PIPER JAFFRAY INVESTMENT MANAGEMENT, LLC
PIPER JAFFRAY INVESTMENT MANAGEMENT, LLC of MINNEAPOLIS, MN is an SEC-registered investment adviser (CRD 145876). Regulatory assets under management: $1.5M.
Registration
- CRD: 145876
- SEC file number: 801-68637
- Type: Registered investment adviser
- Location: 800 NICOLLET MALL, SUITE 900, MINNEAPOLIS, MN, 55402
- Phone: 612-303-6000
- Latest filing: 2021-03-31
- Regulatory AUM: $1.5M
- Discretionary AUM: $1.5M
- Clients: 2
- Accounts: 1
Officers, owners & control persons (13)
| Name | Role | Location |
|---|
| Carter P Lee | CHIEF FINANCIAL OFFICER | Midvale, UT |
| Duff Michael Scott | CHIEF EXECUTIVE OFFICER | Toronto, A6 |
| SMITH LORINE ANN | CHIEF COMPLIANCE OFFICER | — |
| SMITH M GREGORY | CHIEF OPERATING OFFICER | — |
| CHOSY JAMES LOUIS | CHIEF LEGAL OFFICER | — |
| SCHNETTLER THOMAS PATRICK | CO-PRESIDENT | — |
| PETERSON ROBERT WAYNE | MANAGING MEMBER | — |
| MCCAGUE ANNCHARLOTTE | CHIEF COMPLIANCE OFFICER | — |
| WINGES MARTIN BRADLEY | CO-PRESIDENT; MANAGING DIRECTOR; PRESIDENT | — |
| SCHONEMAN DEBBRA LYNN | CHIEF FINANCIAL OFFICER | — |
| WRIGHT THOMAS ELLIOTT | MANAGING DIRECTOR - CVS | — |
| BUCK DEXTER SAGE | CHIEF COMPLIANCE OFFICER | — |
| QUANT SHAWN CHRISTIAN | CHEIF OPERATING OFFICER; CHIEF OPERATING OFFICER; PRESIDENT & CHIEF OPERATING OFFICER | — |
Private funds (1)
| Fund | Type | Formed | Owners | Gross asset value | Min investment |
|---|
| PIPER JAFFRAY SENIOR LIVING FUND I, L.P. | Private Equity Fund | — | 26 | $3.8M | $250K |
Fund service providers (1)
- administrator: ULTIMUS FUND SOLUTIONS
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