PIPER SANDLER ADVISORS LLC – investment adviser, $382M regulatory AUM (Form ADV)

Who they report serving

Form ADV · Item 5.D

Client types and their share of reported regulatory assets.

Client type	Clients	Regulatory assets	Share of AUM
Pooled investment vehicles	2	$382,119,000	100.0%

Filing source

Form ADV 1407910 · Mar 30, 2020 · 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

3 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.

MMCAPS FUNDING XVIII, LTD.Other Private Fund · Last reported Mar 30, 2020$276MGross asset value

Fund administrator MAPLES FS LIMITED GEORGE TOWN, GRAND CAYMAN, Cayman Islands Investor statements: No (provided to no investors) Related to adviser: No

Fund administrator VIRTUS PARTNERS, LLC HOUSTON, Texas, United States Investor statements: No (provided to no investors) Related to adviser: No

Custodian CITIBANK, N.A. NEW YORK, New York, United States Related to adviser: No

Provider details

Annual audit: No
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

Fund details & source

Fund ID: 805-4169554671
Reported beneficial owners: 15
Minimum commitment: $100K

Form ADV 1407910 · Mar 30, 2020 · 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.

MMCAPS FUNDING XVII, LTD.Other Private Fund · Last reported Mar 30, 2020$174MGross asset value

Fund administrator MAPLES FS LIMITED GEORGE TOWN, GRAND CAYMAN, Cayman Islands Investor statements: No (provided to no investors) Related to adviser: No

Custodian BANK OF NEW YORK MELLON, NA PITTSBURGH, Pennsylvania, United States Related to adviser: No

Provider details

Annual audit: No
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

Fund details & source

Fund ID: 805-3838927879
Reported beneficial owners: 24
Minimum commitment: $100K

Form ADV 1407910 · Mar 30, 2020 · 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.

MMCAPS FUNDING XIX, LTD.Other Private Fund · Last reported Mar 25, 2015$363MGross asset value

Fund administrator MAPLES FS LIMITED GEORGE TOWN, GRAND CAYMAN, Cayman Islands Investor statements: No (provided to no investors) Related to adviser: No

Fund administrator VIRTUS PARTNERS, LLC HOUSTON, Texas, United States Investor statements: No (provided to no investors) Related to adviser: No

Custodian CITIBANK, N.A. NEW YORK, New York, United States Related to adviser: No

Provider details

Annual audit: No
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

Fund details & source

Fund ID: 805-5129499994
Reported beneficial owners: 32
Minimum commitment: $100K

Form ADV 886620 · Mar 25, 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.

Services & filing details

Most recent filing: Mar 30, 2020. View historical filings

Reported services

Pooled investment vehicle management · Business portfolio management

Compensation

Percentage of assets · Subscription · Fixed · Performance-based

Principal office

1251 AVENUE OF THE AMERICAS, 6TH FLOOR
NEW YORK, NY, 10020-1104, United States

CRD 134172

Filing source

Form ADV 1407910 · Mar 30, 2020 · 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.