DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Psc Capital Partners LLC
Latest filing Mar 26, 2026
First filing on the tape Nov 9, 2012 · 32 filings
SEC status approved since Nov 30, 2012
RAUM
$241M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
19
7 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
6
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$241M as of Mar 26, 2026
Mar 22, 2013$104M then
HNW client RAUM$0 as of Mar 26, 2026
Mar 31, 2021$0 then
State-registered IARs (5.B.3)0 as of Mar 26, 2026
Mar 22, 20130 then
Employees (5.A)19 as of Mar 26, 2026
Mar 22, 20135 then
Private funds6 as of Mar 26, 2026
Mar 22, 20132 then
RAUM -3.9% over the last fiscal year-9.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 26, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $40.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -3.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $143M, 6 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$241M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 6reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $143M for 6 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=15.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Piper Sandler Merchant Banking Fund II, LP | Private Equity Fund | $167M | 82 | Mar 29, 2018 |
| Piper Sandler Merchant Banking Fund III, L.P. | Private Equity Fund | $75.2M | 35 | Dec 21, 2022 |
| Piper Sandler Merchant Banking Fund III Employee, L.P. | Private Equity Fund | $31.9M | 63 | Dec 21, 2022 |
| Piper Sandler Merchant Banking Fund I, LP | Private Equity Fund | $24.7M | 17 | Aug 1, 2012 |
| Pjc Merchant Banking Partners IV, LLC | Private Equity Fund | $1.1M | 20 | Mar 31, 2015 |
| Pjc Merchant Banking Partners III, LLC | Private Equity Fund | $887,336 | 20 | Aug 1, 2012 |
Owners and control persons
Schedule A and B, latest filing
- Lynn Alyssa Ballis · Chief Compliance Officercontrolsince 12/2022 · owns less than 5%
- John Theodore Christianson · Chief Executive Officercontrolsince 01/2022 · owns less than 5%
- Patricia Katherine Clune · Chief Financial Officercontrolsince 01/2024 · owns less than 5%
- Martell James Martin · Secretarycontrolsince 09/2012 · owns less than 5%
Entity owners
- Piper Sandler Investment Group Inc. · Memberdirect · owns 75% or more
- Piper Sandler Companies · Parentindirect · owns 75% or more of Piper Sandler Investment Group Inc. · public reporting company
Related persons
Schedule D 7.A
- Piper Heartland Healthcare Capital, LLCinvestment adviserpooled vehicle sponsornRAUM $218M
- Piper Sandler & Co.broker-dealerinvestment adviserbanknRAUM $1.3B
- Piper Sandler Advisors LLCinvestment advisernRAUM $365M
- Piper Sandler Finance Management, LLCinvestment advisernRAUM $290M
- Piper Sandler Ltd.broker-dealerinvestment adviserpooled vehicle sponsorn
Advisers that list Psc Capital Partners LLC as a related person
Offices
Schedule D 1.F, the 25 largest
- Charlotte, NC1 employees
- New York, NY
What changed
consecutive filings, newest first
- BD registered reps · 16 to 15Jul 14, 2025 to Mar 26, 2026
- Assets in custody · $142M to $143MJul 14, 2025 to Mar 26, 2026
- Employees · 18 to 19Jul 14, 2025 to Mar 26, 2026
- Discretionary RAUM · $251M to $241MJul 14, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $251M to $241MJul 14, 2025 to Mar 26, 2026
- RAUM · $251M to $241MJul 14, 2025 to Mar 26, 2026
- Financial planning clients · unset to Mar 28, 2025 to Jul 14, 2025
- Advisory employees · 8 to 7May 7, 2024 to Mar 28, 2025
- Assets in custody · $180M to $142MMay 7, 2024 to Mar 28, 2025
- Other offices · 2 to 1May 7, 2024 to Mar 28, 2025
- Discretionary RAUM · $301M to $251MMay 7, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $301M to $251MMay 7, 2024 to Mar 28, 2025
- RAUM · $301M to $251MMay 7, 2024 to Mar 28, 2025
- BD registered reps · 14 to 16Apr 26, 2023 to Mar 27, 2024
- Assets in custody · $197M to $180MApr 26, 2023 to Mar 27, 2024
- Employees · 15 to 18Apr 26, 2023 to Mar 27, 2024
- Other offices · 1 to 2Apr 26, 2023 to Mar 27, 2024
- Discretionary RAUM · $330M to $301MApr 26, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $330M to $301MApr 26, 2023 to Mar 27, 2024
- RAUM · $330M to $301MApr 26, 2023 to Mar 27, 2024
- Discretionary RAUM · $329M to $330MMar 29, 2023 to Apr 26, 2023
- Pooled vehicle RAUM · $329M to $330MMar 29, 2023 to Apr 26, 2023
- RAUM · $329M to $330MMar 29, 2023 to Apr 26, 2023
- Accounts · 4 to 6Dec 21, 2022 to Mar 29, 2023
- Advisory employees · 6 to 8Dec 21, 2022 to Mar 29, 2023
- BD registered reps · 5 to 14Dec 21, 2022 to Mar 29, 2023
- Pooled vehicle clients · 4 to 6Dec 21, 2022 to Mar 29, 2023
- Assets in custody · $239M to $197MDec 21, 2022 to Mar 29, 2023
- Employees · 8 to 15Dec 21, 2022 to Mar 29, 2023
- Discretionary RAUM · $239M to $329MDec 21, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $239M to $329MDec 21, 2022 to Mar 29, 2023
- RAUM · $239M to $329MDec 21, 2022 to Mar 29, 2023
- Private funds · 4 to 6Mar 31, 2022 to Dec 21, 2022
- Assets in custody · unset to 238876276.0Mar 30, 2022 to Mar 31, 2022
- Custody of client assets · false to trueMar 30, 2022 to Mar 31, 2022
- Advisory employees · 4 to 6Jan 10, 2022 to Mar 30, 2022
- BD registered reps · 4 to 5Jan 10, 2022 to Mar 30, 2022
- Assets in custody · 133068289.0 to unsetJan 10, 2022 to Mar 30, 2022
- Custody of client assets · true to falseJan 10, 2022 to Mar 30, 2022
- Employees · 7 to 8Jan 10, 2022 to Mar 30, 2022
Signals
9 dated events
- Lee Timothy Carter (Cfo & Treasurer) no longer on Schedule A of Psc Capital Partners Llc (listed 2023-04-26, absent 2024-03-27)Mar 27, 2024 · Control person left · inference
- Patricia Katherine Clune (Chief Financial Officer) appeared on Schedule A of Psc Capital Partners LlcMar 27, 2024 · Control person joined · fact
- William John Geelan (Secretary) no longer on Schedule A of Psc Capital Partners Llc (listed 2022-12-21, absent 2023-03-29)Mar 29, 2023 · Control person left · inference
- Lynn Alyssa Ballis (Chief Compliance Officer) appeared on Schedule A of Psc Capital Partners LlcDec 21, 2022 · Control person joined · fact
- Anncharlotte Mccague (Chief Compliance Officer) no longer on Schedule A of Psc Capital Partners Llc (listed 2022-03-31, absent 2022-12-21)Dec 21, 2022 · Control person left · inference
- Patrick Thomas Schnettler (Co-Chief Executive Officer) no longer on Schedule A of Psc Capital Partners Llc (listed 2021-09-27, absent 2022-01-10)Jan 10, 2022 · Control person left · inference
- Pierson Robert Rinek (Co-Chief Executive Officer) no longer on Schedule A of Psc Capital Partners Llc (listed 2021-09-27, absent 2022-01-10)Jan 10, 2022 · Control person left · inference
- James Gregory Meyer (Chief Financial Officer) no longer on Schedule A of Psc Capital Partners Llc (listed 2020-02-04, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- Pjc Capital Partners Llc filed its initial SEC registration (Form ADV)Nov 9, 2012 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- PSC Capital Partners LLC · Independent Sponsorsshared crd · capital_provider
- PSC Capital Partners LLC · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- pipersandler.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 612-303-6000reportedpublic record, Form ADV, Mar 26, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026