Investment adviser · CRD 145876

PIPER JAFFRAY INVESTMENT MANAGEMENT, LLC

Investment adviser filing (IA)

MINNEAPOLIS, MN, United States · Form ADV filed Mar 31, 2021

Regulatory AUM
$1.48M
Form ADV · Item 5.F
Client accounts
1
Accounts, not individual clients
Employees
2
Reported in this filing
Advisory professionals
2
Investment advisory functions

Who they report serving

Form ADV · Item 5.D

Client types and their share of reported regulatory assets.

Client typeClientsRegulatory assetsShare of AUM
Pooled investment vehicles1$1,479,853100.0%
Filing source

Form ADV 1526090 · Mar 31, 2021 · Item 5.D

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Private funds & service providers

5 Private funds

The count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.

PIPER JAFFRAY SENIOR LIVING FUND I, L.P.Private Equity Fund · Last reported Mar 31, 2021$3.78MGross asset value

Form D fundraising filings

Piper Jaffray Senior Living Fund I, L.P.

Fund administrator ULTIMUS FUND SOLUTIONS ROLLING MEADOWS, Illinois, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor ERNST & YOUNG, LLP MINNEAPOLIS, Minnesota, United States
Custodian U.S. BANK NATIONAL ASSOCIATION CINCINNATI, Ohio, United States Related to adviser: No
Marketer PIPER SANDLER & CO. MINNEAPOLIS, Minnesota, United States Related to adviser: Yes
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
Yes

ERNST & YOUNG, LLP
PCAOB 42

PIPER SANDLER & CO.
CRD 665 · SEC 801-108049

Fund details & source
Fund ID
805-9664513649
Reported beneficial owners
26
Minimum commitment
$250K
Form D file number
021-208973

Form ADV 1526090 · Mar 31, 2021 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

PIPER JAFFRAY MUNICIPAL OPPORTUNITIES FUND II, LPHedge Fund · Last reported Mar 18, 2019$416MGross asset value

Form D fundraising filings

Piper Jaffray Municipal Opportunities Fund II, L.P.

Auditor ERNST & YOUNG, LLP MINNEAPOLIS, Minnesota, United States
Custodian PERSHING LLC JERSEY CITY, New Jersey, United States Related to adviser: No
Prime broker PERSHING LLC JERSEY CITY, New Jersey, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
No
External marketing
No

ERNST & YOUNG, LLP
PCAOB 42

PERSHING LLC
SEC 8-17574

PERSHING LLC
CRD 7560 · SEC 8-17574

Fund details & source
Fund ID
805-3692840707
Reported beneficial owners
2
Minimum commitment
$250K
Form D file number
021-181759

Form ADV 1294344 · Mar 18, 2019 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

PIPER JAFFRAY MUNICIPAL OPPORTUNITIES FUND, LPHedge Fund · Last reported Mar 30, 2015$357MGross asset value

Form D fundraising filings

Piper Jaffray Municipal Opportunities Fund, L.P.

Feeder funds

Fund administrator WOODFIELD FUND ADMINISTRATION ROLLING MEADOWS, Illinois, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor ERNST & YOUNG, LLP MINNEAPOLIS, Minnesota, United States
Custodian PERSHING LLC JERSEY CITY, New Jersey, United States Related to adviser: No
Marketer FRONTIER SOLUTIONS, LLC ATLANTA, Georgia, United States Related to adviser: No
Marketer MMX MANAGEMENT LLC MINNETONKA, Minnesota, United States Related to adviser: No
Marketer PIPER JAFFRAY & CO. MINNEAPOLIS, Minnesota, United States Related to adviser: Yes
Prime broker PERSHING LLC JERSEY CITY, New Jersey, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
Yes

PERSHING LLC
SEC 8-17574

FRONTIER SOLUTIONS, LLC
CRD 136102 · SEC 8-66972

PIPER JAFFRAY & CO.
CRD 665 · SEC 8-15204

PERSHING LLC
CRD 7560 · SEC 8-17574

Fund details & source
Fund ID
805-2892126909
Reported beneficial owners
34
Minimum commitment
$250K
Form D file number
021-153024

Form ADV 890096 · Mar 30, 2015 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

PIPER JAFFRAY MERCHANT BANKING FUND I, LPPrivate Equity Fund · Last reported Oct 16, 2012$81MGross asset value
Auditor ERNST & YOUNG, LLP MINNEAPOLIS, Minnesota, United States
Custodian PIPER JAFFRAY & CO. MINNEAPOLIS, Minnesota, United States Related to adviser: Yes
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
No
External marketing
No

PIPER JAFFRAY & CO.
SEC 8-15204

Fund details & source
Fund ID
805-6706209986
Reported beneficial owners
11
Minimum commitment
$5M
Form D file number
021-174490

Form ADV 674913 · Oct 16, 2012 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

PJC MERCHANT BANKING PARTNERS III, LLCPrivate Equity Fund · Last reported Oct 16, 2012$4.13MGross asset value
Auditor ERNST & YOUNG, LLP MINNEAPOLIS, Minnesota, United States
Custodian PIPER JAFFRAY & CO. MINNEAPOLIS, Minnesota, United States Related to adviser: Yes
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
No
External marketing
No

PIPER JAFFRAY & CO.
SEC 8-15204

Fund details & source
Fund ID
805-7499119798
Reported beneficial owners
21
Minimum commitment
$100K
Form D file number
021-174843

Form ADV 674913 · Oct 16, 2012 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Services & filing details

Most recent filing: Mar 31, 2021. View historical filings

Reported services

Pooled investment vehicle management

Compensation

Percentage of assets · Performance-based

Principal office

800 NICOLLET MALL, SUITE 900
MINNEAPOLIS, MN, 55402, United States

CRD 145876

Filing source

Form ADV 1526090 · Mar 31, 2021 · Items 1 & 5

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.