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PIPER SANDLER ADVISORS LLC

MINNEAPOLIS, MN · CRD 307823 · IAPD ↗ · 800-333-6000

$364.6MRegulatory AUM
7Advisory reps
10Employees
0Clients
n/aPlanning clients
2Private funds
3States
3Disclosures
fundSegment
ApprovedSEC status

Filing changes

48
January 2025 — PIPER SANDLER ADVISORS LLC (MINNEAPOLIS, MN) left the SEC roster (was $364.6M RAUM, 7 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
38
November 2024 — PIPER SANDLER ADVISORS LLC's Item 11 disclosure-reporting entries rose by 3 (0 -> 3).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
58
April 2024 — PIPER SANDLER ADVISORS LLC grew from 2 to 7 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.