Pjc Capital Partners LLC (Minneapolis)

Name: Pjc Capital Partners LLC
Address: 800 Nicollet Mall, Minneapolis, MN, 55402
Telephone: 612-303-6000

Pjc Capital Partners LLC is a large advisory firm based in Minneapolis. It manages $212.58 million of regulatory assets for 4 client accounts. It has been registered with the SEC as an adviser since 2012 and has operated in the jurisdiction of Minnesota.

Pjc Capital Partners provides portfolio management for pooled investment vehicles. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Pjc Capital Partners: assets under management

The assets under management (AUM) of Pjc Capital Partners LLC is $212.58 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 105% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $212.58 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $53.14 million each.

Pjc Capital Partners has custody of $105.92 million in cash and securities for 4 clients in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Pjc Capital Partners LLC for their services and products based on a percentage of assets under management and performance-based fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Pjc Capital Partners serves?

The only and largest group of clients of Pjc Capital Partners is pooled investment vehicles with 4 clients and $212.58 million of assets under management. Among the 11 most similar advisory firms, Pjc Capital Partners has the 2nd highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $212.58 million for 4 clients. None of the firm’s clients are foreign persons or businesses.

Pjc Capital Partners also advises several private funds. Namely, four private equity funds. The minimum investment commitment required of non-related persons ranges from $100,000 to $5,000,000.

Careers at Pjc Capital Partners LLC

The company employs 7 people that are either part- or full-time employees. 57 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There’s a single person with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Piper Jaffray Investment Group Inc.	Member	1 Sep 2012	75% - 100%	45-4853067
Thomas Patrick Schnettler	Co-chief executive officer	1 Sep 2012	Other	1544445
Robert Pierson Rinek	Co-chief executive officer	1 Sep 2012	Other	1081504
Ann Marie Phillips	Chief compliance officer	1 Sep 2012	Other	1841384
James Martell Martin	Chief legal officer	1 Sep 2012	Other	2328626
John William Geelan	Secretary	1 Sep 2012	Other	4905460
Timothy Lee Carter	Treasurer	1 Sep 2012	Other	2676342
Ann Marie Schmid	Chief compliance officer	1 Sep 2012	Other	1841384
Gregory James Meyer	Chief financial officer	1 Nov 2012	Other	4244891
Kimberly Ann Samrock	Chief compliance officer	1 Jan 2016	Other	4410238
Theodore John Christianson	Managing director	1 Feb 2017	Other	3112561
Anncharlotte Mccague	Chief compliance officer	1 Sep 2017	Other	1108448

Indirect Owners

The SEC currently registers 1 indirect owner.

Name	Entity	Date acquired	Ownership	Employer ID
Piper Jaffray Companies	Parent	1 Jul 2012	75% - 100%	30-0168701

Based in Minneapolis

The principal office where Pjc Capital Partners LLC performs its advisory services is located at 800 Nicollet Mall, Minneapolis, MN 55402, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 612-303-6000 or by fax 612-303-6295. The normal business hours are 8:00 am - 5:00 pm on Monday - Friday. You can find more information about the New York firm at piperjaffray.com.