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PIPER SANDLER & CO.

MINNEAPOLIS, MN · CRD 665 · IAPD ↗ · pipersandler.com · 612-303-6000

$1.28BRegulatory AUM
31Advisory reps
1402Employees
19Clients
n/aPlanning clients
0Private funds
10States
4Disclosures
institutionalSegment
ApprovedSEC status

Filing changes

37
April 2026 — PIPER SANDLER & CO. notice-filed in FL.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
40
April 2026 — PIPER SANDLER & CO. reported RAUM down 35% ($1.99B -> $1.28B).
Regulatory AUM down >=25% since last filing.
M&A & valuationRecruiting & transitions
45
April 2026 — PIPER SANDLER & CO. added office(s): 8 -> 9 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
70
April 2026 — PIPER SANDLER & CO. grew from 21 to 31 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
37
April 2025 — PIPER SANDLER & CO. notice-filed in OR.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
45
April 2025 — PIPER SANDLER & CO. added office(s): 7 -> 8 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
55
April 2025 — PIPER SANDLER & CO. reported RAUM up 26% ($1.58B -> $1.99B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
45
November 2024 — PIPER SANDLER & CO.'s Item 11 disclosure-reporting entries rose by 3 (6 -> 9).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
37
October 2024 — PIPER SANDLER & CO. notice-filed in CO.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
45
September 2024 — PIPER SANDLER & CO.'s Item 11 disclosure-reporting entries rose by 1 (5 -> 6).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
45
May 2024 — PIPER SANDLER & CO. added office(s): 6 -> 7 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
45
April 2024 — PIPER SANDLER & CO. shrank from 30 to 24 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation

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