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Original filing (PDF)20251103132255NAL0016348962001
PIPER SANDLER COMPANIES
Form 5500
FILING_RECEIVED
PIPER SANDLER COMPANIES RETIREMENT PLAN
401(k) retirement plan
Signals · 1
No recordkeeper disclosed
Active participants
1,719
Accounts w/ balance
2,719
Plan assets (EOY)
$692.1M
Net assets (EOY)
$692.0M
How this plan invests
This plan
1 pooled trust
Schedule D
20 securities
funds · stocks · CUSIPs
Holdings are itemized directly on this plan's Schedule of Assets, below.
Plan health score (directional)
98
/ 100
Grade A
Top-tier plan health
Directional indicator computed from public Form 5500 data — compliance, concentration, cost, vendor stack and participation. Not a fiduciary tool.
Compliance & disclosures
100
Concentration risk
100
Total plan cost
100
Vendor stack
80
Participation health
100
Knocking points off
- No recordkeeper disclosed on Schedule C.
Helping the score
- Below-peer total fees (3 bps vs 6 bps peer median).
Decision-maker contacts
CFO / Head of HR / Benefits Manager — verified email + LinkedIn for PIPER SANDLER COMPANIES.
Plan sponsor
Name
PIPER SANDLER COMPANIES
EIN
30-0168701
Address
800 NICOLLET MALL · MINNEAPOLIS, MN · 55402
Phone
(612) 303-6246
Industry
Finance & Insurancesee all
Plan administrator
Same as plan sponsor.
Plan characteristics
Plan number
001
Plan year
2024
Plan year begin
2024-01-01
Tax period
2024-12-31
Filed
2025-11-03
Pension benefit codes
2E · Profit-sharing
2F · ERISA section 404(c)
2G · Total participant-directed accounts
2J · 401(k) feature
2K · 401(m) arrangement
2R · Participant-directed brokerage (SDBA)
2S · Automatic enrollment
2T · Default investment account (QDIA)
3F · Sponsor used leased employees
3H · Sponsor in controlled / affiliated group
Audit & trust (Schedule H)
Auditor
ERNST & YOUNG, LLP
Trustee / custodian
—
Trustee phone
—
Service providers (Schedule C)
4 rowsOther
4| Name | EIN | Location | Relation | Direct comp | Indirect comp |
|---|---|---|---|---|---|
| SCHWAB RETIREMENT PLAN SERVICES INC | 34-1479833 | — | NONE | $176K | — |
| CARLSON CAPITAL MANAGEMENT LLC | 47-2510641 | — | NONE | $11K | — |
| TEALWOOD ASSET MANAGEMENT INC | 41-1569172 | — | NONE | $6K | — |
| CHARLES SCHWAB & CO., INC. | 94-1737782 | — | NONE | $4K | — |
Investments
19 direct securities · 1 pooled fund· $678.6M(98% of reported assets)
Rows tagged as a trust or pooled fund hold many underlying securities. Click one to drill into its own Schedule of Assets — where the individual funds, shares, and CUSIPs live.
Uncategorized
$650.0M
19 holdings
Common Collective Trust
$28.6M
1 holding
| PI | Investment | Type | Shares / units | Cost | Current value | % of plan |
|---|---|---|---|---|---|---|
| SCHWAB S&P 500 INDEX FUND Registered Investment Company | — | — | — | $135.2M | 19.5% | |
| JPMORGAN LARGE CAP GROWTH R6 Registered Investment Company | — | — | — | $117.4M | 17.0% | |
| DODGE & COX INCOME X Registered Investment Company | — | — | — | $85.9M | 12.4% | |
| JP MORGAN EQUITY INCOME R6 Registered Investment Company | — | — | — | $56.5M | 8.2% | |
| PCRA Self-Directed Brokerage Account | — | — | — | $49.9M | 7.2% | |
| LORD ABBETT DEVELOPING GRTH I Registered Investment Company | — | — | — | $44.3M | 6.4% | |
| EUROPACIFIC GROWTH R6 Registered Investment Company | — | — | — | $38.0M | 5.5% | |
| ALLSPRING SPE SMALL CAP VAL R6 Registered Investment Company | — | — | — | $34.3M | 5.0% | |
| GALLIARD STABLE RETURN FUND C1 SEI TRUST COMPANY · EIN 52-2250946 / PN 001 | Common Collective Trust | — | — | $28.6M | 4.1% | |
| VANGUARD GLOBAL EQUITY INV Registered Investment Company | — | — | — | $15.4M | 2.2% | |
| VANGUARD EXTENDED MKT IDX INST Registered Investment Company | — | — | — | $13.7M | 2.0% | |
| AMERICAN FDS INVEST CO AMER R6 Registered Investment Company | — | — | — | $12.4M | 1.8% | |
| VGD DEVELOPED MKTS INDX INST Registered Investment Company | — | — | — | $8.9M | 1.3% | |
| VANGUARD TOTAL BD MKT IDX INST Registered Investment Company | — | — | — | $8.5M | 1.2% | |
| INVESCO OPPE DEVELOPING MKTS Y Registered Investment Company | — | — | — | $6.8M | 1.0% | |
| VANGUARD FTSE SOCIAL INSTL Registered Investment Company | — | — | — | $5.6M | 0.8% | |
| AMERICAN FUNDS US GOV SEC R6 Registered Investment Company | — | — | — | $5.4M | 0.8% | |
| AMERICAN FD HI INC TRUST R6 Registered Investment Company | — | — | — | $5.2M | 0.8% | |
| NUVEEN REAL ESTATE SEC SEL R6 Registered Investment Company | — | — | — | $4.3M | 0.6% | |
| PARTICIPANT LOANS (4.25% - 9.75%) | — | — | — | $2.2M | 0.3% |