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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