9AT: PIPER SANDLER ADVISORS LLC

PIPER SANDLER ADVISORS LLC

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PIPER SANDLER ADVISORS LLC

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Adviser Profile

Registration status

Terminated

As of Date	12/08/2024
Adviser Type - Large advisory firm
Number of Employees	10 -9.09%
of those in investment advisory functions	7 250.00%

AUM^*	364,606,276 -3.73%
of that, discretionary	364,606,276 -3.73%
Private Fund GAV^*	0 -100.00%
Avg Account Size	182,303,138 -3.73%
SMA’s	No
Private Funds	0 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

Reported AUM

401M 344M 287M 229M 172M 115M 57M

2020 2021 2022 2023

Discretionary

Non-discretionary

Private Funds

GAV Count

Employees

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.