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.
Former SEC-registered adviser
Piper Sandler Finance Management, LLC
Latest filing Mar 14, 2024
First filing on the tape May 13, 2020 · 9 filings
SEC status approved since Jun 12, 2020
RAUM
$290M
reported, Item 5.F
Discretionary
0.0%
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
6 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$290M as of Mar 14, 2024
Mar 31, 2021$0 then
HNW client RAUM$0 as of Mar 14, 2024
Mar 31, 2021$0 then
State-registered IARs (5.B.3)0 as of Mar 14, 2024
Mar 31, 20210 then
Employees (5.A)19 as of Mar 14, 2024
Mar 31, 20219 then
Private funds: no history
RAUM +0.0% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 14, 2024; 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
- $145MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +0.0%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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$290M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 2reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- absent from the latest SEC rosterderived
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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Amrit Agrawal · Chief Investment Officercontrolsince 05/2020 · owns less than 5%
- Lynn Alyssa Ballis · Chief Compliance Officercontrolsince 01/2024 · owns less than 5%
- Douglas James Chiarelli · Chief Operating Officercontrolsince 05/2020 · owns less than 5%
- Patricia Katherine Clune · Chief Financial Officercontrolsince 01/2024 · owns less than 5%
- James Robert Lauria · Managing Directorcontrolsince 05/2020 · owns less than 5%
- Martell James Martin · Secretarycontrolsince 05/2020 · owns less than 5%
- Lans Leonard Sheer · Presidentcontrolsince 05/2020 · 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 adviserpooled vehicle sponsornRAUM $365M
- Piper Sandler Ltd.broker-dealerinvestment adviserpooled vehicle sponsorn
- Psc Capital Partners LLCinvestment adviserpooled vehicle sponsornRAUM $241M
Advisers that list Piper Sandler Finance Management, LLC as a related person
Offices
Schedule D 1.F, the 25 largest
- New York, NY5 employees
- Chicago, IL1 employees
What changed
consecutive filings, newest first
- Employees · 18 to 19Apr 24, 2023 to Mar 14, 2024
- BD registered reps · 6 to 12Dec 19, 2022 to Mar 28, 2023
- Employees · 10 to 18Dec 19, 2022 to Mar 28, 2023
- Accounts · 0 to 2Mar 31, 2021 to Mar 31, 2022
- Advisory employees · 9 to 6Mar 31, 2021 to Mar 31, 2022
- BD registered reps · 7 to 6Mar 31, 2021 to Mar 31, 2022
- Pooled vehicle clients · 0 to 2Mar 31, 2021 to Mar 31, 2022
- Custody of client assets · true to falseMar 31, 2021 to Mar 31, 2022
- Employees · 9 to 10Mar 31, 2021 to Mar 31, 2022
- Non-discretionary RAUM · $0 to $290MMar 31, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $0 to $290MMar 31, 2021 to Mar 31, 2022
- RAUM · $0 to $290MMar 31, 2021 to Mar 31, 2022
- Advisory employees · 12 to 9Sep 10, 2020 to Mar 31, 2021
- BD registered reps · 5 to 7Sep 10, 2020 to Mar 31, 2021
- Charity clients · unset to 0.0Sep 10, 2020 to Mar 31, 2021
- Corporate clients · unset to 0.0Sep 10, 2020 to Mar 31, 2021
- HNW clients · unset to 0.0Sep 10, 2020 to Mar 31, 2021
- Individual clients · unset to 0.0Sep 10, 2020 to Mar 31, 2021
- Pension plan clients · unset to 0.0Sep 10, 2020 to Mar 31, 2021
- Pooled vehicle clients · unset to 0.0Sep 10, 2020 to Mar 31, 2021
- Employees · 12 to 9Sep 10, 2020 to Mar 31, 2021
- HNW RAUM · unset to 0.0Sep 10, 2020 to Mar 31, 2021
- Individual RAUM · unset to 0.0Sep 10, 2020 to Mar 31, 2021
- Pension RAUM · unset to 0.0Sep 10, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · unset to 0.0Sep 10, 2020 to Mar 31, 2021
- Business name · PIPER SANDLER FINANCE MANAGEMENT to PIPER SANDLER FINANCE MANAGEMENT, LLCMay 13, 2020 to Aug 27, 2020
Signals
8 dated events
- Piper Sandler Finance Management, Llc no longer on the SEC adviser roster (last listed 2025-01-02, RAUM $290.0M)Feb 3, 2025 · Left the SEC roster · derived
- Lynn Alyssa Ballis (Chief Compliance Officer) appeared on Schedule A of Piper Sandler Finance Management, LlcMar 14, 2024 · Control person joined · fact
- Patricia Katherine Clune (Chief Financial Officer) appeared on Schedule A of Piper Sandler Finance Management, LlcMar 14, 2024 · Control person joined · fact
- Lee Timothy Carter (Cfo & Treasurer) no longer on Schedule A of Piper Sandler Finance Management, Llc (listed 2023-04-24, absent 2024-03-14)Mar 14, 2024 · Control person left · inference
- Tere Bridget Larsen (Chief Compliance Officer) no longer on Schedule A of Piper Sandler Finance Management, Llc (listed 2023-04-24, absent 2024-03-14)Mar 14, 2024 · Control person left · inference
- Anncharlotte Mccague (Chief Compliance Officer) no longer on Schedule A of Piper Sandler Finance Management, Llc (listed 2022-03-31, absent 2022-12-19)Dec 19, 2022 · Control person left · inference
- Tere Bridget Larsen (Chief Compliance Officer) appeared on Schedule A of Piper Sandler Finance Management, LlcDec 19, 2022 · Control person joined · fact
- Piper Sandler Finance Management filed its initial SEC registration (Form ADV)May 13, 2020 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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
- Former SEC-registered adviserderiveda 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