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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

PIPER SANDLER ADVISORS LLC

CRD 307823

MINNEAPOLIS, MN

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:200524ec-9cb2-5df1-ecea-e63900ac02ce

Data as of Oct 3, 2024 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:01 AM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 4
On other graphs: 0
Observed: Mar 11, 2020 to Oct 3, 2024
9 observations

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

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $365MItem 5.F on the latest filing (2024-10-03); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $365M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 10
Advisory employees: 7
Offices: 2Schedule D 1.F, beyond the principal office
Accounts: 2
Individual clients: 0
High net worth clients: 0
Private funds: 2Schedule D 7.B(1)
Private fund GAV: $365Mgross asset value as reported per fund; never fund size
SEC number: 801-118415
CRD: 307823
Filings on the tape: 9
First filed: Mar 11, 2020
Latest filed: Oct 3, 2024
Organised: Limited Liability Company, Delaware

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
MMCAPS FUNDING XVIII, LTD.	Other Private Fund	$224M	Oct 3, 2024	15	Mar 29, 2012	reported	n/a
MMCAPS FUNDING XVII, LTD.	Other Private Fund	$140M	Oct 3, 2024	24	Mar 29, 2012	reported	n/a

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
BALLIS, ALYSSA, LYNN	CHIEF COMPLIANCE OFFICER	Na	yes	06/2023	Jun 1, 2023	Oct 3, 2024
DELLAPIETRA, MAY, FRANCES	MANAGING DIRECTOR AND TREASURER	Na	yes	06/2005	Mar 11, 2020	Oct 3, 2024
DOYLE, JONATHAN, JAY	SENIOR MANAGING PRINCIPAL	Na	yes	06/2005	Mar 11, 2020	Oct 3, 2024
PIPER SANDLER COMPANIES	PARENT COMPANY	E	yes	01/2020	Mar 11, 2020	Oct 3, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
PIPER SANDLER & CO.	n/a	Institutional manager	$1.3B	N	yes	n/a
PIPER SANDLER FINANCE MANAGEMENT, LLC	n/a	Former SEC adviser	$290M	N	yes	n/a
PSC CAPITAL PARTNERS LLC	n/a	Asset manager	$241M	N	yes	n/a
PIPER HEARTLAND HEALTHCARE CAPITAL, LLC	n/a	Asset manager	$218M	N	yes	n/a
PIPER SANDLER LTD.	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
NEW YORK	NY	United States	6	yes
WEST PALM BEACH	FL	United States	1	yes

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2023	Mar 13, 2024	$365M	$365M	10	7	2	2	$365M
2022	Mar 28, 2023	$379M	$379M	12	2	1	2	$379M
2021	Mar 30, 2022	$379M	$379M	7	2	0	2	$379M
2020	Mar 31, 2021	$401M	$401M	10	2	0	2	$401M

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2023	$365M	$379M	-3.7%	$401M	-3.1%	10	12	2	1

Relationships

Affiliated with (8)

← PSC CAPITAL PARTNERS LLCRegistered adviserother investment adviser, common control
factForm ADV
← PIPER HEARTLAND HEALTHCARE CAPITAL, LLCRegistered adviserother investment adviser, common control
factForm ADV
← PIPER SANDLER & CO.Registered adviserother investment adviser, common control
factForm ADV
→ PSC CAPITAL PARTNERS LLCRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ PIPER SANDLER FINANCE MANAGEMENT, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ PIPER HEARTLAND HEALTHCARE CAPITAL, LLCRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ PIPER SANDLER & CO.Registered adviserother investment adviser, broker-dealer, bank, common control
factForm ADV
← PIPER SANDLER FINANCE MANAGEMENT, LLCRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV

Advises (2)

→ MMCAPS FUNDING XVII, LTD.Private fundOther Private Fund, IA
Mar 29, 2012 to presentfactForm ADV
→ MMCAPS FUNDING XVIII, LTD.Private fundOther Private Fund, IA
Mar 29, 2012 to presentfactForm ADV

Controls (4)

← DOYLE, JONATHAN, JAYOwnerSENIOR MANAGING PRINCIPAL, ownership code NA, individual
Mar 11, 2020 to presentfactForm ADV
← BALLIS, ALYSSA, LYNNOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jun 1, 2023 to presentfactForm ADV
← DELLAPIETRA, MAY, FRANCESOwnerMANAGING DIRECTOR AND TREASURER, ownership code NA, individual
Mar 11, 2020 to presentfactForm ADV
← PIPER SANDLER COMPANIESOwnerPARENT COMPANY, ownership code E, domestic entity
Mar 11, 2020 to presentfactForm ADV

Dated events

Occurred
Jun 1, 2023
Control person joined
Lynn Alyssa Ballis (Chief Compliance Officer) appeared on Schedule A of Piper Sandler Advisors Llc
Form ADVobserved 4 days ago
Occurred
Jun 1, 2023
Control person left
Stephen Christopher Hooper (Managing Director, Secretary And Cco) no longer on Schedule A of Piper Sandler Advisors Llc (listed 2023-03-28, absent 2023-06-01)
Form ADVobserved 4 days ago
Occurred
Mar 11, 2020
Succession filed (Item 4)
Piper Sandler Advisors Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 4 days ago
Occurred
Mar 11, 2020
First Form ADV filing
Piper Sandler Advisors Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:200524ec-9cb2-5df1-ecea-e63900ac02ce
First observed: Mar 11, 2020
Last observed: Oct 3, 2024 23 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

PIPER SANDLER ADVISORS LLC

CRD 307823

MINNEAPOLIS, MN

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:200524ec-9cb2-5df1-ecea-e63900ac02ce

Data as of Oct 3, 2024 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:01 AM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

MMCAPS FUNDING XVIII, LTD.

Other Private Fund

$224M

Oct 3, 2024

Mar 29, 2012

reported

n/a

MMCAPS FUNDING XVII, LTD.

Other Private Fund

$140M

Oct 3, 2024

Mar 29, 2012

reported

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BALLIS, ALYSSA, LYNN

CHIEF COMPLIANCE OFFICER

yes

06/2023

Jun 1, 2023

Oct 3, 2024

DELLAPIETRA, MAY, FRANCES

MANAGING DIRECTOR AND TREASURER

yes

06/2005

Mar 11, 2020

Oct 3, 2024

DOYLE, JONATHAN, JAY

SENIOR MANAGING PRINCIPAL

yes

06/2005

Mar 11, 2020

Oct 3, 2024

PIPER SANDLER COMPANIES

PARENT COMPANY

yes

01/2020

Mar 11, 2020

Oct 3, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

PIPER SANDLER & CO.

n/a

Institutional manager

$1.3B

yes

n/a

PIPER SANDLER FINANCE MANAGEMENT, LLC

n/a

Former SEC adviser

$290M

yes

n/a

PSC CAPITAL PARTNERS LLC

n/a

Asset manager

$241M

yes

n/a

PIPER HEARTLAND HEALTHCARE CAPITAL, LLC

n/a

Asset manager

$218M

yes

n/a

PIPER SANDLER LTD.

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

NEW YORK

United States

yes

WEST PALM BEACH

United States

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2023

Mar 13, 2024

$365M

2022

Mar 28, 2023

$379M

2021

Mar 30, 2022

$379M

2020

Mar 31, 2021

$401M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2023

$365M

$379M

-3.7%

$401M

-3.1%