9AT: PIPER SANDLER ADVISORS LLC

other names

Adviser Profile

As of Date	03/13/2024
Adviser Type - Large advisory firm
Number of Employees	10 -16.67%
of those in investment advisory functions	7 250.00%
Registration	SEC, Approved, 04/13/2020

AUM^*	364,606,276 -3.73%
of that, discretionary	364,606,276 -3.73%
Private Fund GAV^*	364,606,276
Avg Account Size	182,303,138 -3.73%
SMA’s	No
Private Funds	2
Contact Info	212 xxxxxxx

Client Types

- Pooled investment vehicles

Advisory Activities

- Portfolio management for pooled investment vehicles

Compensation Arrangments

- A percentage of assets under your management

Fund Type	Count	GAV
Fund TypeOther Private Fund	Count2	GAV$364,606,276

Adviser	Hedge Fund	Liquidity Fund	Private Equity Fund	Real Estate Fund	Securitized Asset Fund	Venture Capital Fund	Other Fund	Total Private Fund GAV	AUM	#Funds
Adviser HAVERFORD FINANCIAL SERVICES, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM346.9m	#Funds-
Adviser BELL ASSET MANAGEMENT USA INC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund383.3m	Total Private Fund GAV383.3m	AUM421.9m	#Funds2
Adviser UNION SQUARE GLOBAL WEALTH MANAGEMENT	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund236.8m	Total Private Fund GAV236.8m	AUM354.7m	#Funds2
Adviser FCA CORP	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund52.4m	Total Private Fund GAV52.4m	AUM465.4m	#Funds1
Adviser COLLAB+CURRENCY MANAGEMENT, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund462.9m	Total Private Fund GAV462.9m	AUM485.3m	#Funds3
Adviser BASTION MANAGEMENT II LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund299.2m	Total Private Fund GAV299.2m	AUM403.6m	#Funds5
Adviser RIVO ALTO CAPITAL FUNDING LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund11.5m	Total Private Fund GAV11.5m	AUM660.3m	#Funds1
Adviser BUILDGROUP MANAGEMENT	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund250.4m	Total Private Fund GAV250.4m	AUM371.3m	#Funds2
Adviser CEDAR STREET ASSET MANAGEMENT LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund253.1m	Total Private Fund GAV253.1m	AUM632.8m	#Funds2
Adviser RYE BROOK CAPITAL, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund116.3m	Total Private Fund GAV116.3m	AUM475.0m	#Funds2

Brochure Summary

Overview

This disclosure document deals solely with the Piper Sandler Advisors LLC. This document provides information about Piper Sandler Advisors LLC and its asset management strategies that should be considered before becoming an advisory client of Piper Sandler Advisors LLC. This information has not been approved by any governmental authority. General Information and Investment Advisory Services Relating to Piper Sandler Advisors LLC Program Piper Sandler Advisors LLC manages the securities held by special-purpose entities known as collateralized debt obligations or CDOs. Those securities typically consist of trust preferred, subordinated debt and other securities issued by various financial institutions. We currently serve as the collateral manager to two CDOs. We have entered into collateral management agreements with each of those CDOs, which set forth the terms under which we advise the CDOs on the selection, purchase and sale of securities, hedging strategies and

other matters. Our CDO clients generally follow a “buy and hold” strategy and are not actively managed. In connection with our collateral management services, we also offer advice regarding swaps and other derivatives to which our CDO clients may be a party. Assets Under Management We managed $364,606,276 in client assets as of December 31, 2023. Our method for computing client assets is the same as the method we used to compute assets under management in our Form ADV Part I. Additional Information Relating to Piper Sandler & Co. Piper Sandler Advisors LLC has affiliated investment advisory companies Piper Sandler & Co; Piper Heartland Healthcare Capital, LLC,; PSC Capital Partners LLC; and Piper Sandler Finance Management, LLC. – all of which are wholly owned subsidiaries of Piper Sandler Companies (NYSE: PIPR) and affiliated SEC-registered investment advisers providing advisory services to private funds and/or pooled investment vehicles.

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PIPER SANDLER ADVISORS LLC

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Brochure Summary

Overview