AUM
Employee Count
Main Office
| Discretion | AUM |
|---|---|
| Discretionary | $0.0 |
| Non-Discretionary | $1.6 |
| Total | $1.6 |
| Client | AUM |
|---|---|
| Retail | $0.0 |
| Pooled | $0.0 |
| Institutional | $1.6 |
| Total | $1.6 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 0 | $0.0 |
| Average Individual AUM | $0 | |
| HNW | 0 | $0.0 |
| Average HNW AUM | $0 | |
| Retail Total | 0 | $0.0 |
| Average Retail AUM | $0 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
| Custodian | Location | AUM |
|---|
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $1.6 |
| Retail SMA AUM | $0.0 |
| Institutional SMA AUM | $1.6 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 0% | $0.0 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 66% | $1.0 |
| Municipal | 2% | $0.0 |
| Sovereign | 0% | $0.0 |
| IG Credit | 0% | $0.0 |
| HY Credit | 0% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 0% | $0.0 |
| Other Pools | 0% | $0.0 |
| Cash | 26% | $0.4 |
| Other | 5% | $0.1 |
| Total | 99% | $1.6 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| PIPER SANDLER ADVISORS LLC | $0.4 | 307823 | |
| PSC CAPITAL PARTNERS LLC | $0.3 | 165620 | |
| PIPER SANDLER FINANCE MANAGEMENT, LLC | $0.3 | 309345 | |
| PIPER HEARTLAND HEALTHCARE CAPITAL, LLC | $0.2 | 310044 | |
| PIPER SANDLER LTD. | $0.0 | broker-dealer | 163758 |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
10 active
| Name | Title |
|---|---|
| SCHONEMAN, DEBBRA LYNN | PRESIDENT; BOARD MEMBER |
| ABRAHAM, CHAD RICHARD | CHAIRMAN, CEO; BOARD MEMBER |
| GEELAN, JOHN WILLIAM JR. | CHIEF LEGAL OFFICER |
| COX, MICHAEL EDWARD | CO-HEAD OF EQUITIES; BOARD MEMBER |
| DOYLE, JONATHAN JAY | HEAD OF FINANCIAL SERVICES GROUP |
| DILLAHUNT, MICHAEL RAY | CO-HEAD INV BKG & CAP MKTS; BOARD MEMBER |
| LARSEN, BRIDGET TERE | CHIEF COMPLIANCE OFFICER |
| GERBER, JEREMY JOSEPH | CO HEAD OF PUBLIC FINANCE; BOARD MEMBER |
| CLUNE, KATHERINE PATRICIA | CFO; BOARD MEMBER |
ADVDB.CO • SOURCE: SEC
21 active representatives found, showing 20 random
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| JAY HERSHEY | MINNEAPOLIS | MN | S63|1995-03-15|S65|2011-07-28 | ||||||
| PAUL KELLEY | MINNEAPOLIS | MN | S63|2007-05-14|S66|2008-09-23 | ||||||
| ELLEN FRYS | MINNEAPOLIS | MN | S66|2014-04-05 | ||||||
| JASON MORK | MINNEAPOLIS | MN | S63|2008-05-09|S65|2015-12-21 | ||||||
| WILLIAM ARTH | MINNEAPOLIS | MN | S63|2011-02-10|S65|2009-07-28 | ||||||
| STEPHEN FINEGAN | MINNEAPOLIS | MN | S63|2016-08-15|S65|2017-06-30 | ||||||
| DAVID JENSEN | MINNEAPOLIS | MN | S63|1994-11-11|S65|2010-09-03 | ||||||
| PAUL ASHENFELTER | MINNEAPOLIS | MN | S66|2012-03-30 | ||||||
| RICHARD HATTON | MINNEAPOLIS | MN | S66|2000-09-21 | CHARTERED FINANCIAL ANALYST | |||||
| MARK CIECIURA | MINNEAPOLIS | MN | S63|1983-03-25|S65|2011-05-24 | ||||||
| KYLE JAVES | MINNEAPOLIS | MN | S63|2007-08-09|S65|2011-06-13 | ||||||
| BARBARA WOLTER | MINNEAPOLIS | MN | S63|1996-09-20|S66|2008-09-19 | ||||||
| GREGORY HAGEN | MINNEAPOLIS | MN | S63|1996-12-05|S65|2010-09-01 | ||||||
| JONATHAN SEARLES | MINNEAPOLIS | MN | S66|2009-07-20 | ||||||
| JACOB LUBELL | MINNEAPOLIS | MN | S66|2023-02-28 | ||||||
| THOMAS LAFLEUR | MINNEAPOLIS | MN | S63|2011-09-19|S65|2011-04-07 | ||||||
| JASON BEDNAR | MINNEAPOLIS | MN | S66|2008-11-07 | ||||||
| RANDALL FENTZLAFF | MINNEAPOLIS | MN | S63|1987-10-16|S65|2015-10-20 | ||||||
| THOMAS WRIGHT | MINNEAPOLIS | MN | S63|1989-10-06|S65|2008-12-05 | ||||||
| JEFFREY MOEN | MINNEAPOLIS | MN | S63|1997-09-30|S65|2018-01-16 | ||||||
ADVDB.CO • SOURCE: SEC
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-03-06 | $1.6 | $0.0 | 0% | 1,335 | 0 | 0% |
| 2024-04-02 | $1.6 | $0.0 | 0% | 1,335 | 0 | 0% |
| 2023-04-04 | $1.4 | $0.2 | 12% | 1,330 | 5 | 0% |
| 2022-04-01 | $3.3 | -$1.7 | -52% | 1,253 | 82 | 7% |
| 2021-04-05 | $2.1 | -$0.5 | -24% | 1,128 | 207 | 18% |
| 2020-04-01 | $0.2 | $1.4 | 944% | 1,104 | 231 | 21% |
| 2019-04-01 | $0.2 | $1.4 | 801% | 760 | 575 | 76% |
| 2018-04-02 | $0.2 | $1.4 | 592% | 787 | 548 | 70% |
| 2017-04-01 | $0.4 | $1.2 | 301% | 805 | 530 | 66% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
| STATE REGISTRATIONS |
| MN, CO-09/03/2024, CT-03/27/2023, IL-08/05/2016, KS-01/31/2017, MN-08/04/2016, NY-01/31/2017, TN-03/27/2023, WI-01/31/2017 |
| ADVISER ACTIVITIES |
|
PORTFOLIO MANAGEMENT (SMB) |
| OTHER ACTIVITIES |
|
BROKER DEALER COMMODITY TRADING ADVISOR MUNICIPAL ADVISOR |
ADVDB.CO • SOURCE: SEC FORM ADV