0001682021-20-000002.txt : 20200211 0001682021-20-000002.hdr.sgml : 20200211 20200210175934 ACCESSION NUMBER: 0001682021-20-000002 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20191231 FILED AS OF DATE: 20200211 DATE AS OF CHANGE: 20200210 EFFECTIVENESS DATE: 20200211 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: 20593226 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 12-31-2019 12-31-2019 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 12-31-2019 0 219 413672 INFORMATION TABLE 2 infotable.xml 3M CO Equity 88579Y101 1227 6955 SH SOLE 6955 0 0 ABBOTT LABS Equity 002824100 1212 13952 SH SOLE 13952 0 0 ABBVIE INC Equity 00287Y109 1342 15154 SH SOLE 15154 0 0 ACCENTURE PLC IRELAND Equity G1151C101 569 2701 SH SOLE 2701 0 0 ACORDA THERAPEUTICS INC Equity 00484MAA4 11 15000 SH SOLE 15000 0 0 ADOBE INC Equity 00724F101 207 629 SH SOLE 629 0 0 ALLERGAN PLC Equity G0177J108 1047 5477 SH SOLE 5477 0 0 ALLIANCEBERNSTEIN GBL HGH IN Equity 01879R106 3180 262150 SH SOLE 262150 0 0 ALLIANCEBERNSTEIN NATL MUNI Equity 01864U106 5002 357778 SH SOLE 357778 0 0 ALPHABET INC Equity 02079K107 1112 832 SH SOLE 832 0 0 ALPS ETF TR Equity 00162Q866 86 10121 SH SOLE 10121 0 0 AMAZON COM INC Equity 023135106 900 487 SH SOLE 487 0 0 AMGEN INC Equity 031162100 339 1405 SH SOLE 1405 0 0 ANGEL OAK FINL STRATEGIES IN Equity 03464A100 3325 160689 SH SOLE 160689 0 0 APPLE INC Equity 037833100 4592 15637 SH SOLE 15637 0 0 ARQULE INC Equity 04269E107 221 11075 SH SOLE 11075 0 0 AT&T INC Equity 00206R102 1025 26226 SH SOLE 26226 0 0 BANK AMER CORP Equity 060505104 338 9606 SH SOLE 9606 0 0 BANK NEW YORK MELLON CORP Equity 064058100 382 7584 SH SOLE 7584 0 0 BECTON DICKINSON & CO Equity 075887109 219 804 SH SOLE 804 0 0 BERKSHIRE HATHAWAY INC DEL Equity 084670108 340 1 SH SOLE 1 0 0 BERKSHIRE HATHAWAY INC DEL Equity 084670702 1645 7263 SH SOLE 7263 0 0 BLACKROCK CALIF MUN INCOME T Equity 09248E102 860 63414 SH SOLE 63414 0 0 BLACKROCK FLOAT RATE OME STR Equity 09255X100 1510 112328 SH SOLE 112328 0 0 BLACKROCK MUNI INTER DR FD I Equity 09253X102 4386 307993 SH SOLE 307993 0 0 BLACKROCK MUNICIPL INC QLTY Equity 092479104 990 70430 SH SOLE 70430 0 0 BLACKROCK MUNIHLDNGS CALI QL Equity 09254L107 878 62770 SH SOLE 62770 0 0 BLACKROCK MUNIHLDS INVSTM QL Equity 09254P108 508 38190 SH SOLE 38190 0 0 BLACKROCK MUNIY QUALITY FD I Equity 09254G108 699 53762 SH SOLE 53762 0 0 BLACKROCK MUNIYIELD CALI QLT Equity 09254N103 455 32017 SH SOLE 32017 0 0 BLACKROCK MUNIYIELD CALIF FD Equity 09254M105 275 19448 SH SOLE 19448 0 0 BLACKROCK MUNIYIELD QLTY FD Equity 09254E103 5852 433456 SH SOLE 433456 0 0 BOOKING HLDGS INC Equity 09857L108 226 110 SH SOLE 110 0 0 BRISTOL MYERS SQUIBB CO Equity 110122108 314 4887 SH SOLE 4887 0 0 BROOKFIELD ASSET MGMT INC Equity 112585104 1635 28292 SH SOLE 28292 0 0 BROOKFIELD INFRAST PARTNERS Equity G16252101 500 10000 SH SOLE 10000 0 0 CBOE GLOBAL MARKETS INC Equity 12503M108 1217 10142 SH SOLE 10142 0 0 CBRE GROUP INC Equity 12504L109 308 5019 SH SOLE 5019 0 0 CF INDS HLDGS INC Equity 125269100 395 8271 SH SOLE 8271 0 0 CHEVRON CORP NEW Equity 166764100 953 7905 SH SOLE 7905 0 0 CME GROUP INC Equity 12572Q105 1059 5329 SH SOLE 5329 0 0 CISCO SYS INC Equity 17275R102 417 8695 SH SOLE 8695 0 0 CITIGROUP INC Equity 172967424 687 8605 SH SOLE 8605 0 0 CLOROX CO DEL Equity 189054109 215 1403 SH SOLE 1403 0 0 COCA COLA CO Equity 191216100 420 7582 SH SOLE 7582 0 0 COMCAST CORP NEW Equity 20030N101 393 8731 SH SOLE 8731 0 0 CORNING INC Equity 219350105 268 9211 SH SOLE 9211 0 0 COSTCO WHSL CORP NEW Equity 22160K105 516 1754 SH SOLE 1754 0 0 DANAHER CORPORATION Equity 235851102 207 1348 SH SOLE 1348 0 0 DISNEY WALT CO Equity 254687106 847 5882 SH SOLE 5882 0 0 DNP SELECT INCOME FD Equity 23325P104 133 10400 SH SOLE 10400 0 0 DOUBLELINE INCOME SOLUTIONS Equity 258622109 902 45635 SH SOLE 45635 0 0 DTF TAX-FREE INCOME INC Equity 23334J107 631 42668 SH SOLE 42668 0 0 DWS MUN INCOME TR NEW Equity 233368109 340 30050 SH SOLE 30050 0 0 EATON VANCE CA MUNI INCOME T Equity 27826F101 457 33911 SH SOLE 33911 0 0 EATON VANCE CALIF MUN BD FD Equity 27828A100 878 78078 SH SOLE 78078 0 0 EATON VANCE LTD DUR INCOME F Equity 27828H105 2763 208544 SH SOLE 208544 0 0 EATON VANCE MUN BD FD Equity 27827X101 1487 115414 SH SOLE 115414 0 0 ECHO GLOBAL LOGISTICS INC Equity 27875TAA9 20 20000 SH SOLE 20000 0 0 ECOLAB INC Equity 278865100 228 1184 SH SOLE 1184 0 0 ENBRIDGE INC Equity 29250N105 234 5893 SH SOLE 5893 0 0 EXXON MOBIL CORP Equity 30231G102 1017 14574 SH SOLE 14574 0 0 FACEBOOK INC Equity 30303M102 12888 62793 SH SOLE 62793 0 0 FEDEX CORP Equity 31428X106 453 3009 SH SOLE 3009 0 0 FIFTH THIRD BANCORP Equity 316773100 257 8360 SH SOLE 8360 0 0 SELECT SECTOR SPDR TR Equity 81369Y605 298 9689 SH SOLE 9689 0 0 FIRST TR EXCH TRD ALPHA FD I Equity 33737J109 5385 188863 SH SOLE 188863 0 0 FIRST TR EXCHANGE TRADED FD Equity 33739Q408 19246 320292 SH SOLE 320292 0 0 FIRST TR EXCHANGE-TRADED FD Equity 33739E108 11652 580573 SH SOLE 580573 0 0 GALECTIN THERAPEUTICS INC Equity 363225202 31 10668 SH SOLE 10668 0 0 GAMING & LEISURE PPTYS INC Equity 36467J108 1515 35195 SH SOLE 35195 0 0 GENERAL ELECTRIC CO Equity 369604103 151 13516 SH SOLE 13516 0 0 GILEAD SCIENCES INC Equity 375558103 220 3392 SH SOLE 3392 0 0 GLOBAL X FDS Equity 37950E473 3819 484688 SH SOLE 484688 0 0 GOGO INC Equity 38046CAB5 15 15000 SH SOLE 15000 0 0 ALPHABET INC Equity 02079K305 510 381 SH SOLE 381 0 0 SELECT SECTOR SPDR TR Equity 81369Y209 240 2351 SH SOLE 2351 0 0 HOME DEPOT INC Equity 437076102 359 1645 SH SOLE 1645 0 0 HONEYWELL INTL INC Equity 438516106 733 4139 SH SOLE 4139 0 0 IAC INTERACTIVECORP Equity 44919P508 921 3699 SH SOLE 3699 0 0 INTEL CORP Equity 458140100 495 8273 SH SOLE 8273 0 0 INTERXION HOLDING N.V Equity N47279109 430 5126 SH SOLE 5126 0 0 INTERNATIONAL BUSINESS MACHS Equity 459200101 492 3667 SH SOLE 3667 0 0 INTL PAPER CO Equity 460146103 226 4911 SH SOLE 4911 0 0 INVESCO DYNAMIC CR OPP FD Equity 46132R104 3203 282227 SH SOLE 282227 0 0 INVESCO MUN TR Equity 46131J103 1978 160066 SH SOLE 160066 0 0 INVESCO QUALITY MUNI INC TRS Equity 46133G107 1517 120590 SH SOLE 120590 0 0 INVESCO SR INCOME TR Equity 46131H107 4942 1152001 SH SOLE 1152001 0 0 INVESCO VALUE MUN INCOME TR Equity 46132P108 1516 98979 SH SOLE 98979 0 0 ISHARES TR Equity 464288646 571 10653 SH SOLE 10653 0 0 ISHARES TR Equity 464287440 412 3736 SH SOLE 3736 0 0 ISHARES TR Equity 464287226 416 3700 SH SOLE 3700 0 0 ISHARES TR Equity 464288414 252 2214 SH SOLE 2214 0 0 ISHARES TR Equity 464287564 2071 17704 SH SOLE 17704 0 0 ISHARES GOLD TRUST Equity 464285105 254 17500 SH SOLE 17500 0 0 ISHARES TR Equity 46435G672 431 7869 SH SOLE 7869 0 0 ISHARES TR Equity 46432F842 1590 24374 SH SOLE 24374 0 0 ISHARES INC Equity 46434G103 877 16308 SH SOLE 16308 0 0 ISHARES TR Equity 46434V738 449 9000 SH SOLE 9000 0 0 ISHARES TR Equity 46435G326 1411 24265 SH SOLE 24265 0 0 ISHARES TR Equity 464287200 7713 23861 SH SOLE 23861 0 0 ISHARES TR Equity 464287150 495 6804 SH SOLE 6804 0 0 ISHARES TR Equity 464287168 3293 31168 SH SOLE 31168 0 0 ISHARES TR Equity 464287721 382 1642 SH SOLE 1642 0 0 ISHARES TR Equity 46434VAQ3 853 33731 SH SOLE 33731 0 0 ISHARES TR Equity 46434VBK5 762 30523 SH SOLE 30523 0 0 ISHARES TR Equity 46434VBA7 609 24067 SH SOLE 24067 0 0 ISHARES TR Equity 46434VAX8 814 31836 SH SOLE 31836 0 0 ISHARES TR Equity 464288448 513 15276 SH SOLE 15276 0 0 ISHARES TR Equity 46434V878 19322 383913 SH SOLE 383913 0 0 ISHARES TR Equity 46435G342 220 4943 SH SOLE 4943 0 0 ISHARES TR Equity 464288182 1514 20603 SH SOLE 20603 0 0 ISHARES TR Equity 464287465 7511 108171 SH SOLE 108171 0 0 ISHARES TR Equity 464288273 589 9453 SH SOLE 9453 0 0 ISHARES TR Equity 464287234 648 14449 SH SOLE 14449 0 0 ISHARES TR Equity 464288570 606 5048 SH SOLE 5048 0 0 ISHARES TR Equity 464287614 1083 6154 SH SOLE 6154 0 0 ISHARES TR Equity 464287598 1339 9813 SH SOLE 9813 0 0 ISHARES TR Equity 464287655 3228 19485 SH SOLE 19485 0 0 ISHARES TR Equity 464287507 2284 11098 SH SOLE 11098 0 0 ISHARES TR Equity 464287879 363 2260 SH SOLE 2260 0 0 ISHARES TR Equity 464287804 1051 12540 SH SOLE 12540 0 0 ISHARES TR Equity 464287622 242 1354 SH SOLE 1354 0 0 ISHARES TR Equity 464287499 1905 31954 SH SOLE 31954 0 0 JOHNSON & JOHNSON Equity 478160104 790 5418 SH SOLE 5418 0 0 JPMORGAN CHASE & CO Equity 46625H100 3428 24593 SH SOLE 24593 0 0 KAYNE ANDERSN MLP MIDS INVT Equity 486606106 558 40035 SH SOLE 40035 0 0 EXCHANGE LISTED FDS TR Equity 30151E608 2090 57340 SH SOLE 57340 0 0 LIBERTY PPTY TR Equity 531172104 1137 18936 SH SOLE 18936 0 0 LINDE PLC Equity G5494J103 208 979 SH SOLE 979 0 0 LYFT INC Equity 55087P104 3268 75964 SH SOLE 75964 0 0 MASTERCARD INC Equity 57636Q104 327 1094 SH SOLE 1094 0 0 MCDONALDS CORP Equity 580135101 341 1725 SH SOLE 1725 0 0 MCEWEN MNG INC Equity 58039P107 13 10000 SH SOLE 10000 0 0 MERCK & CO INC Equity 58933Y105 388 4281 SH SOLE 4281 0 0 METLIFE INC Equity 59156R108 495 9705 SH SOLE 9705 0 0 MFS INTER INCOME TR Equity 55273C107 60 15693 SH SOLE 15693 0 0 MICROSOFT CORP Equity 594918104 2729 17305 SH SOLE 17305 0 0 MORGAN STANLEY Equity 617446448 228 4469 SH SOLE 4469 0 0 NATIONAL HEALTH INVS INC Equity 63633DAE4 24 20000 SH SOLE 20000 0 0 NEUBERGER BRMAN CLIFRN MUNI Equity 64123C101 295 21121 SH SOLE 21121 0 0 NEWELL BRANDS INC Equity 651229106 199 10358 SH SOLE 10358 0 0 NEXTERA ENERGY INC Equity 65339F101 633 2613 SH SOLE 2613 0 0 NIKE INC Equity 654106103 249 2457 SH SOLE 2457 0 0 NORTHERN DYNASTY MINERALS LT Equity 66510M204 4 10000 SH SOLE 10000 0 0 NORTHERN TR CORP Equity 665859104 669 6300 SH SOLE 6300 0 0 NUVEEN AMT FREE QLTY MUN INC Equity 670657105 2619 182137 SH SOLE 182137 0 0 NUVEEN CALIFORNIA AMT QLT MU Equity 670651108 916 60256 SH SOLE 60256 0 0 NUVEEN FLOATING RATE INCOME Equity 67072T108 3727 363938 SH SOLE 363938 0 0 NUVEEN QUALITY MUNCP INCOME Equity 67066V101 2527 173084 SH SOLE 173084 0 0 PATTERN ENERGY GROUP INC Equity 70338P100 251 9378 SH SOLE 9378 0 0 PAYPAL HLDGS INC Equity 70450Y103 291 2692 SH SOLE 2692 0 0 PEPSICO INC Equity 713448108 770 5641 SH SOLE 5641 0 0 PFIZER INC Equity 717081103 1908 48696 SH SOLE 48696 0 0 PGIM GLOBAL HIGH YIELD FD IN Equity 69346J106 3300 219715 SH SOLE 219715 0 0 PGIM HIGH YIELD BOND FUND IN Equity 69346H100 5724 371666 SH SOLE 371666 0 0 PIMCO ETF TR Equity 72201R833 5287 52044 SH SOLE 52044 0 0 PRA GROUP INC Equity 69354N106 2226 61336 SH SOLE 61336 0 0 PROCTER & GAMBLE CO Equity 742718109 2467 19748 SH SOLE 19748 0 0 PRUDENTIAL FINL INC Equity 744320102 280 2986 SH SOLE 2986 0 0 RIVERNORTH MARKETPLACE LENDI Equity 76882B108 220 12093 SH SOLE 12093 0 0 EXCHANGE LISTED FDS TR Equity 30151E806 440 21245 SH SOLE 21245 0 0 SCHWAB STRATEGIC TR Equity 808524706 943 34453 SH SOLE 34453 0 0 SCHWAB STRATEGIC TR Equity 808524805 1224 36403 SH SOLE 36403 0 0 SCHWAB STRATEGIC TR Equity 808524201 1795 23375 SH SOLE 23375 0 0 SCHWAB STRATEGIC TR Equity 808524508 848 14092 SH SOLE 14092 0 0 SCHWAB STRATEGIC TR Equity 808524607 866 11445 SH SOLE 11445 0 0 SEACOR HOLDINGS INC Equity 811904AM3 10 10000 SH SOLE 10000 0 0 SPDR SERIES TRUST Equity 78468R622 323 2952 SH SOLE 2952 0 0 SPDR DOW JONES INDL AVRG ETF Equity 78467X109 269 945 SH SOLE 945 0 0 SPDR GOLD TRUST Equity 78463V107 855 5984 SH SOLE 5984 0 0 SPDR SERIES TRUST Equity 78468R739 929 18915 SH SOLE 18915 0 0 SPDR INDEX SHS FDS Equity 78463X889 10018 319553 SH SOLE 319553 0 0 SPDR INDEX SHS FDS Equity 78463X509 3521 93657 SH SOLE 93657 0 0 SPDR SERIES TRUST Equity 78464A847 4163 114910 SH SOLE 114910 0 0 SPDR SERIES TRUST Equity 78464A854 13077 345766 SH SOLE 345766 0 0 SPDR SERIES TRUST Equity 78468R853 4293 131552 SH SOLE 131552 0 0 SPDR S&P 500 ETF TR Equity 78462F103 14217 44173 SH SOLE 44173 0 0 TALLGRASS ENERGY LP Equity 874696107 511 23095 SH SOLE 23095 0 0 TARGET CORP Equity 87612E106 245 1910 SH SOLE 1910 0 0 TECH DATA CORP Equity 878237106 207 1439 SH SOLE 1439 0 0 SELECT SECTOR SPDR TR Equity 81369Y803 402 4386 SH SOLE 4386 0 0 TEMPLETON GLOBAL INCOME FD Equity 880198106 2997 488887 SH SOLE 488887 0 0 TESLA INC Equity 88160R101 1009 2412 SH SOLE 2412 0 0 TEXAS INSTRS INC Equity 882508104 286 2231 SH SOLE 2231 0 0 THERMO FISHER SCIENTIFIC INC Equity 883556102 1506 4639 SH SOLE 4639 0 0 UNITEDHEALTH GROUP INC Equity 91324P102 1194 4063 SH SOLE 4063 0 0 US BANCORP DEL Equity 902973304 430 7250 SH SOLE 7250 0 0 VALERO ENERGY CORP NEW Equity 91913Y100 237 2528 SH SOLE 2528 0 0 VANECK VECTORS ETF TRUST Equity 92189F486 229 9050 SH SOLE 9050 0 0 VANGUARD GROUP Equity 921908844 523 4197 SH SOLE 4197 0 0 VANGUARD INTL EQUITY INDEX F Equity 922042718 480 4317 SH SOLE 4317 0 0 VANGUARD TAX MANAGED INTL FD Equity 921943858 5103 115808 SH SOLE 115808 0 0 VANGUARD INTL EQUITY INDEX F Equity 922042858 4175 93880 SH SOLE 93880 0 0 VANGUARD INTL EQUITY INDEX F Equity 922042874 406 6923 SH SOLE 6923 0 0 VANGUARD INTL EQUITY INDEX F Equity 922042866 469 6742 SH SOLE 6742 0 0 VANGUARD WHITEHALL FDS INC Equity 921946406 404 4312 SH SOLE 4312 0 0 VANGUARD INDEX FDS Equity 922908629 3143 17641 SH SOLE 17641 0 0 VANGUARD INDEX FDS Equity 922908363 1654 5590 SH SOLE 5590 0 0 VANGUARD ADMIRAL FDS INC Equity 921932505 305 1750 SH SOLE 1750 0 0 VANGUARD SCOTTSDALE FDS Equity 92206C409 349 4310 SH SOLE 4310 0 0 VANGUARD INDEX FDS Equity 922908751 2436 14706 SH SOLE 14706 0 0 VANGUARD INDEX FDS Equity 922908611 471 3437 SH SOLE 3437 0 0 VANGUARD INDEX FDS Equity 922908769 7513 45918 SH SOLE 45918 0 0 VANGUARD INTL EQUITY INDEX F Equity 922042742 835 10310 SH SOLE 10310 0 0 VECTOR GROUP LTD Equity 92240MBC1 21 20000 SH SOLE 20000 0 0 VENTAS INC Equity 92276F100 352 6098 SH SOLE 6098 0 0 VERINT SYS INC Equity 92343XAA8 22 20000 SH SOLE 20000 0 0 VERIZON COMMUNICATIONS INC Equity 92343V104 444 7227 SH SOLE 7227 0 0 VISA INC Equity 92826C839 380 2022 SH SOLE 2022 0 0 VIVALDI OPPORTUNITIES FD Equity 92853C207 54108 3990231 SH OTR 0 0 3990231 VIVALDI OPPORTUNITIES FD Equity 92853C207 3268 241010 SH DFND 0 241010 0 VOYA PRIME RATE TR Equity 92913A100 3180 634745 SH SOLE 634745 0 0 WALGREENS BOOTS ALLIANCE INC Equity 931427108 220 3732 SH SOLE 3732 0 0 WALMART INC Equity 931142103 397 3352 SH SOLE 3352 0 0 WELLCARE HEALTH PLANS INC Equity 94946T106 289 874 SH SOLE 874 0 0 WILLIS TOWERS WATSON PUB LTD Equity G96629103 357 1767 SH SOLE 1767 0 0 WISDOMTREE TR Equity 97717W315 435 9509 SH SOLE 9509 0 0 YAMANA GOLD INC Equity 98462Y100 277 70000 SH SOLE 70000 0 0