0001682021-19-000004.txt : 20190213 0001682021-19-000004.hdr.sgml : 20190213 20190213165009 ACCESSION NUMBER: 0001682021-19-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20181231 FILED AS OF DATE: 20190213 DATE AS OF CHANGE: 20190213 EFFECTIVENESS DATE: 20190213 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: 19598230 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 12-31-2018 12-31-2018 false Vivaldi Capital Management, LLC

225 W. Wacker Drive - Suite 2100 Chicago IL 60606

13F HOLDINGS REPORT 028-18047 N Jennifer Yong 312-248-8292 /s Jennifer Yong Chicago IL 02-12-2019 0 201 231955 INFORMATION TABLE 2 infotable.xml ABBOTT LABS Equity 002824100 499 6903 SH SOLE 6903 0 0 ABBVIE INC Equity 00287Y109 667 7236 SH SOLE 7236 0 0 ACCENTURE PLC IRELAND Equity G1151C101 321 2279 SH SOLE 2279 0 0 ACORDA THERAPEUTICS INC Equity 00484MAA4 12 15000 SH SOLE 15000 0 0 ALLIANCE CALIF MUN INCOME FD Equity 018546101 168 12246 SH SOLE 12246 0 0 ALLIANCEBERNSTEIN GBL HGH IN Equity 01879R106 1379 130977 SH SOLE 130977 0 0 ALLIANCEBERNSTEIN NATL MUNI Equity 01864U106 3187 262698 SH SOLE 262698 0 0 ALPHABET INC Equity 02079K107 457 441 SH SOLE 441 0 0 AMAZON COM INC Equity 023135106 635 423 SH SOLE 423 0 0 AMGEN INC Equity 031162100 254 1306 SH SOLE 1306 0 0 APPLE INC Equity 037833100 2063 13079 SH SOLE 13079 0 0 AT&T INC Equity 00206R102 658 23042 SH SOLE 23042 0 0 ATHENAHEALTH INC Equity 04685W103 244 1846 SH SOLE 1846 0 0 BANK AMER CORP Equity 060505104 223 9051 SH SOLE 9051 0 0 BERKSHIRE HATHAWAY INC DEL Equity 084670108 306 1 SH SOLE 1 0 0 BERKSHIRE HATHAWAY INC DEL Equity 084670702 1569 7686 SH SOLE 7686 0 0 BLACKROCK CALIF MUN INCOME T Equity 09248E102 272 22695 SH SOLE 22694 0 0 BLACKROCK MUNI INTER DR FD I Equity 09253X102 872 68917 SH SOLE 68917 0 0 BLACKROCK MUNIHLDNGS CALI QL Equity 09254L107 287 23258 SH SOLE 23257 0 0 BOOKING HLDGS INC Equity 09857L108 289 168 SH SOLE 168 0 0 BROOKFIELD ASSET MGMT INC Equity 112585104 556 14499 SH SOLE 14499 0 0 CBOE GLOBAL MARKETS INC Equity 12503M108 979 10003 SH SOLE 10003 0 0 CBRE GROUP INC Equity 12504L109 201 5026 SH SOLE 5026 0 0 CENTER COAST BRKFLD MLP ENRG Equity 151461100 89 13000 SH SOLE 13000 0 0 CF INDS HLDGS INC Equity 125269100 207 4757 SH SOLE 4757 0 0 CHEVRON CORP NEW Equity 166764100 408 3748 SH SOLE 3748 0 0 CME GROUP INC Equity 12572Q105 550 2923 SH SOLE 2923 0 0 CISCO SYS INC Equity 17275R102 350 8081 SH SOLE 8081 0 0 CITIGROUP INC Equity 172967424 319 6128 SH SOLE 6128 0 0 CLOROX CO DEL Equity 189054109 216 1399 SH SOLE 1399 0 0 COMCAST CORP NEW Equity 20030N101 238 6982 SH SOLE 6982 0 0 SELECT SECTOR SPDR TR Equity 81369Y407 257 2595 SH SOLE 2595 0 0 CORNING INC Equity 219350105 372 12298 SH SOLE 12298 0 0 DISCOVERY INC Equity 25470F302 213 9232 SH SOLE 9232 0 0 DISNEY WALT CO Equity 254687106 542 4946 SH SOLE 4945 0 0 DNP SELECT INCOME FD Equity 23325P104 108 10400 SH SOLE 10400 0 0 DOMINION ENERGY MIDSTRM PRTN Equity 257454108 917 50820 SH SOLE 285 0 0 DREYFUS MUN BD INFRSTRCTR FD Equity 26203D101 872 73492 SH SOLE 73492 0 0 DTF TAX-FREE INCOME INC Equity 23334J107 1851 149555 SH SOLE 149555 0 0 DUN & BRADSTREET CORP DEL NE Equity 26483E100 244 1711 SH SOLE 236 0 0 EATON VANCE CA MUNI INCOME T Equity 27826F101 147 13263 SH SOLE 13262 0 0 EATON VANCE CALIF MUN BD FD Equity 27828A100 368 37158 SH SOLE 37157 0 0 EATON VANCE MUN BD FD Equity 27827X101 1141 101106 SH SOLE 101106 0 0 EATON VANCE TAX ADV BD OPT S Equity 27829M103 141 16520 SH SOLE 16520 0 0 ECHO GLOBAL LOGISTICS INC Equity 27875TAA9 19 20000 SH SOLE 20000 0 0 PLATFORM SPECIALTY PRODS COR Equity 72766Q105 139 13470 SH SOLE 13470 0 0 ENBRIDGE INC Equity 29250N105 207 6658 SH SOLE 6658 0 0 EOG RES INC Equity 26875P101 260 2987 SH SOLE 2987 0 0 EXANTAS CAP CORP Equity 30068N105 160 15987 SH SOLE 15987 0 0 EXXON MOBIL CORP Equity 30231G102 243 3566 SH SOLE 3566 0 0 FACEBOOK INC Equity 30303M102 373 2848 SH SOLE 2848 0 0 FCB FINL HLDGS INC Equity 30255G103 469 13973 SH SOLE 13973 0 0 FEDEX CORP Equity 31428X106 238 1473 SH SOLE 1473 0 0 FIRST TR EXCH TRD ALPHA FD I Equity 33737J109 6469 237669 SH SOLE 237669 0 0 FIRST TR EXCHANGE-TRADED FD Equity 33739E108 180 10000 SH SOLE 10000 0 0 GAMING & LEISURE PPTYS INC Equity 36467J108 1137 35195 SH SOLE 35195 0 0 GENERAL ELECTRIC CO Equity 369604103 86 11305 SH SOLE 11305 0 0 GLOBAL X FDS Equity 37950E473 393 51188 SH SOLE 51188 0 0 GLOBAL X FDS Equity 37950E549 232 13578 SH SOLE 13578 0 0 GOGO INC Equity 38046CAB5 13 15000 SH SOLE 15000 0 0 ALPHABET INC Equity 02079K305 434 415 SH SOLE 415 0 0 HOME DEPOT INC Equity 437076102 364 2116 SH SOLE 2116 0 0 HONEYWELL INTL INC Equity 438516106 413 3126 SH SOLE 3126 0 0 HOUGHTON MIFFLIN HARCOURT CO Equity 44157R109 119 13455 SH SOLE 13455 0 0 HP INC Equity 40434L105 258 12590 SH SOLE 12590 0 0 IAC INTERACTIVECORP Equity 44919P508 330 1803 SH SOLE 1803 0 0 INTEL CORP Equity 458140100 425 9052 SH SOLE 9052 0 0 INVESCO CALIF VALUE MUN INC Equity 46132H106 303 26750 SH SOLE 26750 0 0 INVESCO MUN TR Equity 46131J103 1119 100449 SH SOLE 100448 0 0 INVESCO QUALITY MUNI INC TRS Equity 46133G107 858 76499 SH SOLE 76498 0 0 INVESCO SR INCOME TR Equity 46131H107 2950 754461 SH SOLE 754460 0 0 INVESCO VALUE MUN INCOME TR Equity 46132P108 2428 179553 SH SOLE 179552 0 0 ISHARES TR Equity 464288646 882 17087 SH SOLE 17087 0 0 ISHARES TR Equity 464287226 485 4550 SH SOLE 4550 0 0 ISHARES TR Equity 464288414 241 2214 SH SOLE 2214 0 0 ISHARES TR Equity 464287564 2367 24736 SH SOLE 24736 0 0 ISHARES TR Equity 46435G672 461 8833 SH SOLE 8833 0 0 ISHARES TR Equity 46432F842 785 14274 SH SOLE 14274 0 0 ISHARES INC Equity 46434G103 555 11767 SH SOLE 11766 0 0 ISHARES TR Equity 46434V738 372 9000 SH SOLE 9000 0 0 ISHARES TR Equity 46435G326 318 6505 SH SOLE 6505 0 0 ISHARES TR Equity 464287200 7453 29619 SH SOLE 29619 0 0 ISHARES TR Equity 464287168 2973 33292 SH SOLE 33292 0 0 ISHARES TR Equity 464287721 303 1892 SH SOLE 1892 0 0 ISHARES S&P GSCI COMMODITY I Equity 46428R107 351 25000 SH SOLE 25000 0 0 ISHARES TR Equity 46434VAU4 3572 144027 SH SOLE 144027 0 0 ISHARES TR Equity 46434VAQ3 3818 152859 SH SOLE 152859 0 0 ISHARES TR Equity 46434VBK5 3430 140807 SH SOLE 140807 0 0 ISHARES TR Equity 46435G789 465 18264 SH SOLE 18264 0 0 ISHARES TR Equity 46434VBA7 2880 119141 SH SOLE 119140 0 0 ISHARES TR Equity 46435G755 443 17305 SH SOLE 17305 0 0 ISHARES TR Equity 46434VAX8 3144 129989 SH SOLE 129989 0 0 ISHARES TR Equity 46435G318 395 15747 SH SOLE 15747 0 0 ISHARES TR Equity 46429B564 476 18762 SH SOLE 18762 0 0 ISHARES TR Equity 46434V571 485 19120 SH SOLE 19120 0 0 ISHARES TR Equity 464288448 532 18535 SH SOLE 18535 0 0 ISHARES TR Equity 464288281 255 2453 SH SOLE 2453 0 0 ISHARES TR Equity 464288182 1451 22833 SH SOLE 22833 0 0 ISHARES TR Equity 464287465 6901 117396 SH SOLE 117395 0 0 ISHARES TR Equity 464287234 446 11424 SH SOLE 11424 0 0 ISHARES TR Equity 464287556 265 2753 SH SOLE 2753 0 0 ISHARES TR Equity 464287614 788 6021 SH SOLE 6020 0 0 ISHARES TR Equity 464287598 1179 10612 SH SOLE 10612 0 0 ISHARES TR Equity 464287655 2606 19466 SH SOLE 19465 0 0 ISHARES TR Equity 464287507 2258 13600 SH SOLE 13599 0 0 ISHARES TR Equity 464287804 632 9117 SH SOLE 9116 0 0 ISHARES TR Equity 464287176 380 3471 SH SOLE 3471 0 0 ISHARES TR Equity 464287499 1362 29312 SH SOLE 29312 0 0 JOHNSON & JOHNSON Equity 478160104 554 4290 SH SOLE 4290 0 0 JPMORGAN CHASE & CO Equity 46625H100 1696 17374 SH SOLE 17374 0 0 KAYNE ANDERSN MLP MIDS INVT Equity 486606106 648 47065 SH SOLE 47065 0 0 KB HOME Equity 48666KAS8 20 20000 SH SOLE 20000 0 0 EXCHANGE LISTED FDS TR Equity 30151E608 2045 70405 SH SOLE 70405 0 0 MACQUARIE INFRASTRUCTURE COR Equity 55608BAA3 15 15000 SH SOLE 15000 0 0 MCDONALDS CORP Equity 580135101 367 2064 SH SOLE 2064 0 0 MCEWEN MNG INC Equity 58039P107 18 10000 SH SOLE 10000 0 0 MERCK & CO INC Equity 58933Y105 276 3615 SH SOLE 3615 0 0 METLIFE INC Equity 59156R108 290 7067 SH SOLE 7067 0 0 MICROSOFT CORP Equity 594918104 925 9110 SH SOLE 9110 0 0 NATIONAL HEALTH INVS INC Equity 63633DAE4 22 20000 SH SOLE 20000 0 0 NEUBERGER BERMAN HGH YLD FD Equity 64128C106 1334 137991 SH SOLE 137990 0 0 NEWELL BRANDS INC Equity 651229106 321 17263 SH SOLE 17263 0 0 NEXTERA ENERGY INC Equity 65339F101 309 1777 SH SOLE 1777 0 0 NORTHERN DYNASTY MINERALS LT Equity 66510M204 6 10000 SH SOLE 10000 0 0 NOVARTIS A G Equity 66987V109 274 3193 SH SOLE 3193 0 0 NUVEEN AMT FREE QLTY MUN INC Equity 670657105 2858 232158 SH SOLE 232157 0 0 NUVEEN QUALITY MUNCP INCOME Equity 67066V101 1363 108715 SH SOLE 108715 0 0 NUVEEN SELECT TAX FREE INCM Equity 67063X100 557 38974 SH SOLE 38974 0 0 NUVEEN SELECT TAX FREE INCM Equity 67063C106 295 22000 SH SOLE 21999 0 0 NUVEEN SELECT TAX FREE INCM Equity 67062F100 597 42461 SH SOLE 42460 0 0 PACIFIC BIOSCIENCES CALIF IN Equity 69404D108 121 16343 SH SOLE 16343 0 0 PAYPAL HLDGS INC Equity 70450Y103 317 3771 SH SOLE 3771 0 0 PEPSICO INC Equity 713448108 404 3659 SH SOLE 3659 0 0 PFIZER INC Equity 717081103 484 11097 SH SOLE 11097 0 0 PGIM GLOBAL SHORT DURATION H Equity 69346J106 1449 112143 SH SOLE 112142 0 0 PGIM SHORT DURATION HIGH YIE Equity 69346H100 2628 201719 SH SOLE 201719 0 0 PIMCO ETF TR Equity 72201R833 440 4355 SH SOLE 4355 0 0 PIONEER MUN HIGH INCOME TR Equity 723763108 1660 151422 SH SOLE 151421 0 0 POTBELLY CORP Equity 73754Y100 121 15034 SH SOLE 15034 0 0 PROCTER AND GAMBLE CO Equity 742718109 445 4836 SH SOLE 4836 0 0 PRUDENTIAL FINL INC Equity 744320102 236 2899 SH SOLE 2899 0 0 SCHWAB STRATEGIC TR Equity 808524706 794 33755 SH SOLE 33754 0 0 SCHWAB STRATEGIC TR Equity 808524805 640 22583 SH SOLE 22583 0 0 SCHWAB STRATEGIC TR Equity 808524201 1225 20515 SH SOLE 20514 0 0 SCHWAB STRATEGIC TR Equity 808524508 693 14455 SH SOLE 14454 0 0 SCHWAB STRATEGIC TR Equity 808524607 726 11970 SH SOLE 11969 0 0 SEACOR HOLDINGS INC Equity 811904AM3 9 10000 SH SOLE 10000 0 0 SHIRE PLC Equity 82481R106 1680 9651 SH SOLE 9651 0 0 SPDR SERIES TRUST Equity 78464A417 318 9467 SH SOLE 9467 0 0 SPDR DOW JONES INDL AVRG ETF Equity 78467X109 351 1504 SH SOLE 1504 0 0 SPDR GOLD TRUST Equity 78463V107 698 5757 SH SOLE 5757 0 0 SPDR SER TR Equity 78468R739 202 4201 SH SOLE 4201 0 0 SPDR INDEX SHS FDS Equity 78463X889 1272 48078 SH SOLE 48077 0 0 SPDR INDEX SHS FDS Equity 78463X509 1397 43184 SH SOLE 43184 0 0 SPDR SERIES TRUST Equity 78464A854 3190 109198 SH SOLE 109197 0 0 SPDR SERIES TRUST Equity 78464A847 2090 71056 SH SOLE 71055 0 0 SPDR SER TR Equity 78468R853 2281 86528 SH SOLE 86528 0 0 SPDR S&P 500 ETF TR Equity 78462F103 9936 39757 SH SOLE 39757 0 0 TEMPLETON GLOBAL INCOME FD Equity 880198106 1474 244493 SH SOLE 244493 0 0 TESARO INC Equity 881569107 274 3690 SH SOLE 3690 0 0 TESLA INC Equity 88160R101 240 720 SH SOLE 720 0 0 TEXAS INSTRS INC Equity 882508104 258 2732 SH SOLE 2732 0 0 THERMO FISHER SCIENTIFIC INC Equity 883556102 421 1880 SH SOLE 1880 0 0 TORTOISE ENERGY INFRA CORP Equity 89147L100 378 18971 SH SOLE 18971 0 0 TWENTY FIRST CENTY FOX INC Equity 90130A101 1336 27761 SH SOLE 340 0 0 UNITEDHEALTH GROUP INC Equity 91324P102 583 2342 SH SOLE 2342 0 0 US BANCORP DEL Equity 902973304 351 7682 SH SOLE 7682 0 0 VALERO ENERGY PARTNERS LP Equity 91914J102 1343 31851 SH SOLE 112 0 0 VANECK VECTORS ETF TR Equity 92189F486 1447 58589 SH SOLE 58589 0 0 VANGUARD INTL EQUITY INDEX F Equity 922042718 490 5172 SH SOLE 5172 0 0 VANGUARD TAX MANAGED INTL FD Equity 921943858 3737 100740 SH SOLE 100739 0 0 VANGUARD INTL EQUITY INDEX F Equity 922042858 3504 91962 SH SOLE 91961 0 0 VANGUARD INTL EQUITY INDEX F Equity 922042874 309 6360 SH SOLE 6359 0 0 VANGUARD INTL EQUITY INDEX F Equity 922042866 388 6406 SH SOLE 6406 0 0 VANGUARD WHITEHALL FDS INC Equity 921946406 379 4859 SH SOLE 4859 0 0 VANGUARD INDEX FDS Equity 922908629 3881 28090 SH SOLE 28089 0 0 VANGUARD INDEX FDS Equity 922908363 1201 5227 SH SOLE 5227 0 0 VANGUARD ADMIRAL FDS INC Equity 921932505 236 1750 SH SOLE 1750 0 0 VANGUARD BD INDEX FD INC Equity 921937827 777 9884 SH SOLE 9884 0 0 VANGUARD SCOTTSDALE FDS Equity 92206C409 438 5614 SH SOLE 5614 0 0 VANGUARD INDEX FDS Equity 922908751 3293 24950 SH SOLE 24950 0 0 VANGUARD INDEX FDS Equity 922908611 399 3498 SH SOLE 3497 0 0 VANGUARD BD INDEX FD INC Equity 921937835 261 3292 SH SOLE 3291 0 0 VANGUARD INDEX FDS Equity 922908769 6132 48046 SH SOLE 48046 0 0 VANGUARD INTL EQUITY INDEX F Equity 922042742 585 8939 SH SOLE 8939 0 0 VECTOR GROUP LTD Equity 92240MBC1 20 20000 SH SOLE 20000 0 0 VECTREN CORP Equity 92240G101 1340 18618 SH SOLE 18618 0 0 VERINT SYS INC Equity 92343XAA8 19 20000 SH SOLE 20000 0 0 VERIZON COMMUNICATIONS INC Equity 92343V104 473 8421 SH SOLE 8420 0 0 VISA INC Equity 92826C839 280 2123 SH SOLE 2123 0 0 VIVALDI OPPORTUNITIES FD Equity 92853C207 35600 2495809 SH OTR 0 0 2495809 WALGREENS BOOTS ALLIANCE INC Equity 931427108 225 3296 SH SOLE 3296 0 0 WALMART INC Equity 931142103 228 2443 SH SOLE 2443 0 0 WESTERN ASSET HIGH INCM FD I Equity 95766J102 1292 224371 SH SOLE 224371 0 0 WESTERN ASSET HIGH INCM OPP Equity 95766K109 1396 318812 SH SOLE 318812 0 0 WESTERN ASSET MUN HI INCM FD Equity 95766N103 288 41523 SH SOLE 41522 0 0 WILLIS TOWERS WATSON PUB LTD Equity G96629103 266 1750 SH SOLE 1750 0 0 WISDOMTREE TR Equity 97717W315 408 10171 SH SOLE 10171 0 0 WISDOMTREE TR Equity 97717W851 313 6739 SH SOLE 6739 0 0 DBX ETF TR Equity 233051200 219 7841 SH SOLE 7840 0 0 VIVALDI OPPORTUNITIES FD Equity 92853C207 2900 211744 SH DFND 0 211744 0