0001682021-20-000008.txt : 20201116 0001682021-20-000008.hdr.sgml : 20201116 20201116104114 ACCESSION NUMBER: 0001682021-20-000008 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200930 FILED AS OF DATE: 20201116 DATE AS OF CHANGE: 20201116 EFFECTIVENESS DATE: 20201116 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: 201314456 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 09-30-2020 09-30-2020 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 11-16-2020 0 281 450288 INFORMATION TABLE 2 infotable.xml 3M CO COM 88579Y101 1152 6787 SH SOLE 6787 0 0 ABBOTT LABS COM 002824100 1103 9798 SH SOLE 9798 0 0 ABBVIE INC COM 00287Y109 1077 10871 SH SOLE 10871 0 0 ACAMAR PARTNERS ACQSITION CO Equity 004285102 395 38625 SH SOLE 38625 0 0 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 907 3753 SH SOLE 3753 0 0 ACE CONVERGENCE ACQU CORP Equity G0083D112 220 21462 SH SOLE 21462 0 0 AIMMUNE THERAPEUTICS INC Equity 00900T107 364 10556 SH SOLE 10556 0 0 ALLIANCEBERNSTEIN GLOBAL HIG COM 01879R106 2709 252964 SH SOLE 252964 0 0 ALLIANCEBERNSTEIN NATL MUN I COM 01864U106 6531 472886 SH SOLE 472886 0 0 ALPHA ARCHITECT ETF TR MERLYN AI BULL 02072L706 250 7956 SH SOLE 7956 0 0 ALPHABET INC CAP STK CL A 02079K305 1044 589 SH SOLE 589 0 0 ALPHABET INC CAP STK CL C 02079K107 2201 1239 SH SOLE 1239 0 0 ALPS ETF TR ALERIAN MLP 00162Q452 280 12188 SH SOLE 12188 0 0 ALUSSA ENERGY ACQUISITION CO Equity G0232J101 154 15478 SH SOLE 15478 0 0 AMAZON COM INC COM 023135106 763 244 SH SOLE 244 0 0 AMCI ACQUISITION CORP Equity 00165R101 207 20000 SH SOLE 20000 0 0 AMERICAN EXPRESS CO COM 025816109 231 2006 SH SOLE 2006 0 0 AMGEN INC COM 031162100 569 2399 SH SOLE 2399 0 0 ANDINA ACQUISITION CORP III Equity G04415108 250 24397 SH SOLE 24397 0 0 ANGEL OAK FINL STRATEGIES IN COM BEN INT 03464A100 20029 1181650 SH SOLE 1181650 0 0 ANNALY CAPITAL MANAGEMENT IN COM 035710409 142 18703 SH SOLE 18703 0 0 APEX TECHNOLOGY ACQUISITION Equity 03768F102 212 20000 SH SOLE 20000 0 0 APPLE INC COM 037833100 8003 67104 SH SOLE 67104 0 0 ARTIUS ACQUISITION INC Equity 04316G105 174 17500 SH SOLE 17500 0 0 AT&T INC COM 00206R102 578 20005 SH SOLE 20005 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 1544 6790 SH SOLE 6790 0 0 BERKSHIRE HATHAWAY INC DEL CL A 084670108 342 1 SH SOLE 1 0 0 BIOHITECH GLOBAL INC COM 09074B107 24 18782 SH SOLE 18782 0 0 BK OF AMERICA CORP COM 060505104 340 12597 SH SOLE 12597 0 0 BLACKROCK CALIF MUN INCOME T SH BEN INT 09248E102 1503 111528 SH SOLE 111528 0 0 BLACKROCK INC COM 09247X101 351 524 SH SOLE 524 0 0 BLACKROCK MUN INCOME QUALITY COM 092479104 2010 140051 SH SOLE 140051 0 0 BLACKROCK MUNI INTER DR FD I COM 09253X102 8630 605638 SH SOLE 605638 0 0 BLACKROCK MUNIYIELD CALIF FD COM 09254M105 1262 89614 SH SOLE 89614 0 0 BLACKROCK MUNIYIELD CALIF QU COM 09254N103 796 54392 SH SOLE 54392 0 0 BLACKROCK MUNIYIELD QUALITY COM 09254E103 8185 594427 SH SOLE 594427 0 0 BOOKING HOLDINGS INC COM 09857L108 236 115 SH SOLE 115 0 0 BRISTOL-MYERS SQUIBB CO COM 110122108 404 6344 SH SOLE 6344 0 0 BROADRIDGE FINL SOLUTIONS IN COM 11133T103 241 1642 SH SOLE 1642 0 0 BROOKFIELD ASSET MGMT INC CL A LTD VT SH 112585104 278 7480 SH SOLE 7480 0 0 BROOKFIELD INFRAST PARTNERS LP INT UNIT G16252101 510 10000 SH SOLE 10000 0 0 BURGUNDY TECHNOLOGY ACQU COR Equity G1702T132 100 10000 SH SOLE 10000 0 0 CATERPILLAR INC DEL COM 149123101 346 2013 SH SOLE 2013 0 0 CBRE GROUP INC CL A 12504L109 379 6562 SH SOLE 6562 0 0 CC NEUBERGER PRINCIPAL HLDNG Equity G1992Y106 172 15842 SH SOLE 15842 0 0 CF FIN ACQUISITION CORP Equity 12528N107 713 68600 SH SOLE 68600 0 0 CHENIERE ENERGY INC NOTE 4.250% 3/1 16411RAG4 8 10000 PRN SOLE 10000 0 0 CHEVRON CORP NEW COM 166764100 355 4281 SH SOLE 4281 0 0 CHURCHILL CAPITAL CORP IV Equity 171439102 134 13676 SH SOLE 13676 0 0 CHURCHILL CAPITAL CORP IV Equity 171439201 214 21396 SH SOLE 21396 0 0 CIIG MERGER CORP Equity 12559C202 104 10223 SH SOLE 10223 0 0 CISCO SYS INC COM 17275R102 662 15983 SH SOLE 15983 0 0 CLIMATE CHANGE CRISIS REAL I Equity 18716C209 201 20000 SH SOLE 20000 0 0 CLOROX CO DEL COM 189054109 289 1392 SH SOLE 1392 0 0 CM LIFE SCIENCES INC Equity 18978W208 131 12511 SH SOLE 12511 0 0 CME GROUP INC COM 12572Q105 757 4559 SH SOLE 4559 0 0 COCA COLA CO COM 191216100 597 11173 SH SOLE 11173 0 0 COMCAST CORP NEW CL A 20030N101 453 9245 SH SOLE 9245 0 0 CONAGRA BRANDS INC COM 205887102 249 6920 SH SOLE 6920 0 0 COSTCO WHSL CORP NEW COM 22160K105 218 576 SH SOLE 576 0 0 CRESCENT ACQUISITION CORP Equity 22564L105 455 45295 SH SOLE 45295 0 0 DAVIDSTEA INC COM 238661102 95 81500 SH SOLE 81500 0 0 DISNEY WALT CO COM DISNEY 254687106 1083 7824 SH SOLE 7824 0 0 DNP SELECT INCOME FD INC COM 23325P104 1793 172916 SH SOLE 172916 0 0 DOUBLELINE INCOME SOLUTIONS COM 258622109 179 11100 SH SOLE 11100 0 0 DTF TAX-FREE INCOME INC COM 23334J107 1086 75243 SH SOLE 75243 0 0 DUKE ENERGY CORP NEW COM NEW 26441C204 254 2676 SH SOLE 2676 0 0 DUNKIN BRANDS GROUP INC COM 265504100 255 2400 SH SOLE 2400 0 0 DWS MUN INCOME TR COM 233368109 6053 540946 SH SOLE 540946 0 0 E MERGE TECHNOLOGY ACQUISITI Equity 26873Y203 144 14250 SH SOLE 14250 0 0 EAST RES ACQUISITION CO Equity 274681204 370 36682 SH SOLE 36682 0 0 EATON VANCE CALIF MUN BD FD COM 27828A100 1565 135303 SH SOLE 135303 0 0 EATON VANCE LTD DURATION INC COM 27828H105 4457 372941 SH SOLE 372941 0 0 EATON VANCE SR FLTNG RTE TR COM 27828Q105 2424 190693 SH SOLE 190693 0 0 ECOLAB INC COM 278865100 229 1098 SH SOLE 1098 0 0 ENTERCOM COMMUNICATIONS CORP CL A 293639100 25 12600 SH SOLE 12600 0 0 EQUITY DISTR ACQUISITION COR Equity 29465E205 206 20000 SH SOLE 20000 0 0 EXXON MOBIL CORP COM 30231G102 364 10091 SH SOLE 10091 0 0 FACEBOOK INC CL A 30303M102 947 3418 SH SOLE 3418 0 0 FALCON CAPITAL ACQUISITN COR Equity 30606L207 206 20000 SH SOLE 20000 0 0 FEDEX CORP COM 31428X106 339 1248 SH SOLE 1248 0 0 FG NEW AMER ACQUISITION CORP Equity 30259V205 601 60000 SH SOLE 60000 0 0 FIRST TR EXCH TRADED FD III PFD SECS INC ETF 33739E108 296 15000 SH SOLE 15000 0 0 FIRST TR EXCH TRADED FD III MERGER ARBITRA 33740J203 1259 64506 SH SOLE 64506 0 0 FIRST TR EXCH TRD ALPHDX FD ASIA EX JAPAN 33737J109 4343 148726 SH SOLE 148726 0 0 FIRST TR EXCHANGE-TRADED FD NO AMER ENERGY 33738D101 240 11408 SH SOLE 11408 0 0 FORTRESS VALUE ACQUISITION I Equity 349642207 147 14225 SH SOLE 14225 0 0 FORUM MERGER III CORP Equity 349885103 172 17300 SH SOLE 17300 0 0 FTAC OLYMPUS ACQUISITION COR Equity G37288118 101 10100 SH SOLE 10100 0 0 FUSION ACQUISITION CORP Equity 36118H204 206 20000 SH SOLE 20000 0 0 GALECTIN THERAPEUTICS INC COM NEW 363225202 42 15439 SH SOLE 15439 0 0 GAMING & LEISURE PPTYS INC COM 36467J108 1930 46329 SH SOLE 46329 0 0 GIGCAPITAL2 INC Equity 375036100 186 18352 SH SOLE 18352 0 0 GLOBAL X FDS GLBL X MLP ETF 37954Y343 1541 62267 SH SOLE 62267 0 0 GOLDMAN SACHS GROUP INC COM 38141G104 439 2002 SH SOLE 2002 0 0 GX ACQUISITION CORP Equity 36251A107 279 26573 SH SOLE 26573 0 0 HAYMAKER ACQUISITION CORP II Equity 42087L101 757 75690 SH SOLE 75690 0 0 HOME DEPOT INC COM 437076102 763 2752 SH SOLE 2752 0 0 HONEYWELL INTL INC COM 438516106 427 2119 SH SOLE 2119 0 0 IAC INTERACTIVECORP NEW COM 44891N109 336 2481 SH SOLE 2481 0 0 IMMUNOMEDICS INC Equity 452907108 364 4280 SH SOLE 4280 0 0 INNOVATIVE INDL PPTYS INC COM 45781V101 392 2571 SH SOLE 2571 0 0 INTEL CORP COM 458140100 671 14755 SH SOLE 14755 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 226 1934 SH SOLE 1934 0 0 INVESCO CALIF MUN INCOME TR COM 46132P108 2968 196434 SH SOLE 196434 0 0 INVESCO DYNAMIC CR OPPORTUNI COM 46132R104 2624 268825 SH SOLE 268825 0 0 INVESCO EXCHANGE TRADED FD T GLOBAL DRGN CN 46137V571 237 3976 SH SOLE 3976 0 0 INVESCO QQQ TR UNIT SER 1 46090E103 347 1194 SH SOLE 1194 0 0 INVESCO QUALITY MUN INCOME T COM 46133G107 2969 238094 SH SOLE 238094 0 0 INVESCO SR INCOME TR COM 46131H107 4190 1102577 SH SOLE 1102577 0 0 INVESTMENT MANAGERS SER TR KNLDG LD ETF 46143U849 2017 50240 SH SOLE 50240 0 0 ISHARES GOLD TRUST ISHARES 464285105 4113 228501 SH SOLE 228501 0 0 ISHARES INC CORE MSCI EMKT 46434G103 1168 20193 SH SOLE 20193 0 0 ISHARES TR CORE S&P MCP ETF 464287507 2409 11422 SH SOLE 11422 0 0 ISHARES TR CORE S&P SCP ETF 464287804 798 9760 SH SOLE 9760 0 0 ISHARES TR CORE S&P500 ETF 464287200 7692 21407 SH SOLE 21407 0 0 ISHARES TR RUS 1000 VAL ETF 464287598 1276 9815 SH SOLE 9815 0 0 ISHARES TR RUS 1000 GRW ETF 464287614 1451 6406 SH SOLE 6406 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 2318 13360 SH SOLE 13360 0 0 ISHARES TR MSCI EAFE ETF 464287465 6309 90949 SH SOLE 90949 0 0 ISHARES TR RUS MID CAP ETF 464287499 2102 32962 SH SOLE 32962 0 0 ISHARES TR COHEN STEER REIT 464287564 1595 14528 SH SOLE 14528 0 0 ISHARES TR US HLTHCARE ETF 464287762 701 2902 SH SOLE 2902 0 0 ISHARES TR U.S. TECH ETF 464287721 450 1422 SH SOLE 1422 0 0 ISHARES TR NASDAQ BIOTECH 464287556 212 1505 SH SOLE 1505 0 0 ISHARES TR 1 3 YR TREAS BD 464287457 27988 324194 SH SOLE 324194 0 0 ISHARES TR MSCI EMG MKT ETF 464287234 421 8708 SH SOLE 8708 0 0 ISHARES TR S&P 100 ETF 464287101 952 5787 SH SOLE 5787 0 0 ISHARES TR MSCI AC ASIA ETF 464288182 1374 16292 SH SOLE 16292 0 0 ISHARES TR CORE US AGGBD ET 464287226 1177 10005 SH SOLE 10005 0 0 ISHARES TR SELECT DIVID ETF 464287168 3108 33849 SH SOLE 33849 0 0 ISHARES TR MSCI USA ESG SLC 464288802 820 5219 SH SOLE 5219 0 0 ISHARES TR CORE S&P TTL STK 464287150 2875 35380 SH SOLE 35380 0 0 ISHARES TR ISHS 1-5YR INVS 464288646 401 7300 SH SOLE 7300 0 0 ISHARES TR MSCI KLD400 SOC 464288570 799 5867 SH SOLE 5867 0 0 ISHARES TR INTL SEL DIV ETF 464288448 298 10838 SH SOLE 10838 0 0 ISHARES TR NATIONAL MUN ETF 464288414 1281 11037 SH SOLE 11037 0 0 ISHARES TR ISHS 5-10YR INVT 464288638 203 3330 SH SOLE 3330 0 0 ISHARES TR EAFE SML CP ETF 464288273 305 4842 SH SOLE 4842 0 0 ISHARES TR CALIF MUN BD ETF 464288356 1599 25594 SH SOLE 25594 0 0 ISHARES TR MSCI ACWI ETF 464288257 3183 37011 SH SOLE 37011 0 0 ISHARES TR SHRT NAT MUN ETF 464288158 6446 59718 SH SOLE 59718 0 0 ISHARES TR CORE MSCI TOTAL 46432F834 312 4932 SH SOLE 4932 0 0 ISHARES TR CORE MSCI EAFE 46432F842 1459 22316 SH SOLE 22316 0 0 ISHARES TR ULTR SH TRM BD 46434V878 607 12022 SH SOLE 12022 0 0 ISHARES TR IBONDS DEC20 ETF 46434VAQ3 719 28568 SH SOLE 28568 0 0 ISHARES TR IBONDS DEC21 ETF 46434VBK5 692 27700 SH SOLE 27700 0 0 ISHARES TR IBONDS DEC23 ETF 46434VAX8 726 27710 SH SOLE 27710 0 0 ISHARES TR IBONDS DEC22 ETF 46434VBA7 540 21107 SH SOLE 21107 0 0 ISHARES TR CORE INTL AGGR 46435G672 415 7441 SH SOLE 7441 0 0 ISHARES TR CORE MSCI INTL 46435G326 771 13210 SH SOLE 13210 0 0 JOHNSON & JOHNSON COM 478160104 1064 7095 SH SOLE 7095 0 0 JPMORGAN CHASE & CO COM 46625H100 2464 21597 SH SOLE 21597 0 0 JUNIPER INDL HLDGS INC Equity 48205G106 209 20000 SH SOLE 20000 0 0 KAYNE ANDERSON ENERGY INFRST COM 486606106 134 24863 SH SOLE 24863 0 0 LILLY ELI & CO COM 532457108 295 2072 SH SOLE 2072 0 0 LIONHEART ACQUISITION CORP I Equity 53625R203 199 20000 SH SOLE 20000 0 0 LIVONGO HEALTH INC Equity 539183103 771 5508 SH SOLE 5508 0 0 LYFT INC CL A COM 55087P104 2720 72464 SH SOLE 72464 0 0 MALACCA STRAITS ACQUISITION Equity G5859B125 366 36800 SH SOLE 36800 0 0 MASTERCARD INCORPORATED CL A 57636Q104 400 1194 SH SOLE 1194 0 0 MATCH GROUP INC NEW COM 57667L107 564 4286 SH SOLE 4286 0 0 MCDONALDS CORP COM 580135101 540 2531 SH SOLE 2531 0 0 MCEWEN MNG INC COM 58039P107 10 10000 SH SOLE 10000 0 0 MEDTRONIC PLC SHS G5960L103 202 1800 SH SOLE 1800 0 0 MERCK & CO. INC COM 58933Y105 564 6950 SH SOLE 6950 0 0 MICROSOFT CORP COM 594918104 3655 16882 SH SOLE 16882 0 0 MOMENTA PHARMACEUTICALS INC Equity 60877T100 288 5489 SH SOLE 5489 0 0 MONOCLE ACQUISITION CORP Equity 609754106 353 34494 SH SOLE 34494 0 0 MORGAN STANLEY COM NEW 617446448 379 6702 SH SOLE 6702 0 0 MOTOROLA SOLUTIONS INC COM NEW 620076307 256 1501 SH SOLE 1501 0 0 NATIONAL GEN HLDGS CORP Equity 636220303 469 13890 SH SOLE 13890 0 0 NEUBERGER BRMAN CLIFRN MUNI COM 64123C101 1238 93468 SH SOLE 93468 0 0 NEW PROVIDENCE ACQUISITION Equity 64822P106 392 38961 SH SOLE 38961 0 0 NEWELL BRANDS INC COM 651229106 200 10145 SH SOLE 10145 0 0 NEXTERA ENERGY INC COM 65339F101 624 8084 SH SOLE 8084 0 0 NIKE INC CL B 654106103 320 2496 SH SOLE 2496 0 0 NORTH MOUNTAIN MERGER CORP Equity 661204206 173 16954 SH SOLE 16954 0 0 NORTHERN DYNASTY MINERALS LT COM NEW 66510M204 9 10000 SH SOLE 10000 0 0 NORTHERN GENESIS ACQUISITION Equity 66516T203 200 20000 SH SOLE 20000 0 0 NORTHERN TR CORP COM 665859104 538 5926 SH SOLE 5926 0 0 NUVEEN AMT FREE QLTY MUN INC COM 670657105 5104 349330 SH SOLE 349330 0 0 NUVEEN CA QUALTY MUN INCOME COM 67066Y105 765 51888 SH SOLE 51888 0 0 NUVEEN FLOATING RATE INCOME COM 67072T108 3920 470603 SH SOLE 470603 0 0 NUVEEN QUALITY MUNCP INCOME COM 67066V101 5127 349270 SH SOLE 349270 0 0 NVIDIA CORPORATION COM 67066G104 265 498 SH SOLE 498 0 0 OAKTREE ACQUISITION CORP II Equity G6715X129 206 20000 SH SOLE 20000 0 0 PAYPAL HLDGS INC COM 70450Y103 425 2252 SH SOLE 2252 0 0 PEPSICO INC COM 713448108 819 5661 SH SOLE 5661 0 0 PFIZER INC COM 717081103 1734 44904 SH SOLE 44904 0 0 PGIM GLOBAL HIGH YIELD FD FO COM 69346J106 3518 261182 SH SOLE 261182 0 0 PGIM HIGH YIELD BOND FUND IN COM 69346H100 4979 352353 SH SOLE 352353 0 0 PMV CONSUMER ACQUISITION COR Equity 693486201 200 20000 SH SOLE 20000 0 0 PRA GROUP INC COM 69354N106 2363 61336 SH SOLE 61336 0 0 PRIME IMPACT ACQUISITION I Equity G61074111 130 13000 SH SOLE 13000 0 0 PROCTER AND GAMBLE CO COM 742718109 2619 18151 SH SOLE 18151 0 0 PRUDENTIAL FINL INC COM 744320102 279 3818 SH SOLE 3818 0 0 QELL ACQUISITION CORP Equity G7307X121 203 20000 SH SOLE 20000 0 0 REDBALL ACQUISITION CORP Equity G7417R121 160 15100 SH SOLE 15100 0 0 RENN FD INC COM 759720105 19 12703 SH SOLE 12703 0 0 RIVERNORTH SPECIALTY FIN COR COM 76882B108 2408 161857 SH SOLE 161857 0 0 RMG ACQUISITION CORP Equity 749641106 214 20000 SH SOLE 20000 0 0 ROSETTA STONE INC Equity 777780107 328 10953 SH SOLE 10953 0 0 RPM INTL INC COM 749685103 324 3600 SH SOLE 3600 0 0 SC HEALTH CORP Equity G78516203 319 31604 SH SOLE 31604 0 0 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 4170 48634 SH SOLE 48634 0 0 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 3077 90307 SH SOLE 90307 0 0 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 3256 37763 SH SOLE 37763 0 0 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 1324 16768 SH SOLE 16768 0 0 SCHWAB STRATEGIC TR INTL SCEQT ETF 808524888 279 7986 SH SOLE 7986 0 0 SCHWAB STRATEGIC TR EMRG MKTEQ ETF 808524706 1737 59492 SH SOLE 59492 0 0 SCHWAB STRATEGIC TR SHT TM US TRES 808524862 28411 552853 SH SOLE 552853 0 0 SCHWAB STRATEGIC TR US MID-CAP ETF 808524508 1130 18090 SH SOLE 18090 0 0 SCHWAB STRATEGIC TR US AGGREGATE B 808524839 639 11436 SH SOLE 11436 0 0 SCHWAB STRATEGIC TR SCHWB FDT EMK LG 808524730 303 11545 SH SOLE 11545 0 0 SELECT SECTOR SPDR TR ENERGY 81369Y506 248 7330 SH SOLE 7330 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 270 9997 SH SOLE 9997 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 802 6619 SH SOLE 6619 0 0 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 295 2627 SH SOLE 2627 0 0 SERVICENOW INC COM 81762P102 517 1017 SH SOLE 1017 0 0 SERVICESOURCE INTL INC COM 81763U100 121 87500 SH SOLE 87500 0 0 SILVER SPIKE ACQUISITION COR Equity G8136L106 478 47168 SH SOLE 47168 0 0 SOCIAL CAP HEDSPIA HLDG CO I Equity G8251K107 249 20011 SH SOLE 20011 0 0 SOFTWARE ACQUISITN GRUP INC Equity 83407F200 199 20000 SH SOLE 20000 0 0 SOUTH MTN MERGER CORP Equity 838884104 209 19970 SH SOLE 19970 0 0 SPDR GOLD TR GOLD SHS 78463V107 1609 9083 SH SOLE 9083 0 0 SPDR INDEX SHS FDS PORTFOLIO EMG MK 78463X509 5725 143640 SH SOLE 143640 0 0 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 16877 532560 SH SOLE 532560 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 17221 48090 SH SOLE 48090 0 0 SPDR SER TR NUVEEN BLMBRG SR 78468R739 830 16673 SH SOLE 16673 0 0 SPDR SER TR PORTFOLIO S&P400 78464A847 5400 145463 SH SOLE 145463 0 0 SPDR SER TR BLOOMBERG BRCLYS 78468R622 292 2742 SH SOLE 2742 0 0 SPDR SER TR PORTFOLIO S&P500 78464A854 15262 362609 SH SOLE 362609 0 0 SPDR SER TR PORTFOLIO S&P600 78468R853 5828 182937 SH SOLE 182937 0 0 SPROTT PHYSICAL GOLD & SILVE TR UNIT 85208R101 340 18092 SH SOLE 18092 0 0 STABLE RD ACQUISITION CORP Equity 85236Q109 405 40202 SH SOLE 40202 0 0 STARBOARD VALUE ACQUISITN CO Equity 85521J208 112 11098 SH SOLE 11098 0 0 STARBUCKS CORP COM 855244109 239 2500 SH SOLE 2500 0 0 TAILWIND ACQUISITION CORP Equity 87403Q201 201 20000 SH SOLE 20000 0 0 TARGET CORP COM 87612E106 406 2495 SH SOLE 2495 0 0 TEMPLETON GLOBAL INCOME FD COM 880198106 2470 473188 SH SOLE 473188 0 0 TESLA INC COM 88160R101 3775 9240 SH SOLE 9240 0 0 TEXAS INSTRS INC COM 882508104 385 2459 SH SOLE 2459 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 1485 3039 SH SOLE 3039 0 0 TORTOISE ACQUISITION CORP II Equity G89554110 163 15000 SH SOLE 15000 0 0 TREEHOUSE FOODS INC COM 89469A104 281 7200 SH SOLE 7200 0 0 TUSCAN HLDGS CORP Equity 90069K104 621 60977 SH SOLE 60977 0 0 TUSCAN HLDGS CORP II Equity 90070A103 139 13972 SH SOLE 13972 0 0 UNION PAC CORP COM 907818108 329 1616 SH SOLE 1616 0 0 UNITEDHEALTH GROUP INC COM 91324P102 1084 3048 SH SOLE 3048 0 0 UROGEN PHARMA LTD COM M96088105 233 10000 SH SOLE 10000 0 0 US BANCORP DEL COM NEW 902973304 376 8693 SH SOLE 8693 0 0 VANGUARD ADMIRAL FDS INC 500 GRTH IDX F 921932505 385 1750 SH SOLE 1750 0 0 VANGUARD BD INDEX FDS SHORT TRM BOND 921937827 327 3956 SH SOLE 3956 0 0 VANGUARD BD INDEX FDS TOTAL BND MRKT 921937835 700 7967 SH SOLE 7967 0 0 VANGUARD CHARLOTTE FDS INTL BD IDX ETF 92203J407 209 3586 SH SOLE 3586 0 0 VANGUARD INDEX FDS TOTAL STK MKT 922908769 6259 34144 SH SOLE 34144 0 0 VANGUARD INDEX FDS MID CAP ETF 922908629 3005 15506 SH SOLE 15506 0 0 VANGUARD INDEX FDS SM CP VAL ETF 922908611 461 3571 SH SOLE 3571 0 0 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 591 6924 SH SOLE 6924 0 0 VANGUARD INDEX FDS SMALL CP ETF 922908751 2284 13026 SH SOLE 13026 0 0 VANGUARD INDEX FDS GROWTH ETF 922908736 254 1066 SH SOLE 1066 0 0 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 3654 11105 SH SOLE 11105 0 0 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 3422 72613 SH SOLE 72613 0 0 VANGUARD INTL EQUITY INDEX F FTSE PACIFIC ETF 922042866 459 6199 SH SOLE 6199 0 0 VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 922042874 778 13655 SH SOLE 13655 0 0 VANGUARD INTL EQUITY INDEX F FTSE SMCAP ETF 922042718 330 2933 SH SOLE 2933 0 0 VANGUARD INTL EQUITY INDEX F TT WRLD ST ETF 922042742 1379 15822 SH SOLE 15822 0 0 VANGUARD MUN BD FDS TAX EXEMPT BD 922907746 1320 24237 SH SOLE 24237 0 0 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 309 3210 SH SOLE 3210 0 0 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 203 2455 SH SOLE 2455 0 0 VANGUARD SCOTTSDALE FDS VNG RUS2000IDX 92206C664 652 4650 SH SOLE 4650 0 0 VANGUARD SPECIALIZED FUNDS DIV APP ETF 921908844 1433 10399 SH SOLE 10399 0 0 VANGUARD TAX-MANAGED INTL FD FTSE DEV MKT ETF 921943858 4864 109826 SH SOLE 109826 0 0 VARIAN MED SYS INC Equity 92220P105 417 2425 SH SOLE 2425 0 0 VECTOR ACQUISITION CORP Equity G9442R100 203 20000 SH SOLE 20000 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 940 15388 SH SOLE 15388 0 0 VESPER HEALTHCARE ACQSTN COR Equity 92538T203 206 20100 SH SOLE 20100 0 0 VISA INC COM CL A 92826C839 563 2677 SH SOLE 2677 0 0 WALMART INC COM 931142103 547 3635 SH SOLE 3635 0 0 WILLIS TOWERS WATSON PLC LTD SHS G96629103 361 1747 SH SOLE 1747 0 0