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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

PAUL MCMAHON KELLEY

Advisor at PIPER SANDLER & CO.

AUSTIN, TX | MINNEAPOLIS, MN

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Search this name across graphsid dfx:ria:04c88add-8080-4e6c-fb6a-fb5f382245f8

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 9:23 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Sep 24, 2008 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: PIPER SANDLER & CO.
Current firm class: institutional managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 1, 2004earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S63|S66
First exam: May 14, 2007
First registration: Sep 24, 2008
Dual registered: yes, broker-dealer
IAPD individual key: 4796280

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
PIPER SANDLER & CO.	Institutional manager	Aug 5, 2016	n/a	yes	MINNEAPOLIS, MN\|AUSTIN, TX	Current employment
PIPER JAFFRAY INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Apr 4, 2012	Aug 5, 2016	no	SAN FRANCISCO, CA	Previous registration
FIDUCIARY ASSET MANAGEMENT LLC	Former SEC adviser	Mar 3, 2009	Apr 5, 2012	no	CLAYTON, MO\|PORTLAND, OR	Previous registration
PIPER JAFFRAY INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Sep 24, 2008	Feb 17, 2011	no	MINNEAPOLIS, MN	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
PIPER JAFFRAY INVESTMENT MANAGEMENT, LLC	PIPER SANDLER & CO.	Aug 5, 2016	Aug 5, 2016	0	Firm change	Other
FIDUCIARY ASSET MANAGEMENT LLC	PIPER JAFFRAY INVESTMENT MANAGEMENT, LLC	Apr 5, 2012	Apr 4, 2012	-1	Firm change	Other
PIPER JAFFRAY INVESTMENT MANAGEMENT, LLC	FIDUCIARY ASSET MANAGEMENT LLC	Feb 17, 2011	Mar 3, 2009	-716	Firm change after gap	Other

Relationships

Registered with (3)

→ PIPER SANDLER & CO.Registered adviserregistration: current employment
Aug 5, 2016 to presentfactForm ADV
→ PIPER JAFFRAY INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Apr 4, 2012 to Aug 5, 2016factForm ADV
→ FIDUCIARY ASSET MANAGEMENT LLCRegistered adviserregistration: previous registration
Mar 3, 2009 to Apr 5, 2012factForm ADV

Dated events

No dated event names this entity yet.