTMENT OFFICER | NA | Control |
| AGRAWAL, AMRIT | I | CHIEF INVESTMENT OFFICER | NA | Control |
| AGRAWAL, AMRIT | I | CHIEF INVESTMENT OFFICER | NA | Control |
| AGRAWAL, AMRIT | I | CHIEF INVESTMENT OFFICER | NA | Control |
| BALLIS, ALYSSA, LYNN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CARTER, TIMOTHY, LEE | I | CFO & TREASURER | NA | Control |
| CARTER, TIMOTHY, LEE | I | CFO & TREASURER | NA | Control |
| CARTER, TIMOTHY, LEE | I | CFO & TREASURER | NA | Control |
| CARTER, TIMOTHY, LEE | I | CFO & TREASURER | NA | Control |
| CARTER, TIMOTHY, LEE | I | CFO & TREASURER | NA | Control |
| CARTER, TIMOTHY, LEE | I | CFO & TREASURER | NA | Control |
| CARTER, TIMOTHY, LEE | I | CFO & TREASURER | NA | Control |
| CARTER, TIMOTHY, LEE | I | CFO & TREASURER | NA | Control |
| CHIARELLI, JAMES, DOUGLAS | I | CHIEF OPERATING OFFICER | NA | Control |
| CHIARELLI, JAMES, DOUGLAS | I | CHIEF OPERATING OFFICER | NA | Control |
| CHIARELLI, JAMES, DOUGLAS | I | CHIEF OPERATING OFFICER | NA | Control |
| CHIARELLI, JAMES, DOUGLAS | I | CHIEF OPERATING OFFICER | NA | Control |
| CHIARELLI, JAMES, DOUGLAS | I | CHIEF OPERATING OFFICER | NA | Control |
| CHIARELLI, JAMES, DOUGLAS | I | CHIEF OPERATING OFFICER | NA | Control |
| CHIARELLI, JAMES, DOUGLAS | I | CHIEF OPERATING OFFICER | NA | Control |
| CHIARELLI, JAMES, DOUGLAS | I | CHIEF OPERATING OFFICER | NA | Control |
| CHIARELLI, JAMES, DOUGLAS | I | CHIEF OPERATING OFFICER | NA | Control |
| CLUNE, KATHERINE, PATRICIA | I | CHIEF FINANCIAL OFFICER | NA | Control |
| LARSEN, BRIDGET, TERE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LARSEN, BRIDGET, TERE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LARSEN, BRIDGET, TERE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| LAURIA, ROBERT, JAMES | I | MANAGING DIRECTOR | NA | Control |
| LAURIA, ROBERT, JAMES | I | MANAGING DIRECTOR | NA | Control |
| LAURIA, ROBERT, JAMES | I | MANAGING DIRECTOR | NA | Control |
| LAURIA, ROBERT, JAMES | I | MANAGING DIRECTOR | NA | Control |
| LAURIA, ROBERT, JAMES | I | MANAGING DIRECTOR | NA | Control |
| LAURIA, ROBERT, JAMES | I | MANAGING DIRECTOR | NA | Control |
| LAURIA, ROBERT, JAMES | I | MANAGING DIRECTOR | NA | Control |
| LAURIA, ROBERT, JAMES | I | MANAGING DIRECTOR | NA | Control |
| LAURIA, ROBERT, JAMES | I | MANAGING DIRECTOR | NA | Control |
| MARTIN, JAMES, MARTELL | I | SECRETARY | NA | |
| MARTIN, JAMES, MARTELL | I | SECRETARY | NA | |
| MARTIN, JAMES, MARTELL | I | SECRETARY | NA | |
| MARTIN, JAMES, MARTELL | I | SECRETARY | NA | |
| MARTIN, JAMES, MARTELL | I | SECRETARY | NA | |
| MARTIN, JAMES, MARTELL | I | SECRETARY | NA | Control |
| MARTIN, JAMES, MARTELL | I | SECRETARY | NA | |
| MARTIN, JAMES, MARTELL | I | SECRETARY | NA | Control |
| MARTIN, JAMES, MARTELL | I | SECRETARY | NA | Control |
| MCCAGUE, ANNCHARLOTTE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MCCAGUE, ANNCHARLOTTE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MCCAGUE, ANNCHARLOTTE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MCCAGUE, ANNCHARLOTTE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MCCAGUE, ANNCHARLOTTE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SHEER, LEONARD, LANS | I | PRESIDENT | NA | Control |
| SHEER, LEONARD, LANS | I | PRESIDENT | NA | Control |
| SHEER, LEONARD, LANS | I | PRESIDENT | NA | Control |
| SHEER, LEONARD, LANS | I | PRESIDENT | NA | Control |
| SHEER, LEONARD, LANS | I | PRESIDENT | NA | Control |
| SHEER, LEONARD, LANS | I | PRESIDENT | NA | Control |
| SHEER, LEONARD, LANS | I | PRESIDENT | NA | Control |
| SHEER, LEONARD, LANS | I | PRESIDENT | NA | Control |
| SHEER, LEONARD, LANS | I | PRESIDENT | NA | Control |
| PIPER SANDLER INVESTMENT GROUP INC. | DE | MEMBER | E | Control |
| PIPER SANDLER INVESTMENT GROUP INC. | DE | MEMBER | E | Control |
| PIPER SANDLER INVESTMENT GROUP INC. | DE | MEMBER | E | Control |
| PIPER SANDLER INVESTMENT GROUP INC. | DE | MEMBER | E | Control |
| PIPER SANDLER INVESTMENT GROUP INC. | DE | MEMBER | E | Control |
| PIPER SANDLER INVESTMENT GROUP INC. | DE | MEMBER | E | Control |
| PIPER SANDLER INVESTMENT GROUP INC. | DE | MEMBER | E | Control |
| PIPER SANDLER INVESTMENT GROUP INC. | DE | MEMBER | E | Control |
| PIPER SANDLER INVESTMENT GROUP INC. | DE | MEMBER | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| PIPER SANDLER COMPANIES | DE | PIPER SANDLER INVESTMENT GROUP INC. | E | Control |
| PIPER SANDLER COMPANIES | DE | PIPER SANDLER INVESTMENT GROUP INC. | E | Control |
| PIPER SANDLER COMPANIES | DE | PIPER SANDLER INVESTMENT GROUP INC. | E | Control |
| PIPER SANDLER COMPANIES | DE | PIPER SANDLER INVESTMENT GROUP INC. | E | Control |
| PIPER SANDLER COMPANIES | DE | PIPER SANDLER INVESTMENT GROUP INC. | E | Control |
| PIPER SANDLER COMPANIES | DE | PIPER SANDLER INVESTMENT GROUP INC. | E | Control |
| PIPER SANDLER COMPANIES | DE | PIPER SANDLER INVESTMENT GROUP INC. | E | Control |
| PIPER SANDLER COMPANIES | DE | PIPER SANDLER INVESTMENT GROUP INC. | E | Control |
| PIPER SANDLER COMPANIES | DE | PIPER SANDLER INVESTMENT GROUP INC. | E | Control |
Registrations
Federal
IA
Mar 14, 2024 REGISTERED
Notice Filings (3)
IL MN NY
Address
800 NICOLLET MALLSUITE 1000
MINNEAPOLIS, MN 55402
United States
Phone: 612-303-6000