0001682021-21-000004.txt : 20210517 0001682021-21-000004.hdr.sgml : 20210517 20210517171130 ACCESSION NUMBER: 0001682021-21-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210331 FILED AS OF DATE: 20210517 DATE AS OF CHANGE: 20210517 EFFECTIVENESS DATE: 20210517 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: 21932226 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 03-31-2021 03-31-2021 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 05-17-2021 0 359 505522 INFORMATION TABLE 2 infotable.xml 26 CAPITAL ACQUISITION CORP Equity 90138P100 146 15000 SH SOLE 15000 0 0 3M CO COM 88579Y101 1169 5722 SH SOLE 5722 0 0 5 01 ACQUISITION CORP Equity 33836P105 107 10720 SH SOLE 10720 0 0 7GC & CO HOLDINGS INC Equity 81786A206 132 12986 SH SOLE 12986 0 0 ABBOTT LABS COM 002824100 1000 8453 SH SOLE 8453 0 0 ABBVIE INC COM 00287Y109 1171 10056 SH SOLE 10056 0 0 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 796 2762 SH SOLE 2762 0 0 ACON S2 ACQUISITION CORP Equity G00748106 203 20720 SH SOLE 20720 0 0 ADIT EDTECH ACQUISITION CORP Equity 007024201 148 15000 SH SOLE 15000 0 0 AEA-BRIDGES IMPACT CORP Equity G01046104 109 11058 SH SOLE 11058 0 0 ALKURI GLOBAL ACQUISITION CO Equity 66981N202 99 10000 SH SOLE 10000 0 0 ALLIANCEBERNSTEIN GLOBAL HIG COM 01879R106 2678 225191 SH SOLE 225191 0 0 ALPHABET INC CAP STK CL A 02079K305 968 425 SH SOLE 425 0 0 ALPHABET INC CAP STK CL C 02079K107 1896 819 SH SOLE 819 0 0 ALPS ETF TR ALERIAN MLP 00162Q452 801 23180 SH SOLE 23180 0 0 ALTRIA GROUP INC COM 02209S103 217 4321 SH SOLE 4321 0 0 AMAZON COM INC COM 023135106 896 278 SH SOLE 278 0 0 AMERICAN EXPRESS CO COM 025816109 211 1345 SH SOLE 1345 0 0 AMERICAS TECHNOLOGY ACQSN CO Equity G0404A102 198 19924 SH SOLE 19924 0 0 AMGEN INC COM 031162100 671 2669 SH SOLE 2669 0 0 AMPLITUDE HLTHCRE AQUSTIN CO Equity 03212A105 150 15121 SH SOLE 15121 0 0 ANGEL OAK FINL STRATEGIES IN COM BEN INT 03464A100 19880 1097118 SH SOLE 1097118 0 0 ANNALY CAPITAL MANAGEMENT IN COM 035710409 91 10000 SH SOLE 10000 0 0 APOLLO STRATEGIC GROWTH CAPT Equity G0411R106 129 13000 SH SOLE 13000 0 0 APPLE INC COM 037833100 8287 65018 SH SOLE 65018 0 0 ARES ACQUISITION CORPORATION Equity G33032114 150 15000 SH SOLE 15000 0 0 ARK ETF TR INNOVATION ETF 00214Q104 1080 10357 SH SOLE 10357 0 0 ARK ETF TR GENOMIC REV ETF 00214Q302 572 7472 SH SOLE 7472 0 0 ARTIUS ACQUISITION INC Equity 04316G105 141 14000 SH SOLE 14000 0 0 ASCENDANT DIGITAL ACQUISITIO Equity G05155109 117 11856 SH SOLE 11856 0 0 AT&T INC COM 00206R102 622 19294 SH SOLE 19294 0 0 ATHENE HOLDING LTD CL A G0684D107 246 3949 SH SOLE 3949 0 0 ATHLON ACQUISITION CORP Equity 04748A205 124 12500 SH SOLE 12500 0 0 ATLAS CREST INVESTMENT CORP Equity 049287204 100 10000 SH SOLE 10000 0 0 AUTHENTIC EQUITY ACQUISTN CO Equity G06607116 99 10000 SH SOLE 10000 0 0 AVANTI ACQUISITION CORP Equity G0682V109 171 17500 SH SOLE 17500 0 0 BANK NEW YORK MELLON CORP COM 064058100 298 5758 SH SOLE 5758 0 0 BCLS ACQUISITION CORP Equity G0904B105 158 14985 SH SOLE 14985 0 0 BENESSERE CAPITAL ACQUSTN CO Equity 08179B103 117 11760 SH SOLE 11760 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 1832 6304 SH SOLE 6304 0 0 BERKSHIRE HATHAWAY INC DEL CL A 084670108 437 1 SH SOLE 1 0 0 BETTER WORLD ACQUISITION COR Equity 08772B104 139 14000 SH SOLE 14000 0 0 BIOHITECH GLOBAL INC COM 09074B107 22 18782 SH SOLE 18782 0 0 BIOTECH ACQUISITION COMPANY Equity G1125A124 99 10000 SH SOLE 10000 0 0 BK OF AMERICA CORP COM 060505104 405 9569 SH SOLE 9569 0 0 BLACKROCK CALIF MUN INCOME T SH BEN INT 09248E102 1625 110502 SH SOLE 110502 0 0 BLACKROCK INC COM 09247X101 354 413 SH SOLE 413 0 0 BLACKROCK MUNI INTER DR FD I COM 09253X102 8689 572382 SH SOLE 572382 0 0 BLACKROCK MUNIYIELD CALIF FD COM 09254M105 1401 89096 SH SOLE 89096 0 0 BLACKROCK MUNIYIELD CALIF QU COM 09254N103 815 54002 SH SOLE 54002 0 0 BLACKROCK MUNIYIELD QUALITY COM 09254E103 7971 555875 SH SOLE 555875 0 0 BLUERIVER ACQUISITION CORP Equity G1261Q123 131 13125 SH SOLE 13125 0 0 BOOKING HOLDINGS INC COM 09857L108 256 112 SH SOLE 112 0 0 BRIGHT LIGHTS ACQUISITION CO Equity 10920K200 113 11395 SH SOLE 11395 0 0 BRISTOL-MYERS SQUIBB CO COM 110122108 322 4964 SH SOLE 4964 0 0 BROADRIDGE FINL SOLUTIONS IN COM 11133T103 268 1642 SH SOLE 1642 0 0 BROADSCALE ACQUISITION CORP Equity 11134Y200 139 14000 SH SOLE 14000 0 0 BROOKFIELD ASSET MGMT INC CL A LTD VT SH 112585104 351 7253 SH SOLE 7253 0 0 BROOKFIELD INFRAST PARTNERS LP INT UNIT G16252101 527 10000 SH SOLE 10000 0 0 BURGUNDY TECHNOLOGY ACQU COR Equity G1702T116 153 15488 SH SOLE 15488 0 0 C H ROBINSON WORLDWIDE INC COM NEW 12541W209 562 5629 SH SOLE 5629 0 0 CARNEY TECHNOLOGY ACQU CORP Equity 143636207 161 16000 SH SOLE 16000 0 0 CARTESIAN GROWTH CORP Equity G19276123 113 11362 SH SOLE 11362 0 0 CBRE GROUP INC CL A 12504L109 434 5029 SH SOLE 5029 0 0 CC NEUBERGER PRIN HLDGS II Equity G3166T103 138 13959 SH SOLE 13959 0 0 CF ACQUISITION CORP IV Equity 12520T102 176 18000 SH SOLE 18000 0 0 CF ACQUISITION CORP V Equity 12520R205 132 13200 SH SOLE 13200 0 0 CF ACQUISITION CORP VI Equity 12521J202 99 10000 SH SOLE 10000 0 0 CF ACQUISITION CORP VIII Equity 12520C208 99 10000 SH SOLE 10000 0 0 CHEVRON CORP NEW COM 166764100 268 2446 SH SOLE 2446 0 0 CHP MERGER CORP Equity 12558Y106 153 15451 SH SOLE 15451 0 0 CISCO SYS INC COM 17275R102 971 18349 SH SOLE 18349 0 0 CLARIM ACQUISITION CORP Equity 18049C207 112 11250 SH SOLE 11250 0 0 CLOROX CO DEL COM 189054109 253 1395 SH SOLE 1395 0 0 CME GROUP INC COM 12572Q105 604 2785 SH SOLE 2785 0 0 COCA COLA CO COM 191216100 602 11008 SH SOLE 11008 0 0 COLICITY INC Equity 194170205 256 25395 SH SOLE 25395 0 0 COMCAST CORP NEW CL A 20030N101 450 7668 SH SOLE 7668 0 0 CONAGRA BRANDS INC COM 205887102 260 6920 SH SOLE 6920 0 0 CONCORD ACQUISITION CORP Equity 206071102 176 18000 SH SOLE 18000 0 0 CONSONANCE HFW ACQUISITION C Equity G2445M103 131 13604 SH SOLE 13604 0 0 CORNER GROWTH ACQUISITION CO Equity G2425N105 196 19998 SH SOLE 19998 0 0 CRISPR THERAPEUTICS AG NAMEN AKT H17182108 206 1935 SH SOLE 1935 0 0 CUMMINS INC COM 231021106 285 1072 SH SOLE 1072 0 0 D R HORTON INC COM 23331A109 1912 19856 SH SOLE 19856 0 0 DAVIDSTEA INC COM 238661102 105 30500 SH SOLE 30500 0 0 DEEP LAKE CAPITAL ACQUSTN CO Equity G27029126 146 14540 SH SOLE 14540 0 0 DEERE & CO COM 244199105 481 1252 SH SOLE 1252 0 0 DELWINDS INS ACQUISITION COR Equity 24803C201 104 10400 SH SOLE 10400 0 0 DIAMONDHEAD HOLDINGS CORP Equity 25278L204 154 15500 SH SOLE 15500 0 0 DISNEY WALT CO COM 254687106 1275 7338 SH SOLE 7338 0 0 DNP SELECT INCOME FD INC COM 23325P104 1819 176768 SH SOLE 176768 0 0 DOUBLELINE INCOME SOLUTIONS COM 258622109 180 10100 SH SOLE 10100 0 0 DPCM CAP INC Equity 23344P101 128 12999 SH SOLE 12999 0 0 DTF TAX-FREE INCOME INC COM 23334J107 744 50743 SH SOLE 50743 0 0 DWS MUN INCOME TR COM 233368109 6062 514203 SH SOLE 514203 0 0 E MERGE TECHNOLOGY ACQUISITI Equity 26873Y104 185 18953 SH SOLE 18953 0 0 EAST RES ACQUISITION CO Equity 274681105 176 18024 SH SOLE 18024 0 0 EASTSIDE DISTILLING INC COM 277802302 19 11000 SH SOLE 11000 0 0 EATON VANCE CALIF MUN BD FD COM 27828A100 1615 135392 SH SOLE 135392 0 0 EATON VANCE LTD DURATION INC COM 27828H105 4240 331755 SH SOLE 331755 0 0 ECOLAB INC COM 278865100 246 1100 SH SOLE 1100 0 0 ECP ENVIRONMENTAL GW OPT COR Equity 26829T209 101 10000 SH SOLE 10000 0 0 EMERSON ELEC CO COM 291011104 224 2338 SH SOLE 2338 0 0 EMPOWERMENT & INCLUSION CAPI Equity 29248N209 168 17000 SH SOLE 17000 0 0 ENTERCOM COMMUNICATIONS CORP CL A 293639100 53 12600 SH SOLE 12600 0 0 ENVIRONMENTAL IMPACT ACQU CO Equity 29408N205 101 10000 SH SOLE 10000 0 0 EQUITY DISTR ACQUISITION COR Equity 29465E106 158 15915 SH SOLE 15915 0 0 EUROPEAN SUSTAINABLE GROWTH Equity G3194F109 194 20000 SH SOLE 20000 0 0 EXCHANGE TRADED CONCEPTS TR ROBO GLB ETF 301505707 308 4978 SH SOLE 4978 0 0 EXTENDED STAY AMER INC Equity 30224P200 472 23890 SH SOLE 23890 0 0 EXXON MOBIL CORP COM 30231G102 688 11321 SH SOLE 11321 0 0 FACEBOOK INC CL A 30303M102 1328 4203 SH SOLE 4203 0 0 FEDEX CORP COM 31428X106 256 828 SH SOLE 828 0 0 FG NEW AMER ACQUISITION CORP Equity 30259V106 151 14781 SH SOLE 14781 0 0 FIRST TR EXCH TRADED FD III PFD SECS INC ETF 33739E108 444 21825 SH SOLE 21825 0 0 FIRST TR EXCH TRADED FD III MERGER ARBITRA 33740J203 1140 57481 SH SOLE 57481 0 0 FIRST TR EXCH TRD ALPHDX FD ASIA EX JAPAN 33737J109 5330 148022 SH SOLE 148022 0 0 FIRST TR EXCHANGE-TRADED FD NO AMER ENERGY 33738D101 326 13358 SH SOLE 13358 0 0 FIRST TR EXCHANGE-TRADED FD FST LOW OPPT EFT 33739Q200 24118 472157 SH SOLE 472157 0 0 FIRST TR EXCHNG TRADED FD VI CBOE EQT BUFER 33740F847 1149 30890 SH SOLE 30890 0 0 FIRST TR EXCHNG TRADED FD VI FT CBOE EQTY BFR 33740U505 339 10398 SH SOLE 10398 0 0 FIRSTMARK HORIZON ACQUISITIO Equity 33765Y101 101 10110 SH SOLE 10110 0 0 FORTRESS CAPITAL ACQUISITION Equity G36427113 160 16000 SH SOLE 16000 0 0 FORTRESS VALUE ACQUIS CORP I Equity 34964G206 142 14203 SH SOLE 14203 0 0 FRAZIER LIFESCIENCES ACQU CO Equity G3710A105 125 12500 SH SOLE 12500 0 0 FTAC ATHENA ACQUISITION CORP Equity G37283127 100 10000 SH SOLE 10000 0 0 FUSION ACQUISITION CORP II Equity 36118N201 99 10000 SH SOLE 10000 0 0 GALECTIN THERAPEUTICS INC COM NEW 363225202 45 10668 SH SOLE 10668 0 0 GAMING & LEISURE PPTYS INC COM 36467J108 4016 87347 SH SOLE 87347 0 0 GENERAL ELECTRIC CO COM 369604103 1820 137289 SH SOLE 137289 0 0 GIGCAPITAL4 INC Equity 37518G200 148 15000 SH SOLE 15000 0 0 GLOBAL PARTNER ACQISTN CORP Equity G3934P110 99 10000 SH SOLE 10000 0 0 GLOBAL X FDS GLBL X MLP ETF 37954Y343 1801 48590 SH SOLE 48590 0 0 GO ACQUISITION CORP Equity 362019101 179 18201 SH SOLE 18201 0 0 GOLDMAN SACHS GROUP INC COM 38141G104 461 1250 SH SOLE 1250 0 0 GW PHARMACEUTICALS PLC Equity 36197T103 591 2727 SH SOLE 2727 0 0 HEALTHCARE CAPITAL CORP Equity 42228C200 177 17969 SH SOLE 17969 0 0 H I G ACQUISITION CORP Equity G44898107 141 14184 SH SOLE 14184 0 0 HIGHLAND TRANSCEND PARTNERS Equity G44690108 148 15099 SH SOLE 15099 0 0 HMS HLDGS CORP Equity 40425J101 325 8785 SH SOLE 8785 0 0 HOME DEPOT INC COM 437076102 948 2930 SH SOLE 2930 0 0 HONEYWELL INTL INC COM 438516106 541 2379 SH SOLE 2379 0 0 HORIZON ACQUISITION CORP Equity G46049105 147 14919 SH SOLE 14919 0 0 HUDSON EXECUTIVE INVS CORP I Equity 443760202 151 15386 SH SOLE 15386 0 0 IAC INTERACTIVECORP NEW COM 44891N109 354 1549 SH SOLE 1549 0 0 IG ACQUISITION CORP Equity 449534106 198 20000 SH SOLE 20000 0 0 INPHI CORP Equity 45772F107 476 2668 SH SOLE 2668 0 0 INTEL CORP COM 458140100 777 14039 SH SOLE 14039 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 212 1465 SH SOLE 1465 0 0 INVESCO DYNAMIC CR OPPORTUNI COM 46132R104 2759 238240 SH SOLE 238240 0 0 INVESCO EXCHANGE TRADED FD T WILDERHIL CLAN 46137V134 314 4168 SH SOLE 4168 0 0 INVESCO EXCHANGE TRADED FD T GLOBAL DRGN CN 46137V571 228 3976 SH SOLE 3976 0 0 INVESCO EXCHANGE TRADED FD T INVESCO MSCI 46137V407 375 5310 SH SOLE 5310 0 0 INVESCO QUALITY MUN INCOME T COM 46133G107 356 27169 SH SOLE 27169 0 0 INVESCO SR INCOME TR COM 46131H107 4139 980704 SH SOLE 980704 0 0 INVESCO VALUE MUN INCOME TR COM 46132P108 3206 200654 SH SOLE 200654 0 0 ISHARES GOLD TR ISHARES 464285105 4232 240986 SH SOLE 240986 0 0 ISHARES INC CORE MSCI EMKT 46434G103 1178 18355 SH SOLE 18355 0 0 ISHARES TR CORE S&P MCP ETF 464287507 2913 10724 SH SOLE 10724 0 0 ISHARES TR CORE S&P SCP ETF 464287804 840 7549 SH SOLE 7549 0 0 ISHARES TR CORE S&P500 ETF 464287200 8020 19178 SH SOLE 19178 0 0 ISHARES TR RUS 1000 VAL ETF 464287598 1765 10983 SH SOLE 10983 0 0 ISHARES TR RUS 1000 GRW ETF 464287614 1548 6157 SH SOLE 6157 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 2522 11410 SH SOLE 11410 0 0 ISHARES TR MSCI EAFE ETF 464287465 6118 76893 SH SOLE 76893 0 0 ISHARES TR RUS MID CAP ETF 464287499 2451 31762 SH SOLE 31762 0 0 ISHARES TR COHEN STEER REIT 464287564 1777 28929 SH SOLE 28929 0 0 ISHARES TR US HLTHCARE ETF 464287762 877 3313 SH SOLE 3313 0 0 ISHARES TR U.S. TECH ETF 464287721 566 6308 SH SOLE 6308 0 0 ISHARES TR NASDAQ BIOTECH 464287556 714 4773 SH SOLE 4773 0 0 ISHARES TR 1 3 YR TREAS BD 464287457 18384 213076 SH SOLE 213076 0 0 ISHARES TR MSCI EMG MKT ETF 464287234 564 10660 SH SOLE 10660 0 0 ISHARES TR S&P 100 ETF 464287101 1043 5515 SH SOLE 5515 0 0 ISHARES TR MSCI AC ASIA ETF 464288182 1489 16409 SH SOLE 16409 0 0 ISHARES TR CORE US AGGBD ET 464287226 565 4940 SH SOLE 4940 0 0 ISHARES TR SELECT DIVID ETF 464287168 4151 33820 SH SOLE 33820 0 0 ISHARES TR CORE S&P TTL STK 464287150 3798 39738 SH SOLE 39738 0 0 ISHARES TR IBOXX HI YD ETF 464288513 577 6611 SH SOLE 6611 0 0 ISHARES TR ISHS 1-5YR INVS 464288646 400 7300 SH SOLE 7300 0 0 ISHARES TR INTL SEL DIV ETF 464288448 354 10538 SH SOLE 10538 0 0 ISHARES TR NATIONAL MUN ETF 464288414 802 6878 SH SOLE 6878 0 0 ISHARES TR EAFE SML CP ETF 464288273 333 4462 SH SOLE 4462 0 0 ISHARES TR CALIF MUN BD ETF 464288356 1596 25581 SH SOLE 25581 0 0 ISHARES TR MSCI ACWI ETF 464288257 3716 37508 SH SOLE 37508 0 0 ISHARES TR GL CLEAN ENE ETF 464288224 206 9537 SH SOLE 9537 0 0 ISHARES TR SHRT NAT MUN ETF 464288158 13940 129365 SH SOLE 129365 0 0 ISHARES TR FLTG RATE NT ETF 46429B655 1134 22329 SH SOLE 22329 0 0 ISHARES TR CORE MSCI EAFE 46432F842 1586 20997 SH SOLE 20997 0 0 ISHARES TR 0-5YR HI YL CP 46434V407 572 12494 SH SOLE 12494 0 0 ISHARES TR IBONDS DEC21 ETF 46434VBK5 687 27700 SH SOLE 27700 0 0 ISHARES TR IBONDS DEC23 ETF 46434VAX8 723 27710 SH SOLE 27710 0 0 ISHARES TR IBONDS DEC22 ETF 46434VBA7 537 21107 SH SOLE 21107 0 0 ISHARES TR CORE INTL AGGR 46435G672 407 7441 SH SOLE 7441 0 0 ISHARES TR MSCI GLOBAL IMP 46435G532 204 2120 SH SOLE 2120 0 0 ISHARES TR CORE MSCI INTL 46435G326 875 12890 SH SOLE 12890 0 0 ISHARES TR ESG AWR MSCI USA 46435G425 467 4908 SH SOLE 4908 0 0 JACK CREEK INVESTMENT CORP Equity G4989X107 149 15000 SH SOLE 15000 0 0 JAWS MUSTANG ACQUISITION COR Equity G50737116 102 10000 SH SOLE 10000 0 0 JOHNSON & JOHNSON COM 478160104 1102 6472 SH SOLE 6472 0 0 JPMORGAN CHASE & CO COM 46625H100 3284 20023 SH SOLE 20023 0 0 KAIROS ACQUISITION CORP Equity G52110122 120 12000 SH SOLE 12000 0 0 KAYNE ANDERSON ENERGY INFRST COM 486606106 108 13594 SH SOLE 13594 0 0 KINS TECHNOLOGY GROUP INC Equity 49714K109 147 15000 SH SOLE 15000 0 0 KLUDEIN I ACQUISITION CORP Equity 49878L208 100 10000 SH SOLE 10000 0 0 LILLY ELI & CO COM 532457108 407 2075 SH SOLE 2075 0 0 LIONHEART ACQUISITION CORP I Equity 53625R104 139 14170 SH SOLE 14170 0 0 LIVE OAK ACQUISITION CORP II Equity 53804W106 150 15000 SH SOLE 15000 0 0 LYFT INC CL A COM 55087P104 1659 33408 SH SOLE 33408 0 0 MALACCA STRAITS ACQUISITION Equity G5859B117 169 17122 SH SOLE 17122 0 0 MANAGED PORTFOLIO SERIES KNWLDL LD ETF 46143U849 2265 50249 SH SOLE 50249 0 0 MARLIN TECHNOLOGY CORP Equity G58411128 178 18000 SH SOLE 18000 0 0 MASTERCARD INCORPORATED CL A 57636Q104 509 1399 SH SOLE 1399 0 0 MATCH GROUP INC NEW COM 57667L107 451 3170 SH SOLE 3170 0 0 MCAP ACQUISITION CORP Equity 55282T208 100 10000 SH SOLE 10000 0 0 MCDONALDS CORP COM 580135101 463 1997 SH SOLE 1997 0 0 MERCK & CO. INC COM 58933Y105 564 7203 SH SOLE 7203 0 0 MESABI TR CTF BEN INT 590672101 266 7000 SH SOLE 7000 0 0 MICROSOFT CORP COM 594918104 3296 13283 SH SOLE 13283 0 0 MONUMENT CIRCLE ACQUISITN CO Equity 61531M200 197 20000 SH SOLE 20000 0 0 MORGAN STANLEY COM NEW 617446448 413 4726 SH SOLE 4726 0 0 MOTIVE CAPITAL CORP Equity G6293A103 177 18024 SH SOLE 18024 0 0 MOTOROLA SOLUTIONS INC COM NEW 620076307 303 1501 SH SOLE 1501 0 0 MUDRICK CAPITAL ACQU CORP II Equity 62477L107 196 20000 SH SOLE 20000 0 0 NEUBERGER BRMAN CLIFRN MUNI COM 64123C101 1335 93889 SH SOLE 93889 0 0 NEXTERA ENERGY INC COM 65339F101 413 5645 SH SOLE 5645 0 0 NIKE INC CL B 654106103 326 2401 SH SOLE 2401 0 0 NOBLE ROCK ACQUISITION CORP Equity G6546R127 208 21000 SH SOLE 21000 0 0 NORTH ATLANTIC ACQUISITN COR Equity G66139117 149 15000 SH SOLE 15000 0 0 NORTH MOUNTAIN MERGER CORP Equity 661204107 190 19197 SH SOLE 19197 0 0 NORTHERN GENESIS ACQUISITION Equity 66516U101 149 15000 SH SOLE 15000 0 0 NORTHERN TR CORP COM 665859104 688 5726 SH SOLE 5726 0 0 NOVUS CAPITAL CORPORATION II Equity 67012W203 116 11600 SH SOLE 11600 0 0 NUVEEN AMT FREE QLTY MUN INC COM 670657105 5257 351165 SH SOLE 351165 0 0 NUVEEN CA QUALTY MUN INCOME COM 67066Y105 791 51817 SH SOLE 51817 0 0 NUVEEN NASDAQ 100 DYNAMIC OV COM SHS 670699107 219 8103 SH SOLE 8103 0 0 NUVEEN QUALITY MUNCP INCOME COM 67066V101 5407 354102 SH SOLE 354102 0 0 NVIDIA CORPORATION COM 67066G104 299 525 SH SOLE 525 0 0 OAKTREE ACQUISITION CORP II Equity G6715X103 177 17928 SH SOLE 17928 0 0 OBLONG INC COM 674434105 90 25590 SH SOLE 25590 0 0 OMNICELL COM COM 68213N109 237 1800 SH SOLE 1800 0 0 OMNICHANNEL ACQUISITION CORP Equity 68218L108 146 15000 SH SOLE 15000 0 0 ORACLE CORP COM 68389X105 247 3129 SH SOLE 3129 0 0 PAYCHEX INC COM 704326107 201 2007 SH SOLE 2007 0 0 PAYPAL HLDGS INC COM 70450Y103 827 3357 SH SOLE 3357 0 0 PEPSICO INC COM 713448108 678 4628 SH SOLE 4628 0 0 PERSPECTA INC Equity 715347100 316 10893 SH SOLE 10893 0 0 PFIZER INC COM 717081103 1557 38900 SH SOLE 38900 0 0 PGIM GLOBAL HIGH YIELD FD FO COM 69346J106 3487 230925 SH SOLE 230925 0 0 PGIM HIGH YIELD BOND FUND IN COM 69346H100 4906 311499 SH SOLE 311499 0 0 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 12865 126163 SH SOLE 126163 0 0 PIONEER MERGER CORP Equity G7S24C129 100 10000 SH SOLE 10000 0 0 PIVOTAL INVESTMENT CORP III Equity 72582M205 196 19600 SH SOLE 19600 0 0 PLURALSIGHT INC Equity 72941B106 339 15186 SH SOLE 15186 0 0 PMV CONSUMER ACQUISITION COR Equity 693486102 146 15000 SH SOLE 15000 0 0 POEMA GLOBAL HOLDINGS CORP Equity G7154B123 181 18051 SH SOLE 18051 0 0 POWER & DIGITAL INFRA ACQ CO Equity 739190205 151 15000 SH SOLE 15000 0 0 PRA GROUP INC COM 69354N106 2349 61336 SH SOLE 61336 0 0 PRIME IMPACT ACQUISITION I Equity G61074103 126 12999 SH SOLE 12999 0 0 PROCTER AND GAMBLE CO COM 742718109 2285 16558 SH SOLE 16558 0 0 PROSPECTOR CAPITAL CORP Equity G7273A105 102 10500 SH SOLE 10500 0 0 PRUDENTIAL FINL INC COM 744320102 392 3639 SH SOLE 3639 0 0 QUEENS GAMBIT GROWTH CAPITAL Equity G7315C127 121 12000 SH SOLE 12000 0 0 REALPAGE INC Equity 75606N109 867 9947 SH SOLE 9947 0 0 REINVENT TECHNOLOGY PARTNERS Equity G7484L114 151 15000 SH SOLE 15000 0 0 RESEARCH ALLIANCE CORP II Equity 760873109 133 13000 SH SOLE 13000 0 0 RICE ACQUISITION CORP Equity 762594109 109 10769 SH SOLE 10769 0 0 RIVERNORTH SPECIALTY FIN COR COM 76882B108 2149 116656 SH SOLE 116656 0 0 RMG ACQUISITION CORP III Equity G76088114 168 16851 SH SOLE 16851 0 0 ROMAN DBDR TECH ACQUISITION Equity 77584N101 249 25000 SH SOLE 25000 0 0 ROTH CH ACQUISITION II CO Equity 778673103 211 21342 SH SOLE 21342 0 0 RPM INTL INC COM 749685103 349 3600 SH SOLE 3600 0 0 SARISSA CAPITAL ACQUISITN CO Equity G7823W102 129 12785 SH SOLE 12785 0 0 SCHWAB CHARLES CORP COM 808513105 247 3374 SH SOLE 3374 0 0 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 4634 45938 SH SOLE 45938 0 0 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 4005 101470 SH SOLE 101470 0 0 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 4236 42053 SH SOLE 42053 0 0 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 1739 17280 SH SOLE 17280 0 0 SCHWAB STRATEGIC TR INTL SCEQT ETF 808524888 323 7781 SH SOLE 7781 0 0 SCHWAB STRATEGIC TR EMRG MKTEQ ETF 808524706 2192 69381 SH SOLE 69381 0 0 SCHWAB STRATEGIC TR SHT TM US TRES 808524862 19262 375487 SH SOLE 375487 0 0 SCHWAB STRATEGIC TR US MID-CAP ETF 808524508 1387 17952 SH SOLE 17952 0 0 SCHWAB STRATEGIC TR US AGGREGATE B 808524839 631 11668 SH SOLE 11668 0 0 SCHWAB STRATEGIC TR SCHWB FDT EMK LG 808524730 340 10832 SH SOLE 10832 0 0 SCION TECH GROWTH I Equity G31067120 103 10279 SH SOLE 10279 0 0 SELECT SECTOR SPDR TR ENERGY 81369Y506 779 14560 SH SOLE 14560 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 366 9659 SH SOLE 9659 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 874 6427 SH SOLE 6427 0 0 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 359 2908 SH SOLE 2908 0 0 SERVICESOURCE INTL INC COM 81763U100 169 125000 SH SOLE 125000 0 0 SEVEN OAKS ACQUISITION CORP Equity 81787X106 115 11761 SH SOLE 11761 0 0 SLACK TECHNOLOGIES INC Equity 83088V102 513 12625 SH SOLE 12625 0 0 SOARING EAGLE ACQUISITION CO Equity G8354H100 127 12500 SH SOLE 12500 0 0 SOCIAL LEVERAGE ACQUISN CORP Equity 83363K201 199 20000 SH SOLE 20000 0 0 SPARTAN ACQUISITION CORP III Equity 84677R205 181 18000 SH SOLE 18000 0 0 SPDR GOLD TR GOLD SHS 78463V107 2529 14646 SH SOLE 14646 0 0 SPDR INDEX SHS FDS PORTFOLIO EMG MK 78463X509 6891 157983 SH SOLE 157983 0 0 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 22353 603977 SH SOLE 603977 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 17985 43173 SH SOLE 43173 0 0 SPDR SER TR NUVEEN BLMBRG SR 78468R739 483 9750 SH SOLE 9750 0 0 SPDR SER TR S&P REGL BKG 78464A698 234 3285 SH SOLE 3285 0 0 SPDR SER TR PORTFOLIO S&P400 78464A847 7392 154798 SH SOLE 154798 0 0 SPDR SER TR BLOOMBERG BRCLYS 78468R622 298 2742 SH SOLE 2742 0 0 SPDR SER TR PORTFOLIO S&P500 78464A854 19436 396898 SH SOLE 396898 0 0 SPDR SER TR PORTFOLIO S&P600 78468R853 8174 188469 SH SOLE 188469 0 0 SPORTS ENTERTAINMENT ACQU CO Equity 84918M106 98 10000 SH SOLE 10000 0 0 SPORTS VENTURES ACQUISIN COR Equity G8372A111 119 12000 SH SOLE 12000 0 0 SPRING VY ACQUISITION CORP Equity G8377A108 102 10098 SH SOLE 10098 0 0 SPROTT PHYSICAL GOLD & SILVE TR UNIT 85208R101 323 16487 SH SOLE 16487 0 0 STAR PEAK CORP II Equity 855179107 162 16000 SH SOLE 16000 0 0 SUPERNOVA PARTNERS ACQUISITI Equity 86846V108 158 15641 SH SOLE 15641 0 0 TAILWIND ACQUISITION CORP Equity 87403Q102 129 13000 SH SOLE 13000 0 0 TAILWIND INTERNATNAL ACQ COR Equity G8662F127 148 15000 SH SOLE 15000 0 0 TARGET CORP COM 87612E106 802 3796 SH SOLE 3796 0 0 TEKKORP DIGITAL ACQUISITN CO Equity G8739H106 157 15992 SH SOLE 15992 0 0 TESLA INC COM 88160R101 5259 8918 SH SOLE 8918 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 1150 2504 SH SOLE 2504 0 0 TIGA ACQUISITION CORP Equity G88672103 120 11935 SH SOLE 11935 0 0 TREBIA ACQUISITION CORP Equity G9027T109 178 17849 SH SOLE 17849 0 0 TREEHOUSE FOODS INC COM 89469A104 366 7200 SH SOLE 7200 0 0 TREPONT ACQUISITION CORP I Equity G9095M101 144 14660 SH SOLE 14660 0 0 TURMERIC ACQUISITION CORP Equity G9127T116 100 10000 SH SOLE 10000 0 0 TWC TECH HLDGS II CORP Equity 90117G105 187 19000 SH SOLE 19000 0 0 TWO RDS SHARED TR ANFIELD CAP DI 90213U115 220 21808 SH SOLE 21808 0 0 UNION PAC CORP COM 907818108 337 1477 SH SOLE 1477 0 0 UNITED PARCEL SERVICE INC CL B 911312106 225 1039 SH SOLE 1039 0 0 UNITEDHEALTH GROUP INC COM 91324P102 997 2432 SH SOLE 2432 0 0 US BANCORP DEL COM NEW 902973304 755 12193 SH SOLE 12193 0 0 VANGUARD ADMIRAL FDS INC 500 GRTH IDX F 921932505 429 1750 SH SOLE 1750 0 0 VANGUARD BD INDEX FDS SHORT TRM BOND 921937827 260 3162 SH SOLE 3162 0 0 VANGUARD BD INDEX FDS TOTAL BND MRKT 921937835 222 2604 SH SOLE 2604 0 0 VANGUARD INDEX FDS TOTAL STK MKT 922908769 6534 30316 SH SOLE 30316 0 0 VANGUARD INDEX FDS MID CAP ETF 922908629 3152 13717 SH SOLE 13717 0 0 VANGUARD INDEX FDS SM CP VAL ETF 922908611 800 4562 SH SOLE 4562 0 0 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 634 6528 SH SOLE 6528 0 0 VANGUARD INDEX FDS SMALL CP ETF 922908751 2841 12932 SH SOLE 12932 0 0 VANGUARD INDEX FDS GROWTH ETF 922908736 271 1021 SH SOLE 1021 0 0 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 4062 10608 SH SOLE 10608 0 0 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 3754 72474 SH SOLE 72474 0 0 VANGUARD INTL EQUITY INDEX F FTSE PACIFIC ETF 922042866 492 6015 SH SOLE 6015 0 0 VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 922042874 933 13730 SH SOLE 13730 0 0 VANGUARD INTL EQUITY INDEX F FTSE SMCAP ETF 922042718 392 2933 SH SOLE 2933 0 0 VANGUARD INTL EQUITY INDEX F TT WRLD ST ETF 922042742 1908 18835 SH SOLE 18835 0 0 VANGUARD MUN BD FDS TAX EXEMPT BD 922907746 653 11876 SH SOLE 11876 0 0 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 283 3010 SH SOLE 3010 0 0 VANGUARD SPECIALIZED FUNDS DIV APP ETF 921908844 1642 10563 SH SOLE 10563 0 0 VANGUARD TAX-MANAGED INTL FD FTSE DEV MKT ETF 921943858 5250 101923 SH SOLE 101923 0 0 VARIAN MED SYS INC Equity 92220P105 1405 7959 SH SOLE 7959 0 0 VECTOIQ ACQUISITION CORP II Equity 92244F109 149 15000 SH SOLE 15000 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 848 14442 SH SOLE 14442 0 0 VIRTUOSO ACQUISITION CORP Equity 92837J203 99 10000 SH SOLE 10000 0 0 VISA INC COM CL A 92826C839 479 2111 SH SOLE 2111 0 0 VY GLOBAL GROWTH Equity G9444H100 121 11969 SH SOLE 11969 0 0 WALMART INC COM 931142103 454 3254 SH SOLE 3254 0 0 WATFORD HLDGS LTD Equity G94787101 218 6291 SH SOLE 6291 0 0 WILLIS TOWERS WATSON PLC LTD SHS G96629103 463 1747 SH SOLE 1747 0 0 WISDOMTREE TR JAPN HEDGE EQT 97717W851 205 3436 SH SOLE 3436 0 0 YUCAIPA ACQUISITION CORP Equity G9879L105 167 17000 SH SOLE 17000 0 0 Z-WORK ACQUISITION CORP Equity 98880C201 149 15000 SH SOLE 15000 0 0