0001682021-20-000004.txt : 20200515 0001682021-20-000004.hdr.sgml : 20200515 20200514175022 ACCESSION NUMBER: 0001682021-20-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200331 FILED AS OF DATE: 20200515 DATE AS OF CHANGE: 20200514 EFFECTIVENESS DATE: 20200515 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: 20879453 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 03-31-2020 03-31-2020 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 05-14-2020 0 204 443372 INFORMATION TABLE 2 infotable.xml 3M CO Equity 88579Y101 965 7067 SH SOLE 7067 0 0 ABBOTT LABS Equity 002824100 1121 14203 SH SOLE 14203 0 0 ABBVIE INC Equity 00287Y109 1186 15566 SH SOLE 15566 0 0 ACCENTURE PLC IRELAND Equity G1151C101 428 2623 SH SOLE 2623 0 0 ACORDA THERAPEUTICS INC Equity 00484MAA4 13 15000 SH SOLE 15000 0 0 ADOBE INC Equity 00724F101 210 661 SH SOLE 661 0 0 ALIGN TECHNOLOGY INC Equity 016255101 214 1232 SH SOLE 1232 0 0 ALLERGAN PLC Equity G0177J108 1709 9648 SH SOLE 9648 0 0 ALLIANCEBERNSTEIN GLOBAL HIG Equity 01879R106 2429 262296 SH SOLE 262296 0 0 ALLIANCEBERNSTEIN NATL MUNI Equity 01864U106 6400 501976 SH SOLE 501976 0 0 ALPHABET INC Equity 02079K107 878 755 SH SOLE 755 0 0 ALPS ETF TR Equity 00162Q866 192 55721 SH SOLE 55721 0 0 AMAZON COM INC Equity 023135106 638 327 SH SOLE 327 0 0 AMGEN INC Equity 031162100 327 1612 SH SOLE 1612 0 0 ANGEL OAK FINL STRATEGIES IN Equity 03464A100 867 50689 SH SOLE 50689 0 0 APEX TECHNOLOGY ACQUISITION Equity 03768F201 254 25000 SH SOLE 25000 0 0 APPLE INC Equity 037833100 4269 16789 SH SOLE 16789 0 0 AT&T INC Equity 00206R102 632 21680 SH SOLE 21680 0 0 BERKSHIRE HATHAWAY INC DEL Equity 084670108 272 1 SH SOLE 1 0 0 BERKSHIRE HATHAWAY INC DEL Equity 084670702 1234 6752 SH SOLE 6752 0 0 BIOHITECH GLOBAL INC Equity 09074B107 24 18782 SH SOLE 18782 0 0 BLACKROCK CALIF MUN INCOME T Equity 09248E102 1374 108284 SH SOLE 108284 0 0 BLACKROCK MUNI INTER DR FD I Equity 09253X102 8440 646244 SH SOLE 646244 0 0 BLACKROCK MUNICIPL INC QLTY Equity 092479104 2008 151526 SH SOLE 151526 0 0 BLACKROCK MUNIHLDNGS CALI QL Equity 09254L107 1398 104847 SH SOLE 104847 0 0 BLACKROCK MUNIHLDS INVSTM QL Equity 09254P108 1031 78827 SH SOLE 78827 0 0 BLACKROCK MUNIYIELD CALIF FD Equity 09254M105 1162 87850 SH SOLE 87850 0 0 BLACKROCK MUNIYIELD CALI QLT Equity 09254N103 720 53241 SH SOLE 53241 0 0 BLACKROCK MUNIYIELD QLTY FD Equity 09254E103 8029 628211 SH SOLE 628211 0 0 BLACKROCK MUNIYIELD QUALITY Equity 09254G108 1340 108494 SH SOLE 108494 0 0 BRISTOL-MYERS SQUIBB CO Equity 110122108 284 5097 SH SOLE 5097 0 0 BROOKFIELD ASSET MGMT INC Equity 112585104 1085 24512 SH SOLE 24512 0 0 BROOKFIELD INFRAST PARTNERS Equity G16252101 360 10000 SH SOLE 10000 0 0 CBOE GLOBAL MARKETS INC Equity 12503M108 894 10018 SH SOLE 10018 0 0 CHEVRON CORP NEW Equity 166764100 550 7590 SH SOLE 7590 0 0 CME GROUP INC Equity 12572Q105 759 4389 SH SOLE 4389 0 0 CISCO SYS INC Equity 17275R102 328 8335 SH SOLE 8335 0 0 CITIGROUP INC Equity 172967424 263 6240 SH SOLE 6240 0 0 CLOROX CO DEL Equity 189054109 243 1405 SH SOLE 1405 0 0 COCA COLA CO Equity 191216100 365 8279 SH SOLE 8279 0 0 COMCAST CORP NEW Equity 20030N101 314 9148 SH SOLE 9148 0 0 COSTCO WHSL CORP NEW Equity 22160K105 551 1933 SH SOLE 1933 0 0 DISNEY WALT CO Equity 254687106 693 7170 SH SOLE 7170 0 0 DNP SELECT INCOME FD Equity 23325P104 102 10400 SH SOLE 10400 0 0 DOUBLELINE INCOME SOLUTIONS Equity 258622109 609 45635 SH SOLE 45635 0 0 DTF TAX-FREE INCOME INC Equity 23334J107 1103 79085 SH SOLE 79085 0 0 DWS MUN INCOME TR Equity 233368109 5181 480633 SH SOLE 480633 0 0 EATON VANCE CALIF MUN BD FD Equity 27828A100 1374 130240 SH SOLE 130240 0 0 EATON VANCE LTD DUR INCOME F Equity 27828H105 4210 398275 SH SOLE 398275 0 0 EATON VANCE MUN BD FD Equity 27827X101 1443 115664 SH SOLE 115664 0 0 EATON VANCE SR FLTNG RTE TR Equity 27828Q105 2002 202612 SH SOLE 202612 0 0 ECHO GLOBAL LOGISTICS INC Equity 27875TAA9 20 20000 SH SOLE 20000 0 0 EXCHANGE TRADED CONCEPTS TR Equity 301505889 233 7380 SH SOLE 7380 0 0 ENERGY TRANSFER LP Equity 29273V100 120 26039 SH SOLE 26039 0 0 ENLINK MIDSTREAM LLC Equity 29336T100 24 21440 SH SOLE 21440 0 0 EXXON MOBIL CORP Equity 30231G102 497 13080 SH SOLE 13080 0 0 FACEBOOK INC Equity 30303M102 10593 63510 SH SOLE 63510 0 0 FIRST TR EXCHANGE TRADED ALP Equity 33737J109 3038 153140 SH SOLE 153140 0 0 FIRST TR EXCH TRADED FD III Equity 33740J203 730 37928 SH SOLE 37928 0 0 FIRST TR EXCH TRADED FD III Equity 33739E108 246 15000 SH SOLE 15000 0 0 FORTY SEVEN INC Equity 34983P104 220 2306 SH SOLE 2306 0 0 FIRST TR EXCHNG TRADED FD VI Equity 33740F854 360 12891 SH SOLE 12891 0 0 GALECTIN THERAPEUTICS INC Equity 363225202 21 10668 SH SOLE 10668 0 0 GAMING & LEISURE PPTYS INC Equity 36467J108 1031 37195 SH SOLE 37195 0 0 GENERAL ELECTRIC CO Equity 369604103 115 14427 SH SOLE 14427 0 0 GILEAD SCIENCES INC Equity 375558103 280 3743 SH SOLE 3743 0 0 GLOBAL X FDS Equity 37950E473 1158 367577 SH SOLE 367577 0 0 ALPHABET INC Equity 02079K305 450 387 SH SOLE 387 0 0 GX ACQUISITION CORP Equity 36251A107 196 20000 SH SOLE 20000 0 0 HOME DEPOT INC Equity 437076102 365 1957 SH SOLE 1957 0 0 HONEYWELL INTL INC Equity 438516106 533 3985 SH SOLE 3985 0 0 IAC INTERACTIVECORP Equity 44919P508 507 2829 SH SOLE 2829 0 0 INDEXIQ ETF TR Equity 45409B628 216 13560 SH SOLE 13560 0 0 INTEL CORP Equity 458140100 479 8847 SH SOLE 8847 0 0 INTERNATIONAL BUSINESS MACHS Equity 459200101 356 3205 SH SOLE 3205 0 0 INVESCO VALUE MUN INCOME TR Equity 46132P108 2953 208830 SH SOLE 208830 0 0 INVESCO DYNAMIC CR OPPORTUNI Equity 46132R104 2223 278569 SH SOLE 278569 0 0 INVESCO EXCHANGE TRADED FD T Equity 46137V589 85 10457 SH SOLE 10457 0 0 INVESCO MUN TR Equity 46131J103 3884 331990 SH SOLE 331990 0 0 INVESCO QUALITY MUNI INC TRS Equity 46133G107 2963 253050 SH SOLE 253050 0 0 INVESCO SR INCOME TR Equity 46131H107 3675 1141241 SH SOLE 1141241 0 0 INDEXIQ ETF TR Equity 45409B107 428 15049 SH SOLE 15049 0 0 ISHARES TR Equity 464288646 508 9700 SH SOLE 9700 0 0 ISHARES TR Equity 464287457 31208 360076 SH SOLE 360076 0 0 ISHARES TR Equity 464287226 601 5209 SH SOLE 5209 0 0 ISHARES TR Equity 464288414 309 2730 SH SOLE 2730 0 0 ISHARES TR Equity 464287564 1333 14557 SH SOLE 14557 0 0 ISHARES GOLD TRUST Equity 464285105 3029 200973 SH SOLE 200973 0 0 ISHARES TR Equity 46435G672 428 7827 SH SOLE 7827 0 0 ISHARES TR Equity 46432F842 998 19999 SH SOLE 19999 0 0 ISHARES INC Equity 46434G103 749 18502 SH SOLE 18502 0 0 ISHARES TR Equity 46435G326 683 15425 SH SOLE 15425 0 0 ISHARES TR Equity 464287200 5401 20901 SH SOLE 20901 0 0 ISHARES TR Equity 464287150 927 16197 SH SOLE 16197 0 0 ISHARES TR Equity 464287168 2294 31191 SH SOLE 31191 0 0 ISHARES TR Equity 464287721 336 1642 SH SOLE 1642 0 0 ISHARES TR Equity 46434VAQ3 757 30032 SH SOLE 30032 0 0 ISHARES TR Equity 46434VBK5 710 28818 SH SOLE 28818 0 0 ISHARES TR Equity 46434VBA7 550 22197 SH SOLE 22197 0 0 ISHARES TR Equity 46434VAX8 747 29864 SH SOLE 29864 0 0 ISHARES TR Equity 464288448 289 12804 SH SOLE 12804 0 0 ISHARES TR Equity 464288257 7654 122331 SH SOLE 122331 0 0 ISHARES TR Equity 464288182 608 10178 SH SOLE 10178 0 0 ISHARES TR Equity 464287465 4561 85325 SH SOLE 85325 0 0 ISHARES TR Equity 464288273 225 5028 SH SOLE 5028 0 0 ISHARES TR Equity 464287234 353 10335 SH SOLE 10335 0 0 ISHARES TR Equity 464287614 927 6154 SH SOLE 6154 0 0 ISHARES TR Equity 464287598 973 9813 SH SOLE 9813 0 0 ISHARES TR Equity 464287655 1856 16219 SH SOLE 16219 0 0 ISHARES TR Equity 464287101 2024 17063 SH SOLE 17063 0 0 ISHARES TR Equity 464288372 249 7291 SH SOLE 7291 0 0 ISHARES TR Equity 464287507 1590 11050 SH SOLE 11050 0 0 ISHARES TR Equity 464287804 741 13212 SH SOLE 13212 0 0 ISHARES TR Equity 464287622 281 1988 SH SOLE 1988 0 0 ISHARES TR Equity 464287499 1436 33262 SH SOLE 33262 0 0 JOHNSON & JOHNSON Equity 478160104 789 6017 SH SOLE 6017 0 0 JPMORGAN CHASE & CO Equity 46625H100 2434 27035 SH SOLE 27035 0 0 KAYNE ANDERSN MLP MIDS INVT Equity 486606106 140 38595 SH SOLE 38595 0 0 EXCHANGE LISTED FDS TR Equity 30151E608 1491 51723 SH SOLE 51723 0 0 LOGMEIN INC Equity 54142L109 239 2874 SH SOLE 2874 0 0 LYFT INC Equity 55087P104 1946 72464 SH SOLE 72464 0 0 MASTERCARD INC Equity 57636Q104 258 1069 SH SOLE 1069 0 0 MCDONALDS CORP Equity 580135101 309 1870 SH SOLE 1870 0 0 MCEWEN MNG INC Equity 58039P107 7 10000 SH SOLE 10000 0 0 MERCK & CO. INC Equity 58933Y105 344 4485 SH SOLE 4485 0 0 MICROSOFT CORP Equity 594918104 2764 17523 SH SOLE 17523 0 0 NATIONAL HEALTH INVS INC Equity 63633DAE4 19 20000 SH SOLE 20000 0 0 NEUBERGER BRMAN CLIFRN MUNI Equity 64123C101 1170 88996 SH SOLE 88996 0 0 NEWELL BRANDS INC Equity 651229106 142 10672 SH SOLE 10672 0 0 NEXTERA ENERGY INC Equity 65339F101 509 2117 SH SOLE 2117 0 0 NIKE INC Equity 654106103 205 2485 SH SOLE 2485 0 0 NORTHERN DYNASTY MINERALS LT Equity 66510M204 4 10000 SH SOLE 10000 0 0 NORTHERN TR CORP Equity 665859104 454 6016 SH SOLE 6016 0 0 NUVEEN AMT FREE MUN CR INC F Equity 67071L106 4153 282918 SH SOLE 282918 0 0 NUVEEN AMT FREE QLTY MUN INC Equity 670657105 5017 370552 SH SOLE 370552 0 0 NUVEEN CA QUALTY MUN INCOME Equity 67066Y105 677 49416 SH SOLE 49416 0 0 NUVEEN QUALITY MUNCP INCOME Equity 67066V101 5043 367051 SH SOLE 367051 0 0 NVIDIA CORP Equity 67066G104 215 816 SH SOLE 816 0 0 PAYPAL HLDGS INC Equity 70450Y103 290 3031 SH SOLE 3031 0 0 PEPSICO INC Equity 713448108 709 5902 SH SOLE 5902 0 0 PFIZER INC Equity 717081103 1571 48133 SH SOLE 48133 0 0 PGIM GLOBAL HIGH YIELD FD FO Equity 69346J106 2984 269811 SH SOLE 269811 0 0 PGIM HIGH YIELD BOND FUND IN Equity 69346H100 4256 367567 SH SOLE 367567 0 0 INVESCO QQQ TR Equity 46090E103 204 1073 SH SOLE 1073 0 0 PRA GROUP INC Equity 69354N106 1700 61336 SH SOLE 61336 0 0 PROCTER & GAMBLE CO Equity 742718109 2243 20393 SH SOLE 20393 0 0 RIVERNORTH MARKETPLACE LENDI Equity 76882B108 198 12274 SH SOLE 12274 0 0 EXCHANGE LISTED FDS TR Equity 30151E806 324 21245 SH SOLE 21245 0 0 SCHWAB STRATEGIC TR Equity 808524706 1712 82757 SH SOLE 82757 0 0 SCHWAB STRATEGIC TR Equity 808524730 437 21237 SH SOLE 21237 0 0 SCHWAB STRATEGIC TR Equity 808524805 2012 77867 SH SOLE 77867 0 0 SCHWAB STRATEGIC TR Equity 808524888 443 18162 SH SOLE 18162 0 0 SCHWAB STRATEGIC TR Equity 808524862 31159 602343 SH SOLE 602343 0 0 SCHWAB STRATEGIC TR Equity 808524102 5860 96964 SH SOLE 96964 0 0 SCHWAB STRATEGIC TR Equity 808524201 1774 28969 SH SOLE 28969 0 0 SCHWAB STRATEGIC TR Equity 808524508 596 14130 SH SOLE 14130 0 0 SCHWAB STRATEGIC TR Equity 808524607 687 13336 SH SOLE 13336 0 0 SCHWAB STRATEGIC TR Equity 808524839 1083 19964 SH SOLE 19964 0 0 SCHWAB STRATEGIC TR Equity 808524797 482 10721 SH SOLE 10721 0 0 SEACOR HOLDINGS INC Equity 811904AM3 9 10000 SH SOLE 10000 0 0 SERVICESOURCE INTL INC Equity 81763U100 33 37500 SH SOLE 37500 0 0 SPDR SER TR Equity 78468R622 280 2952 SH SOLE 2952 0 0 SPDR GOLD TRUST Equity 78463V107 1320 8917 SH SOLE 8917 0 0 SPDR SER TR Equity 78468R739 918 18773 SH SOLE 18773 0 0 SPDR INDEX SHS FDS Equity 78463X889 10111 422334 SH SOLE 422334 0 0 SPDR INDEX SHS FDS Equity 78463X509 3747 131657 SH SOLE 131657 0 0 SPDR SER TR Equity 78464A847 3310 130679 SH SOLE 130679 0 0 SPDR SER TR Equity 78464A854 9377 309987 SH SOLE 309987 0 0 SPDR SER TR Equity 78468R853 3567 163331 SH SOLE 163331 0 0 SPDR S&P 500 ETF TR Equity 78462F103 12138 47090 SH SOLE 47090 0 0 SPDR SER TR Equity 78468R663 42816 467267 SH SOLE 467267 0 0 SPROTT PHYSICAL GOLD & SILVE Equity 85208R101 403 27587 SH SOLE 27587 0 0 TECH DATA CORP Equity 878237106 205 1564 SH SOLE 1564 0 0 SELECT SECTOR SPDR TR Equity 81369Y803 361 4487 SH SOLE 4487 0 0 TEMPLETON GLOBAL INCOME FD Equity 880198106 2636 492632 SH SOLE 492632 0 0 TESLA INC Equity 88160R101 1197 2285 SH SOLE 2285 0 0 THERMO FISHER SCIENTIFIC INC Equity 883556102 1146 4041 SH SOLE 4041 0 0 UNITEDHEALTH GROUP INC Equity 91324P102 887 3558 SH SOLE 3558 0 0 US BANCORP DEL Equity 902973304 250 7256 SH SOLE 7256 0 0 VANGUARD SPECIALIZED FUNDS Equity 921908844 2584 24989 SH SOLE 24989 0 0 VANGUARD TAX-MANAGED INTL FD Equity 921943858 3988 119608 SH SOLE 119608 0 0 VANGUARD INTL EQUITY INDEX F Equity 922042858 2723 81175 SH SOLE 81175 0 0 VANGUARD INTL EQUITY INDEX F Equity 922042874 617 14245 SH SOLE 14245 0 0 VANGUARD INTL EQUITY INDEX F Equity 922042866 386 6992 SH SOLE 6992 0 0 VANGUARD INTL EQUITY INDEX F Equity 922042676 252 5877 SH SOLE 5877 0 0 VANGUARD INDEX FDS Equity 922908629 2030 15422 SH SOLE 15422 0 0 VANGUARD MUN BD FD INC Equity 922907746 772 14590 SH SOLE 14590 0 0 VANGUARD INDEX FDS Equity 922908363 2710 11443 SH SOLE 11443 0 0 VANGUARD ADMIRAL FDS INC Equity 921932505 260 1750 SH SOLE 1750 0 0 VANGUARD SCOTTSDALE FDS Equity 92206C409 321 4062 SH SOLE 4062 0 0 VANGUARD INDEX FDS Equity 922908751 1446 12526 SH SOLE 12526 0 0 VANGUARD BD INDEX FDS Equity 921937835 227 2658 SH SOLE 2658 0 0 VANGUARD CHARLOTTE FDS Equity 92203J407 207 3673 SH SOLE 3673 0 0 VANGUARD INDEX FDS Equity 922908769 5456 42327 SH SOLE 42327 0 0 VANGUARD INTL EQUITY INDEX F Equity 922042742 658 10482 SH SOLE 10482 0 0 VECTOR GROUP LTD Equity 92240MBC1 20 20000 SH SOLE 20000 0 0 VERINT SYS INC Equity 92343XAA8 19 20000 SH SOLE 20000 0 0 VERIZON COMMUNICATIONS INC Equity 92343V104 468 8718 SH SOLE 8718 0 0 VISA INC Equity 92826C839 414 2567 SH SOLE 2567 0 0 VIVALDI OPPORTUNITIES FD Equity 92853C207 44426 3994879 SH OTR 0 0 3994879 VIVALDI OPPORTUNITIES FD Equity 92853C207 2752 247455 SH DFND 0 247455 0 WABCO HLDGS INC Equity 92927K102 458 3389 SH SOLE 3389 0 0 WALMART INC Equity 931142103 307 2714 SH SOLE 2714 0 0 WILLIS TOWERS WATSON PLC LTD Equity G96629103 296 1744 SH SOLE 1744 0 0