0001682021-19-000006.txt : 20190515 0001682021-19-000006.hdr.sgml : 20190515 20190515150851 ACCESSION NUMBER: 0001682021-19-000006 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190331 FILED AS OF DATE: 20190515 DATE AS OF CHANGE: 20190515 EFFECTIVENESS DATE: 20190515 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Vivaldi Capital Management, LLC CENTRAL INDEX KEY: 0001682021 IRS NUMBER: 453825664 STATE OF INCORPORATION: IL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-18047 FILM NUMBER: 19827452 BUSINESS ADDRESS: STREET 1: 225 W. WACKER DRIVE - SUITE 2100 CITY: CHICAGO STATE: IL ZIP: 60606 BUSINESS PHONE: 312-248-8300 MAIL ADDRESS: STREET 1: 225 W. WACKER DRIVE - SUITE 2100 CITY: CHICAGO STATE: IL ZIP: 60606 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001682021 XXXXXXXX 03-31-2019 03-31-2019 false Vivaldi Capital Management, LLC

225 W. Wacker Drive - Suite 2100 Chicago IL 60606

13F HOLDINGS REPORT 028-18047 N Jennifer Yong 312-248-8300 Jennifer Yong Chicago IL 05-15-2019 0 229 359713 INFORMATION TABLE 2 infotable.xml ABBOTT LABS Equity 002824100 1130 14130 SH SOLE 14130 0 0 ABBVIE INC Equity 00287Y109 1194 14813 SH SOLE 14813 0 0 ACCENTURE PLC IRELAND Equity G1151C101 377 2139 SH SOLE 2139 0 0 ACORDA THERAPEUTICS INC Equity 00484MAA4 13 15000 SH SOLE 15000 0 0 AIR LEASE CORP Equity 00912X302 576 16760 SH SOLE 16760 0 0 ALLIANCEBERNSTEIN GBL HGH IN Equity 01879R106 2028 174986 SH SOLE 174986 0 0 ALLIANCEBERNSTEIN NATL MUNI Equity 01864U106 3209 247822 SH SOLE 247822 0 0 ALPHABET INC Equity 02079K107 1473 1255 SH SOLE 1255 0 0 ALPS ETF TR Equity 00162Q866 934 93161 SH SOLE 93161 0 0 AMAZON COM INC Equity 023135106 807 453 SH SOLE 453 0 0 AMGEN INC Equity 031162100 301 1585 SH SOLE 1585 0 0 APPLE INC Equity 037833100 4616 24299 SH SOLE 24299 0 0 AT&T INC Equity 00206R102 771 24598 SH SOLE 24598 0 0 B RILEY FINL INC Equity 05580M108 4173 250000 SH SOLE 250000 0 0 BANK AMER CORP Equity 060505104 228 8264 SH SOLE 8264 0 0 BANK NEW YORK MELLON CORP Equity 064058100 425 8432 SH SOLE 8432 0 0 BERKSHIRE HATHAWAY INC DEL Equity 084670108 301 1 SH SOLE 1 0 0 BERKSHIRE HATHAWAY INC DEL Equity 084670702 1332 6632 SH SOLE 6632 0 0 BLACKROCK CALIF MUN INCOME T Equity 09248E102 292 22777 SH SOLE 22777 0 0 BLACKROCK CORPOR HI YLD FD I Equity 09255P107 2174 211879 SH SOLE 211879 0 0 BLACKROCK MUNI INTER DR FD I Equity 09253X102 2650 192478 SH SOLE 192478 0 0 BLACKROCK MUNIHLDNGS CALI QL Equity 09254L107 309 23297 SH SOLE 23297 0 0 BLACKROCK MUNIYIELD CALI QLT Equity 09254N103 172 12783 SH SOLE 12783 0 0 BOOKING HLDGS INC Equity 09857L108 229 131 SH SOLE 131 0 0 BORGWARNER INC Equity 099724106 825 21482 SH SOLE 21482 0 0 BROOKFIELD ASSET MGMT INC Equity 112585104 2866 61444 SH SOLE 61444 0 0 BSB BANCORP INC MD Equity 05573H108 355 10795 SH SOLE 10795 0 0 BUNGE LIMITED Equity G16962105 784 14770 SH SOLE 14770 0 0 CBOE GLOBAL MARKETS INC Equity 12503M108 954 10000 SH SOLE 10000 0 0 CBRE GROUP INC Equity 12504L109 248 5012 SH SOLE 5012 0 0 CELGENE CORP Equity 151020104 541 5739 SH SOLE 5739 0 0 CENTER COAST BRKFLD MLP ENRG Equity 151461100 108 13000 SH SOLE 13000 0 0 CF INDS HLDGS INC Equity 125269100 1095 26785 SH SOLE 26785 0 0 CHEVRON CORP NEW Equity 166764100 384 3116 SH SOLE 3116 0 0 CME GROUP INC Equity 12572Q105 1838 11168 SH SOLE 11168 0 0 CISCO SYS INC Equity 17275R102 593 10989 SH SOLE 10989 0 0 CITIGROUP INC Equity 172967424 1399 22491 SH SOLE 22491 0 0 CLEARBRIDGE MLP AND MIDSTRM Equity 184692101 195 15395 SH SOLE 15395 0 0 CLOROX CO DEL Equity 189054109 222 1384 SH SOLE 1384 0 0 COCA COLA CO Equity 191216100 332 7093 SH SOLE 7093 0 0 COLONY CAP INC Equity 19624RAB2 14 15000 SH SOLE 15000 0 0 COMCAST CORP NEW Equity 20030N101 329 8234 SH SOLE 8234 0 0 SELECT SECTOR SPDR TR Equity 81369Y407 1530 13440 SH SOLE 13440 0 0 CORNING INC Equity 219350105 999 30168 SH SOLE 30168 0 0 COSTCO WHSL CORP NEW Equity 22160K105 454 1874 SH SOLE 1874 0 0 DISCOVERY INC Equity 25470F302 705 27737 SH SOLE 27737 0 0 DISNEY WALT CO Equity 254687106 1108 9980 SH SOLE 9980 0 0 DNP SELECT INCOME FD Equity 23325P104 120 10400 SH SOLE 10400 0 0 DOUBLELINE INCOME SOLUTIONS Equity 258622109 201 10100 SH SOLE 10100 0 0 DOWDUPONT INC Equity 26078J100 359 6735 SH SOLE 6735 0 0 DREYFUS MUN BD INFRSTRCTR FD Equity 26203D101 1079 83273 SH SOLE 83273 0 0 DTF TAX-FREE INCOME INC Equity 23334J107 446 33696 SH SOLE 33696 0 0 EATON VANCE CA MUNI INCOME T Equity 27826F101 159 13284 SH SOLE 13284 0 0 EATON VANCE CALIF MUN BD FD Equity 27828A100 307 29106 SH SOLE 29106 0 0 EATON VANCE MUN BD FD Equity 27827X101 3297 265911 SH SOLE 265911 0 0 ECHO GLOBAL LOGISTICS INC Equity 27875TAA9 20 20000 SH SOLE 20000 0 0 ELEMENT SOLUTIONS INC Equity 28618M106 380 37615 SH SOLE 37615 0 0 ELLIE MAE INC Equity 28849P100 761 7716 SH SOLE 7716 0 0 ENBRIDGE INC Equity 29250N105 209 5754 SH SOLE 5754 0 0 SELECT SECTOR SPDR TR Equity 81369Y506 337 5093 SH SOLE 5093 0 0 EOG RES INC Equity 26875P101 809 8503 SH SOLE 8503 0 0 EXXON MOBIL CORP Equity 30231G102 1212 15001 SH SOLE 15001 0 0 FACEBOOK INC Equity 30303M102 748 4490 SH SOLE 4490 0 0 FEDEX CORP Equity 31428X106 1553 8560 SH SOLE 8560 0 0 FIFTH THIRD BANCORP Equity 316773100 210 8341 SH SOLE 8341 0 0 FIRST TR EXCH TRD ALPHA FD I Equity 33737J109 6851 225128 SH SOLE 225128 0 0 FIRST TR EXCHANGE-TRADED FD Equity 33739E108 191 10000 SH SOLE 10000 0 0 FREEPORT-MCMORAN INC Equity 35671D857 295 22901 SH SOLE 22901 0 0 GAMING & LEISURE PPTYS INC Equity 36467J108 1357 35195 SH SOLE 35195 0 0 GENERAL ELECTRIC CO Equity 369604103 218 21782 SH SOLE 21782 0 0 GLOBAL X FDS Equity 37950E473 448 50550 SH SOLE 50550 0 0 GOGO INC Equity 38046CAB5 15 15000 SH SOLE 15000 0 0 GOLDCORP INC NEW Equity 380956409 808 70668 SH SOLE 70668 0 0 GOODYEAR TIRE & RUBR CO Equity 382550101 780 42950 SH SOLE 42950 0 0 ALPHABET INC Equity 02079K305 421 358 SH SOLE 358 0 0 SELECT SECTOR SPDR TR Equity 81369Y209 407 4438 SH SOLE 4438 0 0 HOME DEPOT INC Equity 437076102 323 1681 SH SOLE 1681 0 0 HONEYWELL INTL INC Equity 438516106 745 4686 SH SOLE 4686 0 0 IAC INTERACTIVECORP Equity 44919P508 2221 10571 SH SOLE 10571 0 0 SELECT SECTOR SPDR TR Equity 81369Y704 488 6505 SH SOLE 6505 0 0 INTEL CORP Equity 458140100 408 7592 SH SOLE 7592 0 0 INTL PAPER CO Equity 460146103 207 4479 SH SOLE 4479 0 0 INVESCO CALIF VALUE MUN INC Equity 46132H106 326 26799 SH SOLE 26799 0 0 INVESCO MUN TR Equity 46131J103 1373 113926 SH SOLE 113926 0 0 INVESCO QUALITY MUNI INC TRS Equity 46133G107 1049 86598 SH SOLE 86598 0 0 INVESCO SR INCOME TR Equity 46131H107 4245 1010753 SH SOLE 1010753 0 0 INVESCO VALUE MUN INCOME TR Equity 46132P108 3216 223030 SH SOLE 223030 0 0 ISHARES TR Equity 464288646 2442 46233 SH SOLE 46233 0 0 ISHARES TR Equity 464287226 454 4163 SH SOLE 4163 0 0 ISHARES TR Equity 464288414 246 2214 SH SOLE 2214 0 0 ISHARES TR Equity 464287564 2558 23003 SH SOLE 23003 0 0 ISHARES TR Equity 46435G672 462 8641 SH SOLE 8641 0 0 ISHARES TR Equity 46432F842 2590 42625 SH SOLE 42625 0 0 ISHARES INC Equity 46434G103 1350 26106 SH SOLE 26106 0 0 ISHARES TR Equity 46434V738 413 9000 SH SOLE 9000 0 0 ISHARES TR Equity 46435G326 2277 42055 SH SOLE 42055 0 0 ISHARES TR Equity 464287200 8129 28568 SH SOLE 28568 0 0 ISHARES TR Equity 464287150 300 4665 SH SOLE 4665 0 0 ISHARES TR Equity 464287168 3258 33189 SH SOLE 33189 0 0 ISHARES TR Equity 464287721 351 1842 SH SOLE 1842 0 0 ISHARES S&P GSCI COMMODITY I Equity 46428R107 399 25000 SH SOLE 25000 0 0 ISHARES TR Equity 46434VAU4 3130 125921 SH SOLE 125921 0 0 ISHARES TR Equity 46434VAQ3 3566 141324 SH SOLE 141324 0 0 ISHARES TR Equity 46434VBK5 3284 132828 SH SOLE 132828 0 0 ISHARES TR Equity 46435G789 398 15503 SH SOLE 15503 0 0 ISHARES TR Equity 46434VBA7 2940 118042 SH SOLE 118042 0 0 ISHARES TR Equity 46435G755 382 14741 SH SOLE 14741 0 0 ISHARES TR Equity 46434VAX8 3079 123105 SH SOLE 123105 0 0 ISHARES TR Equity 46435G318 334 13114 SH SOLE 13114 0 0 ISHARES TR Equity 46429B564 406 15960 SH SOLE 15960 0 0 ISHARES TR Equity 46434V571 413 16188 SH SOLE 16188 0 0 ISHARES TR Equity 464288448 484 15696 SH SOLE 15696 0 0 ISHARES TR Equity 46434V878 3517 69924 SH SOLE 69924 0 0 ISHARES TR Equity 464288182 1456 20603 SH SOLE 20603 0 0 ISHARES TR Equity 464287465 7475 115256 SH SOLE 115256 0 0 ISHARES TR Equity 464288273 1051 18295 SH SOLE 18295 0 0 ISHARES TR Equity 464287234 618 14409 SH SOLE 14409 0 0 ISHARES TR Equity 464287556 1352 12092 SH SOLE 12092 0 0 ISHARES TR Equity 464287614 854 5642 SH SOLE 5642 0 0 ISHARES TR Equity 464287598 1298 10507 SH SOLE 10507 0 0 ISHARES TR Equity 464287655 3731 24374 SH SOLE 24374 0 0 ISHARES TR Equity 464287507 3372 17803 SH SOLE 17803 0 0 ISHARES TR Equity 464287879 1054 7141 SH SOLE 7141 0 0 ISHARES TR Equity 464287804 2021 26191 SH SOLE 26191 0 0 ISHARES TR Equity 464287176 221 1953 SH SOLE 1953 0 0 ISHARES TR Equity 464287499 1572 29144 SH SOLE 29144 0 0 JOHNSON & JOHNSON Equity 478160104 507 3624 SH SOLE 3624 0 0 JPMORGAN CHASE & CO Equity 46625H100 3271 32312 SH SOLE 32312 0 0 KAYNE ANDERSN MLP MIDS INVT Equity 486606106 1651 103010 SH SOLE 103010 0 0 EXCHANGE LISTED FDS TR Equity 30151E608 2305 70444 SH SOLE 70444 0 0 LUXOFT HLDG INC Equity G57279104 248 4220 SH SOLE 4220 0 0 MACQUARIE INFRASTRUCTURE COR Equity 55608BAA3 15 15000 SH SOLE 15000 0 0 MASTERCARD INC Equity 57636Q104 226 958 SH SOLE 958 0 0 MCDONALDS CORP Equity 580135101 328 1725 SH SOLE 1725 0 0 MCEWEN MNG INC Equity 58039P107 15 10000 SH SOLE 10000 0 0 MELLANOX TECHNOLOGIES LTD Equity M51363113 915 7733 SH SOLE 7733 0 0 MERCK & CO INC Equity 58933Y105 268 3227 SH SOLE 3227 0 0 METLIFE INC Equity 59156R108 1142 26838 SH SOLE 26838 0 0 MICROSOFT CORP Equity 594918104 2205 18693 SH SOLE 18693 0 0 MORGAN STANLEY Equity 617446448 208 4934 SH SOLE 4934 0 0 NATIONAL HEALTH INVS INC Equity 63633DAE4 23 20000 SH SOLE 20000 0 0 NEUBERGER BERMAN HGH YLD FD Equity 64128C106 2081 184347 SH SOLE 184347 0 0 NEWELL BRANDS INC Equity 651229106 462 30144 SH SOLE 30144 0 0 NEXTERA ENERGY INC Equity 65339F101 1319 6825 SH SOLE 6825 0 0 NORTHERN DYNASTY MINERALS LT Equity 66510M204 6 10000 SH SOLE 10000 0 0 NORTHERN TR CORP Equity 665859104 624 6906 SH SOLE 6906 0 0 NUVEEN AMT FREE QLTY MUN INC Equity 670657105 3907 292449 SH SOLE 292449 0 0 NUVEEN QUALITY MUNCP INCOME Equity 67066V101 1688 124392 SH SOLE 124392 0 0 NUVEEN SELECT TAX FREE INCM Equity 67063X100 661 44874 SH SOLE 44874 0 0 NUVEEN SELECT TAX FREE INCM Equity 67063C106 351 25165 SH SOLE 25165 0 0 NUVEEN SELECT TAX FREE INCM Equity 67062F100 707 48266 SH SOLE 48266 0 0 OAKTREE CAP GROUP LLC Equity 674001201 206 4139 SH SOLE 4139 0 0 PAYPAL HLDGS INC Equity 70450Y103 294 2827 SH SOLE 2827 0 0 PEPSICO INC Equity 713448108 394 3213 SH SOLE 3213 0 0 PFIZER INC Equity 717081103 805 18944 SH SOLE 18944 0 0 PGIM GLOBAL HIGH YIELD FD IN Equity 69346J106 2067 148256 SH SOLE 148256 0 0 PGIM HIGH YIELD BOND FUND IN Equity 69346H100 3603 254119 SH SOLE 254119 0 0 PIMCO ETF TR Equity 72201R718 462 4635 SH SOLE 4635 0 0 PIMCO ETF TR Equity 72201R833 439 4325 SH SOLE 4325 0 0 PROCTER AND GAMBLE CO Equity 742718109 463 4445 SH SOLE 4445 0 0 PRUDENTIAL FINL INC Equity 744320102 270 2936 SH SOLE 2936 0 0 QUANTENNA COMMUNICATIONS INC Equity 74766D100 225 9236 SH SOLE 9236 0 0 RED HAT INC Equity 756577102 761 4164 SH SOLE 4164 0 0 SCHLUMBERGER LTD Equity 806857108 428 9826 SH SOLE 9826 0 0 SCHWAB STRATEGIC TR Equity 808524706 957 36794 SH SOLE 36794 0 0 SCHWAB STRATEGIC TR Equity 808524805 825 26341 SH SOLE 26341 0 0 SCHWAB STRATEGIC TR Equity 808524201 1481 21904 SH SOLE 21904 0 0 SCHWAB STRATEGIC TR Equity 808524508 854 15411 SH SOLE 15411 0 0 SCHWAB STRATEGIC TR Equity 808524607 873 12487 SH SOLE 12487 0 0 SEACOR HOLDINGS INC Equity 811904AM3 9 10000 SH SOLE 10000 0 0 SPARK THERAPEUTICS INC Equity 84652J103 325 2855 SH SOLE 2855 0 0 SPDR SERIES TRUST Equity 78464A417 319 8868 SH SOLE 8868 0 0 SPDR DOW JONES INDL AVRG ETF Equity 78467X109 392 1513 SH SOLE 1513 0 0 SPDR GOLD TRUST Equity 78463V107 700 5737 SH SOLE 5737 0 0 SPDR SER TR Equity 78468R721 586 11885 SH SOLE 11885 0 0 SPDR SER TR Equity 78468R739 2202 45421 SH SOLE 45421 0 0 SPDR INDEX SHS FDS Equity 78463X889 4243 145275 SH SOLE 145275 0 0 SPDR INDEX SHS FDS Equity 78463X509 2330 65146 SH SOLE 65146 0 0 SPDR SERIES TRUST Equity 78464A854 6029 181419 SH SOLE 181419 0 0 SPDR SERIES TRUST Equity 78464A847 3113 93385 SH SOLE 93385 0 0 SPDR SER TR Equity 78468R853 3318 109743 SH SOLE 109743 0 0 SPDR S&P 500 ETF TR Equity 78462F103 12166 43070 SH SOLE 43070 0 0 SPDR SERIES TRUST Equity 78464A730 1092 35536 SH SOLE 35536 0 0 SPDR SERIES TRUST Equity 78464A698 282 5495 SH SOLE 5495 0 0 SSGA ACTIVE ETF TR Equity 78467V707 9725 240939 SH SOLE 240939 0 0 SUNTRUST BKS INC Equity 867914103 405 6828 SH SOLE 6828 0 0 SELECT SECTOR SPDR TR Equity 81369Y803 282 3815 SH SOLE 3815 0 0 TEMPLETON GLOBAL INCOME FD Equity 880198106 2041 324001 SH SOLE 324001 0 0 TESLA INC Equity 88160R101 761 2720 SH SOLE 2720 0 0 TEXAS INSTRS INC Equity 882508104 869 8194 SH SOLE 8194 0 0 THERMO FISHER SCIENTIFIC INC Equity 883556102 2676 9777 SH SOLE 9777 0 0 TORTOISE ENERGY INFRA CORP Equity 89147L100 2297 97733 SH SOLE 97733 0 0 ULTIMATE SOFTWARE GROUP INC Equity 90385D107 1357 4110 SH SOLE 4110 0 0 UNITEDHEALTH GROUP INC Equity 91324P102 2281 9227 SH SOLE 9227 0 0 US BANCORP DEL Equity 902973304 348 7219 SH SOLE 7219 0 0 VALERO ENERGY CORP NEW Equity 91913Y100 211 2493 SH SOLE 2493 0 0 VANECK VECTORS ETF TR Equity 92189F486 1049 41684 SH SOLE 41684 0 0 VANGUARD GROUP Equity 921908844 212 1930 SH SOLE 1930 0 0 VANGUARD INTL EQUITY INDEX F Equity 922042718 539 5172 SH SOLE 5172 0 0 VANGUARD TAX MANAGED INTL FD Equity 921943858 4558 111525 SH SOLE 111525 0 0 VANGUARD INTL EQUITY INDEX F Equity 922042858 5056 118964 SH SOLE 118964 0 0 VANGUARD INTL EQUITY INDEX F Equity 922042874 302 5638 SH SOLE 5638 0 0 VANGUARD INTL EQUITY INDEX F Equity 922042866 414 6290 SH SOLE 6290 0 0 VANGUARD WHITEHALL FDS INC Equity 921946406 382 4457 SH SOLE 4457 0 0 VANGUARD INDEX FDS Equity 922908629 3837 23872 SH SOLE 23872 0 0 VANGUARD INDEX FDS Equity 922908363 1348 5193 SH SOLE 5193 0 0 VANGUARD ADMIRAL FDS INC Equity 921932505 271 1750 SH SOLE 1750 0 0 VANGUARD BD INDEX FD INC Equity 921937827 1382 17360 SH SOLE 17360 0 0 VANGUARD SCOTTSDALE FDS Equity 92206C409 348 4367 SH SOLE 4367 0 0 VANGUARD INDEX FDS Equity 922908751 3154 20644 SH SOLE 20644 0 0 VANGUARD INDEX FDS Equity 922908611 450 3498 SH SOLE 3498 0 0 VANGUARD BD INDEX FD INC Equity 921937835 267 3286 SH SOLE 3286 0 0 VANGUARD INDEX FDS Equity 922908769 6813 47078 SH SOLE 47078 0 0 VANGUARD INTL EQUITY INDEX F Equity 922042742 646 8835 SH SOLE 8835 0 0 VECTOR GROUP LTD Equity 92240MBC1 20 20000 SH SOLE 20000 0 0 VERINT SYS INC Equity 92343XAA8 22 20000 SH SOLE 20000 0 0 VERIZON COMMUNICATIONS INC Equity 92343V104 483 8165 SH SOLE 8165 0 0 VISA INC Equity 92826C839 339 2170 SH SOLE 2170 0 0 VIVALDI OPPORTUNITIES FD Equity 92853C207 57070 4070590 SH OTR 0 0 4070590 VIVALDI OPPORTUNITIES FD Equity 92853C207 3019 215341 SH DFND 0 215341 0 WALGREENS BOOTS ALLIANCE INC Equity 931427108 885 13986 SH SOLE 13986 0 0 WALMART INC Equity 931142103 1079 11064 SH SOLE 11064 0 0 WESTERN ASSET HIGH INCM FD I Equity 95766J102 1926 297214 SH SOLE 297214 0 0 WESTERN ASSET HIGH INCM OPP Equity 95766K109 2051 424556 SH SOLE 424556 0 0 WESTERN ASSET MUN HI INCM FD Equity 95766N103 352 47559 SH SOLE 47559 0 0 WILLIS TOWERS WATSON PUB LTD Equity G96629103 306 1740 SH SOLE 1740 0 0 WISDOMTREE TR Equity 97717W315 307 7000 SH SOLE 7000 0 0 XPO LOGISTICS INC Equity 983793100 316 5880 SH SOLE 5880 0 0 YAMANA GOLD INC Equity 98462Y100 183 70000 SH SOLE 70000 0 0