0001682021-21-000006.txt : 20210816 0001682021-21-000006.hdr.sgml : 20210816 20210816131923 ACCESSION NUMBER: 0001682021-21-000006 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210630 FILED AS OF DATE: 20210816 DATE AS OF CHANGE: 20210816 EFFECTIVENESS DATE: 20210816 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: 211176348 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 06-30-2021 06-30-2021 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 08-16-2021 0 345 498120 INFORMATION TABLE 2 infotable.xml 26 CAPITAL ACQUISITION CORP Equity 90138P100 146 15000 SH SOLE 15000 0 0 3M CO COM 88579Y101 1111 5538 SH SOLE 5538 0 0 5 01 ACQUISITION CORP Equity 33836P105 107 10720 SH SOLE 10720 0 0 7GC & CO HOLDINGS INC Equity 81786A206 131 12986 SH SOLE 12986 0 0 ABBOTT LABS COM 002824100 979 7954 SH SOLE 7954 0 0 ABBVIE INC COM 00287Y109 1162 9976 SH SOLE 9976 0 0 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 873 2700 SH SOLE 2700 0 0 ADIT EDTECH ACQUISITION CORP Equity 007024201 100 10000 SH SOLE 10000 0 0 AEA-BRIDGES IMPACT CORP Equity G01046104 108 11058 SH SOLE 11058 0 0 ALEXION PHARMACEUTICALS INC Equity 015351109 1014 5520 SH SOLE 5520 0 0 ALLIANCEBERNSTEIN GLOBAL HIG COM 01879R106 2465 197524 SH SOLE 197524 0 0 ALPHABET INC CAP STK CL A 02079K305 1116 405 SH SOLE 405 0 0 ALPHABET INC CAP STK CL C 02079K107 1937 700 SH SOLE 700 0 0 ALPS ETF TR ALERIAN MLP 00162Q452 768 23259 SH SOLE 23259 0 0 ALTRIA GROUP INC COM 02209S103 207 4266 SH SOLE 4266 0 0 AMAZON COM INC COM 023135106 665 202 SH SOLE 202 0 0 AMERICAN EXPRESS CO COM 025816109 210 1266 SH SOLE 1266 0 0 AMERICAS TECHNOLOGY ACQSN CO Equity G0404A102 110 11000 SH SOLE 11000 0 0 AMGEN INC COM 031162100 515 2244 SH SOLE 2244 0 0 ANGEL OAK FINL STRATEGIES IN COM BEN INT 03464A100 16561 898081 SH SOLE 898081 0 0 ANNALY CAPITAL MANAGEMENT IN COM 035710409 86 10000 SH SOLE 10000 0 0 APOLLO STRATEGIC GROWTH CAPT Equity G0411R106 98 10000 SH SOLE 10000 0 0 APPLE INC COM 037833100 9353 62730 SH SOLE 62730 0 0 ARES ACQUISITION CORPORATION Equity G33032114 100 10000 SH SOLE 10000 0 0 ARK ETF TR INNOVATION ETF 00214Q104 1213 10103 SH SOLE 10103 0 0 ARK ETF TR GENOMIC REV ETF 00214Q302 611 7431 SH SOLE 7431 0 0 AT HOME GROUP INC Equity 04650Y100 800 21719 SH SOLE 21719 0 0 AT&T INC COM 00206R102 497 17623 SH SOLE 17623 0 0 ATHENE HOLDING LTD CL A G0684D107 443 6762 SH SOLE 6762 0 0 ATHLON ACQUISITION CORP Equity 04748A205 100 10000 SH SOLE 10000 0 0 ATLAS CREST INVESTMENT CORP Equity 049287204 100 10000 SH SOLE 10000 0 0 AUDACY INC CL A 05070N103 41 12600 SH SOLE 12600 0 0 AUTHENTIC EQUITY ACQUISTN CO Equity G06607116 101 10000 SH SOLE 10000 0 0 AVANTI ACQUISITION CORP Equity G0682V109 105 10800 SH SOLE 10800 0 0 BANK NEW YORK MELLON CORP COM 064058100 309 5729 SH SOLE 5729 0 0 BCLS ACQUISITION CORP Equity G0904B105 158 14985 SH SOLE 14985 0 0 BECTON DICKINSON & CO COM 075887109 200 811 SH SOLE 811 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 1607 5583 SH SOLE 5583 0 0 BERKSHIRE HATHAWAY INC DEL CL A 084670108 433 1 SH SOLE 1 0 0 BETTER WORLD ACQUISITION COR Equity 08772B104 100 10000 SH SOLE 10000 0 0 BIOHITECH GLOBAL INC COM 09074B107 23 18782 SH SOLE 18782 0 0 BIOTECH ACQUISITION COMPANY Equity G1125A124 101 10000 SH SOLE 10000 0 0 BK OF AMERICA CORP COM 060505104 337 8086 SH SOLE 8086 0 0 BLACKROCK CALIF MUN INCOME T SH BEN INT 09248E102 1614 107261 SH SOLE 107261 0 0 BLACKROCK INC COM 09247X101 372 406 SH SOLE 406 0 0 BLACKROCK MUNI INTER DR FD I COM 09253X102 7659 487555 SH SOLE 487555 0 0 BLACKROCK MUNIYIELD CALIF FD COM 09254M105 1341 86049 SH SOLE 86049 0 0 BLACKROCK MUNIYIELD CALIF QU COM 09254N103 838 52521 SH SOLE 52521 0 0 BLACKROCK MUNIYIELD QUALITY COM 09254E103 7769 517274 SH SOLE 517274 0 0 BLUERIVER ACQUISITION CORP Equity G1261Q123 100 10000 SH SOLE 10000 0 0 BOOKING HOLDINGS INC COM 09857L108 245 111 SH SOLE 111 0 0 BOSTON PRIVATE FINL HLDGS IN Equity 101119105 472 32028 SH SOLE 32028 0 0 BRIGHT LIGHTS ACQUISITION CO Equity 10920K200 101 10000 SH SOLE 10000 0 0 BRISTOL-MYERS SQUIBB CO COM 110122108 319 4724 SH SOLE 4724 0 0 BROADRIDGE FINL SOLUTIONS IN COM 11133T103 285 1636 SH SOLE 1636 0 0 BROADSCALE ACQUISITION CORP Equity 11134Y200 120 12000 SH SOLE 12000 0 0 BROOKFIELD ASSET MGMT INC CL A LTD VT SH 112585104 412 7275 SH SOLE 7275 0 0 BROOKFIELD INFRAST PARTNERS LP INT UNIT G16252101 566 10000 SH SOLE 10000 0 0 BROOKFIELD PROPERTY PARTRS L Equity G16249107 834 44028 SH SOLE 44028 0 0 BURGUNDY TECHNOLOGY ACQU COR Equity G1702T116 153 15488 SH SOLE 15488 0 0 CAI INTERNATIONAL INC Equity 12477X106 279 4987 SH SOLE 4987 0 0 CARNEY TECHNOLOGY ACQU CORP Equity 143636207 159 15900 SH SOLE 15900 0 0 CARTESIAN GROWTH CORP Equity G19276123 100 10000 SH SOLE 10000 0 0 CBRE GROUP INC CL A 12504L109 477 5004 SH SOLE 5004 0 0 CC NEUBERGER PRIN HLDGS II Equity G3166T103 99 10000 SH SOLE 10000 0 0 CF ACQUISITION CORP IV Equity 12520T102 174 18000 SH SOLE 18000 0 0 CF ACQUISITION CORP V Equity 12520R205 135 13200 SH SOLE 13200 0 0 CF ACQUISITION CORP VI Equity 12521J202 100 10000 SH SOLE 10000 0 0 CF ACQUISITION CORP VIII Equity 12520C208 101 10000 SH SOLE 10000 0 0 CHEVRON CORP NEW COM 166764100 239 2346 SH SOLE 2346 0 0 CHP MERGER CORP Equity 12558Y106 104 10451 SH SOLE 10451 0 0 CHURCHILL CAPITAL CORP V Equity 17144T107 129 12827 SH SOLE 12827 0 0 CISCO SYS INC COM 17275R102 825 14608 SH SOLE 14608 0 0 CLARIM ACQUISITION CORP Equity 18049C207 99 10000 SH SOLE 10000 0 0 CLOROX CO DEL COM 189054109 233 1386 SH SOLE 1386 0 0 CLOUDERA INC Equity 18914U100 308 19443 SH SOLE 19443 0 0 CME GROUP INC COM 12572Q105 572 2764 SH SOLE 2764 0 0 COCA COLA CO COM 191216100 618 10798 SH SOLE 10798 0 0 COLICITY INC Equity 194170205 201 20000 SH SOLE 20000 0 0 COMCAST CORP NEW CL A 20030N101 437 7372 SH SOLE 7372 0 0 CONAGRA BRANDS INC COM 205887102 236 6920 SH SOLE 6920 0 0 CONCORD ACQUISITION CORP Equity 206071102 177 18000 SH SOLE 18000 0 0 CORNER GROWTH ACQUISITION CO Equity G2425N105 195 19998 SH SOLE 19998 0 0 COSTCO WHSL CORP NEW COM 22160K105 216 483 SH SOLE 483 0 0 CRISPR THERAPEUTICS AG NAMEN AKT H17182108 218 1722 SH SOLE 1722 0 0 CUMMINS INC COM 231021106 251 1055 SH SOLE 1055 0 0 D R HORTON INC COM 23331A109 1735 17749 SH SOLE 17749 0 0 DATADOG INC CL A COM 23804L103 271 2000 SH SOLE 2000 0 0 DAVIDSTEA INC COM 238661102 118 30500 SH SOLE 30500 0 0 DEEP LAKE CAPITAL ACQUSTN CO Equity G27029126 122 12040 SH SOLE 12040 0 0 DEERE & CO COM 244199105 203 529 SH SOLE 529 0 0 DIAGEO PLC SPON ADR NEW 25243Q205 205 1016 SH SOLE 1016 0 0 DIAMONDHEAD HOLDINGS CORP Equity 25278L204 100 10000 SH SOLE 10000 0 0 DICKS SPORTING GOODS INC COM 253393102 207 1900 SH SOLE 1900 0 0 DISNEY WALT CO COM 254687106 868 4792 SH SOLE 4792 0 0 DNP SELECT INCOME FD INC COM 23325P104 1962 182354 SH SOLE 182354 0 0 DOUBLELINE INCOME SOLUTIONS COM 258622109 182 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 772 51635 SH SOLE 51635 0 0 DWS MUN INCOME TR COM 233368109 5911 480148 SH SOLE 480148 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 36 11000 SH SOLE 11000 0 0 EATON VANCE CALIF MUN BD FD COM 27828A100 1580 131041 SH SOLE 131041 0 0 ECOLAB INC COM 278865100 242 1090 SH SOLE 1090 0 0 ECP ENVIRONMENTAL GW OPT COR Equity 26829T209 101 10000 SH SOLE 10000 0 0 EMERSON ELEC CO COM 291011104 240 2318 SH SOLE 2318 0 0 EMPOWERMENT & INCLUSION CAPI Equity 29248N209 121 11998 SH SOLE 11998 0 0 ENVIRONMENTAL IMPACT ACQU CO Equity 29408N205 104 10000 SH SOLE 10000 0 0 EQUITY DISTR ACQUISITION COR Equity 29465E106 148 15000 SH SOLE 15000 0 0 EUROPEAN BIOTECH ACQUTN CORP Equity G3167F110 100 10000 SH SOLE 10000 0 0 EUROPEAN SUSTAINABLE GROWTH Equity G3194F109 194 20000 SH SOLE 20000 0 0 EXCHANGE TRADED CONCEPTS TR ROBO GLB ETF 301505707 331 4978 SH SOLE 4978 0 0 EXXON MOBIL CORP COM 30231G102 545 9596 SH SOLE 9596 0 0 FACEBOOK INC CL A 30303M102 908 2500 SH SOLE 2500 0 0 FEDEX CORP COM 31428X106 236 852 SH SOLE 852 0 0 FIRST TR EXCH TRADED FD III PFD SECS INC ETF 33739E108 489 23680 SH SOLE 23680 0 0 FIRST TR EXCH TRADED FD III MERGER ARBITRA 33740J203 1100 56696 SH SOLE 56696 0 0 FIRST TR EXCH TRD ALPHDX FD ASIA EX JAPAN 33737J109 5257 151884 SH SOLE 151884 0 0 FIRST TR EXCHANGE TRADED FD NASDQ CLN EDGE 33737A108 321 3234 SH SOLE 3234 0 0 FIRST TR EXCHANGE-TRADED FD FST LOW OPPT EFT 33739Q200 21940 431974 SH SOLE 431974 0 0 FIRST TR EXCHNG TRADED FD VI CBOE EQT BUFER 33740F847 1177 30890 SH SOLE 30890 0 0 FIRST TR EXCHNG TRADED FD VI FT CBOE EQTY BFR 33740U505 350 10398 SH SOLE 10398 0 0 FIRSTMARK HORIZON ACQUISITIO Equity 33765Y101 100 10110 SH SOLE 10110 0 0 FORTRESS CAPITAL ACQUISITION Equity G36427113 120 12000 SH SOLE 12000 0 0 FORTRESS VALUE ACQUIS CORP I Equity 34964G206 142 14203 SH SOLE 14203 0 0 FRAZIER LIFESCIENCES ACQU CO Equity G3710A105 122 12500 SH SOLE 12500 0 0 ALUSSA ENERGY ACQUISITION CO Equity G0232J101 306 30308 SH SOLE 30308 0 0 FTAC ATHENA ACQUISITION CORP Equity G37283127 102 10000 SH SOLE 10000 0 0 FUSION ACQUISITION CORP II Equity 36118N201 100 10000 SH SOLE 10000 0 0 GALECTIN THERAPEUTICS INC COM NEW 363225202 36 10668 SH SOLE 10668 0 0 GAMING & LEISURE PPTYS INC COM 36467J108 4220 87347 SH SOLE 87347 0 0 GENERAL ELECTRIC CO COM 369604103 1978 18849 SH SOLE 18849 0 0 GLOBAL PARTNER ACQISTN CORP Equity G3934P110 99 10000 SH SOLE 10000 0 0 GLOBAL X FDS GLBL X MLP ETF 37954Y343 1734 49900 SH SOLE 49900 0 0 GO ACQUISITION CORP Equity 362019101 142 14537 SH SOLE 14537 0 0 HEALTHCARE CAPITAL CORP Equity 42228C200 150 15000 SH SOLE 15000 0 0 H I G ACQUISITION CORP Equity G44898107 138 14184 SH SOLE 14184 0 0 HIGHLAND TRANSCEND PARTNERS Equity G44690108 147 15099 SH SOLE 15099 0 0 HOME DEPOT INC COM 437076102 736 2222 SH SOLE 2222 0 0 HONEYWELL INTL INC COM 438516106 422 1822 SH SOLE 1822 0 0 HORIZON ACQUISITION CORPORAT Equity G46044106 122 12465 SH SOLE 12465 0 0 HUDSON EXECUTIVE INVS CORP I Equity 443760202 149 15000 SH SOLE 15000 0 0 IG ACQUISITION CORP Equity 449534106 195 20000 SH SOLE 20000 0 0 INTEL CORP COM 458140100 661 12350 SH SOLE 12350 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 205 1435 SH SOLE 1435 0 0 INVESCO DYNAMIC CR OPPORTUNI COM 46132R104 2482 209455 SH SOLE 209455 0 0 INVESCO EXCHANGE TRADED FD T WILDERHIL CLAN 46137V134 339 4168 SH SOLE 4168 0 0 INVESCO EXCHANGE TRADED FD T INVESCO MSCI 46137V407 357 5370 SH SOLE 5370 0 0 INVESCO SR INCOME TR COM 46131H107 3718 860704 SH SOLE 860704 0 0 INVESTMENT MANAGERS SER TR KNWLDL LD ETF 46143U849 2410 50249 SH SOLE 50249 0 0 ISHARES GOLD TR ISHARES NEW 464285204 4298 126893 SH SOLE 126893 0 0 ISHARES INC CORE MSCI EMKT 46434G103 1161 18362 SH SOLE 18362 0 0 ISHARES TR CORE S&P MCP ETF 464287507 2926 10724 SH SOLE 10724 0 0 ISHARES TR CORE S&P SCP ETF 464287804 825 7431 SH SOLE 7431 0 0 ISHARES TR CORE S&P500 ETF 464287200 8613 19233 SH SOLE 19233 0 0 ISHARES TR RUS 1000 VAL ETF 464287598 1792 10984 SH SOLE 10984 0 0 ISHARES TR RUS 1000 GRW ETF 464287614 1747 6158 SH SOLE 6158 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 2524 11412 SH SOLE 11412 0 0 ISHARES TR MSCI EAFE ETF 464287465 6221 76402 SH SOLE 76402 0 0 ISHARES TR RUS MID CAP ETF 464287499 2569 31762 SH SOLE 31762 0 0 ISHARES TR COHEN STEER REIT 464287564 1981 28792 SH SOLE 28792 0 0 ISHARES TR US HLTHCARE ETF 464287762 957 3313 SH SOLE 3313 0 0 ISHARES TR U.S. TECH ETF 464287721 655 6251 SH SOLE 6251 0 0 ISHARES TR ISHARES BIOTECH 464287556 904 5338 SH SOLE 5338 0 0 ISHARES TR 1 3 YR TREAS BD 464287457 16646 193110 SH SOLE 193110 0 0 ISHARES TR MSCI EMG MKT ETF 464287234 500 9657 SH SOLE 9657 0 0 ISHARES TR S&P 100 ETF 464287101 1104 5383 SH SOLE 5383 0 0 ISHARES TR MSCI AC ASIA ETF 464288182 1171 13370 SH SOLE 13370 0 0 ISHARES TR CORE US AGGBD ET 464287226 573 4940 SH SOLE 4940 0 0 ISHARES TR SELECT DIVID ETF 464287168 4039 33820 SH SOLE 33820 0 0 ISHARES TR CORE S&P TTL STK 464287150 4325 42393 SH SOLE 42393 0 0 ISHARES TR IBOXX HI YD ETF 464288513 514 5873 SH SOLE 5873 0 0 ISHARES TR ISHS 1-5YR INVS 464288646 400 7300 SH SOLE 7300 0 0 ISHARES TR INTL SEL DIV ETF 464288448 343 10416 SH SOLE 10416 0 0 ISHARES TR NATIONAL MUN ETF 464288414 642 5481 SH SOLE 5481 0 0 ISHARES TR EAFE SML CP ETF 464288273 343 4462 SH SOLE 4462 0 0 ISHARES TR CALIF MUN BD ETF 464288356 1543 24617 SH SOLE 24617 0 0 ISHARES TR MSCI ACWI ETF 464288257 3860 37204 SH SOLE 37204 0 0 ISHARES TR GL CLEAN ENE ETF 464288224 270 11968 SH SOLE 11968 0 0 ISHARES TR SHRT NAT MUN ETF 464288158 22933 212641 SH SOLE 212641 0 0 ISHARES TR FLTG RATE NT ETF 46429B655 336 6618 SH SOLE 6618 0 0 ISHARES TR CORE MSCI EAFE 46432F842 1619 20929 SH SOLE 20929 0 0 ISHARES TR 0-5YR HI YL CP 46434V407 500 10956 SH SOLE 10956 0 0 ISHARES TR IBONDS DEC21 ETF 46434VBK5 602 24312 SH SOLE 24312 0 0 ISHARES TR IBONDS DEC23 ETF 46434VAX8 702 26982 SH SOLE 26982 0 0 ISHARES TR IBONDS DEC22 ETF 46434VBA7 516 20359 SH SOLE 20359 0 0 ISHARES TR CORE INTL AGGR 46435G672 416 7441 SH SOLE 7441 0 0 ISHARES TR MSCI GLOBAL IMP 46435G532 211 2120 SH SOLE 2120 0 0 ISHARES TR CORE MSCI INTL 46435G326 896 12890 SH SOLE 12890 0 0 ISHARES TR ESG AWR MSCI USA 46435G425 502 4908 SH SOLE 4908 0 0 JACK CREEK INVESTMENT CORP Equity G4989X107 121 12000 SH SOLE 12000 0 0 JAWS MUSTANG ACQUISITION COR Equity G50737116 101 10000 SH SOLE 10000 0 0 REINVENT TECHNOLOGY PARTNERS Equity G7483N129 103 10304 SH SOLE 10304 0 0 JOHNSON & JOHNSON COM 478160104 989 5613 SH SOLE 5613 0 0 JPMORGAN CHASE & CO COM 46625H100 2991 18696 SH SOLE 18696 0 0 KAIROS ACQUISITION CORP Equity G52110122 120 12000 SH SOLE 12000 0 0 KANSAS CITY SOUTHERN Equity 485170302 401 1416 SH SOLE 1416 0 0 KAYNE ANDERSON ENERGY INFRST COM 486606106 108 13594 SH SOLE 13594 0 0 KINS TECHNOLOGY GROUP INC Equity 49714K109 148 15000 SH SOLE 15000 0 0 LILLY ELI & CO COM 532457108 539 2039 SH SOLE 2039 0 0 LIONHEART ACQUISITION CORP I Equity 53625R104 140 14170 SH SOLE 14170 0 0 LIVE OAK ACQUISITION CORP II Equity 53804W106 155 15599 SH SOLE 15599 0 0 LUMINAR TECHNOLOGIES INC COM CL A 550424105 4649 270000 SH SOLE 270000 0 0 LYFT INC CL A COM 55087P104 1784 33408 SH SOLE 33408 0 0 MALACCA STRAITS ACQUISITION Equity G5859B117 170 17122 SH SOLE 17122 0 0 MARLIN TECHNOLOGY CORP Equity G58411128 121 12000 SH SOLE 12000 0 0 MASTERCARD INCORPORATED CL A 57636Q104 389 1072 SH SOLE 1072 0 0 MATCH GROUP INC NEW COM 57667L107 433 3181 SH SOLE 3181 0 0 MCAP ACQUISITION CORP Equity 55282T208 100 10000 SH SOLE 10000 0 0 MCDONALDS CORP COM 580135101 457 1915 SH SOLE 1915 0 0 MERCK & CO INC COM 58933Y105 497 6475 SH SOLE 6475 0 0 MESABI TR CTF BEN INT 590672101 250 7000 SH SOLE 7000 0 0 MICROSOFT CORP COM 594918104 3527 12045 SH SOLE 12045 0 0 MONUMENT CIRCLE ACQUISITN CO Equity 61531M200 110 11000 SH SOLE 11000 0 0 MORGAN STANLEY COM NEW 617446448 460 4425 SH SOLE 4425 0 0 MOTIVE CAPITAL CORP Equity G6293A103 176 18024 SH SOLE 18024 0 0 MOTOROLA SOLUTIONS INC COM NEW 620076307 339 1454 SH SOLE 1454 0 0 NAVISTAR INTL CORP NEW Equity 63934E108 269 6052 SH SOLE 6052 0 0 NEUBERGER BRMAN CLIFRN MUNI COM 64123C101 1320 90214 SH SOLE 90214 0 0 NEXTERA ENERGY INC COM 65339F101 463 5545 SH SOLE 5545 0 0 NEXTGEN ACQUISITION CORP Equity G65305107 199 20000 SH SOLE 20000 0 0 NIKE INC CL B 654106103 404 2351 SH SOLE 2351 0 0 NOBLE ROCK ACQUISITION CORP Equity G6546R127 206 20601 SH SOLE 20601 0 0 NORTH ATLANTIC ACQUISITN COR Equity G66139117 141 14000 SH SOLE 14000 0 0 NORTH MOUNTAIN MERGER CORP Equity 661204107 187 19197 SH SOLE 19197 0 0 NORTHERN TR CORP COM 665859104 665 5717 SH SOLE 5717 0 0 NOVUS CAPITAL CORPORATION II Equity 67012W203 117 11600 SH SOLE 11600 0 0 NUVEEN AMT FREE QLTY MUN INC COM 670657105 2095 132618 SH SOLE 132618 0 0 NUVEEN CA QUALTY MUN INCOME COM 67066Y105 787 49772 SH SOLE 49772 0 0 NUVEEN NASDAQ 100 DYNAMIC OV COM SHS 670699107 239 8103 SH SOLE 8103 0 0 NUVEEN QUALITY MUNCP INCOME COM 67066V101 2096 129917 SH SOLE 129917 0 0 NVIDIA CORPORATION COM 67066G104 399 1978 SH SOLE 1978 0 0 OAKTREE ACQUISITION CORP II Equity G6715X103 177 17928 SH SOLE 17928 0 0 OBLONG INC COM 674434105 55 25590 SH SOLE 25590 0 0 OMNICELL COM COM 68213N109 272 1800 SH SOLE 1800 0 0 OMNICHANNEL ACQUISITION CORP Equity 68218L108 147 15000 SH SOLE 15000 0 0 ORACLE CORP COM 68389X105 275 3042 SH SOLE 3042 0 0 SOFTWARE ACQUISITN GRUP INC Equity 83407F101 299 30000 SH SOLE 30000 0 0 PAYCHEX INC COM 704326107 234 2000 SH SOLE 2000 0 0 PAYPAL HLDGS INC COM 70450Y103 466 1695 SH SOLE 1695 0 0 PEPSICO INC COM 713448108 627 4005 SH SOLE 4005 0 0 PFIZER INC COM 717081103 1873 38644 SH SOLE 38644 0 0 PGIM GLOBAL HIGH YIELD FD FO COM 69346J106 3230 203643 SH SOLE 203643 0 0 PGIM HIGH YIELD BOND FUND IN COM 69346H100 4441 273280 SH SOLE 273280 0 0 PIMCO ETF TR 1-5 US TIP IDX 72201R205 212 3853 SH SOLE 3853 0 0 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 14738 144547 SH SOLE 144547 0 0 PIVOTAL INVESTMENT CORP III Equity 72582M205 150 15000 SH SOLE 15000 0 0 PMV CONSUMER ACQUISITION COR Equity 693486102 146 15000 SH SOLE 15000 0 0 POEMA GLOBAL HOLDINGS CORP Equity G7154B123 151 15000 SH SOLE 15000 0 0 POWER & DIGITAL INFRA ACQ CO Equity 739190205 152 15000 SH SOLE 15000 0 0 PRA GROUP INC COM 69354N106 2417 61336 SH SOLE 61336 0 0 PRA HEALTH SCIENCES INC Equity 69354M108 1166 7055 SH SOLE 7055 0 0 PRIME IMPACT ACQUISITION I Equity G61074103 127 12999 SH SOLE 12999 0 0 PROCTER AND GAMBLE CO COM 742718109 2228 15512 SH SOLE 15512 0 0 PROOFPOINT INC Equity 743424103 1008 5802 SH SOLE 5802 0 0 PROSPECTOR CAPITAL CORP Equity G7273A105 102 10500 SH SOLE 10500 0 0 PRUDENTIAL FINL INC COM 744320102 393 3639 SH SOLE 3639 0 0 QELL ACQUISITION CORP Equity G7307X105 177 17818 SH SOLE 17818 0 0 QTS RLTY TR INC Equity 74736A103 754 9760 SH SOLE 9760 0 0 QUEENS GAMBIT GROWTH CAPITAL Equity G7315C127 100 10000 SH SOLE 10000 0 0 REINVENT TECHNOLOGY PARTNERS Equity G7484L114 151 15000 SH SOLE 15000 0 0 RESEARCH ALLIANCE CORP II Equity 760873109 132 13000 SH SOLE 13000 0 0 RMG ACQUISITION CORP III Equity G76088114 150 15000 SH SOLE 15000 0 0 ROMAN DBDR TECH ACQUISITION Equity 77584N101 152 15000 SH SOLE 15000 0 0 RPM INTL INC COM 749685103 325 3730 SH SOLE 3730 0 0 SARISSA CAPITAL ACQUISITN CO Equity G7823W102 127 12785 SH SOLE 12785 0 0 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 4643 43102 SH SOLE 43102 0 0 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 4064 100582 SH SOLE 100582 0 0 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 4569 42269 SH SOLE 42269 0 0 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 1798 17679 SH SOLE 17679 0 0 SCHWAB STRATEGIC TR INTL SCEQT ETF 808524888 331 7710 SH SOLE 7710 0 0 SCHWAB STRATEGIC TR EMRG MKTEQ ETF 808524706 2161 69537 SH SOLE 69537 0 0 SCHWAB STRATEGIC TR SHT TM US TRES 808524862 17584 343161 SH SOLE 343161 0 0 SCHWAB STRATEGIC TR US MID-CAP ETF 808524508 1443 18221 SH SOLE 18221 0 0 SCHWAB STRATEGIC TR US AGGREGATE B 808524839 630 11491 SH SOLE 11491 0 0 SCHWAB STRATEGIC TR SCHWB FDT EMK LG 808524730 325 10222 SH SOLE 10222 0 0 SCION TECH GROWTH I Equity G31067120 104 10279 SH SOLE 10279 0 0 SELECT SECTOR SPDR TR ENERGY 81369Y506 720 14560 SH SOLE 14560 0 0 SELECT SECTOR SPDR TR FINANCIAL 81369Y605 373 9659 SH SOLE 9659 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 1001 6457 SH SOLE 6457 0 0 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 405 3028 SH SOLE 3028 0 0 SERVICESOURCE INTL INC COM 81763U100 188 125000 SH SOLE 125000 0 0 SEVEN OAKS ACQUISITION CORP Equity 81787X106 116 11761 SH SOLE 11761 0 0 SLACK TECHNOLOGIES INC Equity 83088V102 641 14474 SH SOLE 14474 0 0 SOCIAL LEVERAGE ACQUISN CORP Equity 83363K201 150 15000 SH SOLE 15000 0 0 SOFI TECHNOLOGIES INC COM 83406F102 328 21859 SH SOLE 21859 0 0 SPARTAN ACQUISITION CORP III Equity 84677R205 151 15000 SH SOLE 15000 0 0 SPDR GOLD TR GOLD SHS 78463V107 2445 14694 SH SOLE 14694 0 0 SPDR INDEX SHS FDS PORTFOLIO EMG MK 78463X509 6791 157349 SH SOLE 157349 0 0 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 23040 612120 SH SOLE 612120 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 19570 43886 SH SOLE 43886 0 0 SPDR SER TR NUVEEN BLMBRG SR 78468R739 484 9750 SH SOLE 9750 0 0 SPDR SER TR S&P REGL BKG 78464A698 216 3285 SH SOLE 3285 0 0 SPDR SER TR PORTFOLIO S&P400 78464A847 7454 155644 SH SOLE 155644 0 0 SPDR SER TR BLOOMBERG BRCLYS 78468R622 274 2508 SH SOLE 2508 0 0 SPDR SER TR PORTFOLIO S&P500 78464A854 20962 399742 SH SOLE 399742 0 0 SPDR SER TR PORTFOLIO S&P600 78468R853 8233 190451 SH SOLE 190451 0 0 SPORTS VENTURES ACQUISIN COR Equity G8372A111 101 10000 SH SOLE 10000 0 0 SPRING VY ACQUISITION CORP Equity G8377A108 101 10098 SH SOLE 10098 0 0 SPROTT PHYSICAL GOLD & SILVE TR UNIT 85208R101 259 14612 SH SOLE 14612 0 0 SUPERNOVA PARTNERS ACQUISITI Equity 86846V108 195 19641 SH SOLE 19641 0 0 TAILWIND ACQUISITION CORP Equity 87403Q102 130 13000 SH SOLE 13000 0 0 TAILWIND INTERNATNAL ACQ COR Equity G8662F127 150 15000 SH SOLE 15000 0 0 TARGET CORP COM 87612E106 979 3745 SH SOLE 3745 0 0 TEKKORP DIGITAL ACQUISITN CO Equity G8739H106 156 15992 SH SOLE 15992 0 0 TESLA INC COM 88160R101 6381 8897 SH SOLE 8897 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 1365 2507 SH SOLE 2507 0 0 TIGA ACQUISITION CORP Equity G88672103 120 11935 SH SOLE 11935 0 0 TREEHOUSE FOODS INC COM 89469A104 276 7200 SH SOLE 7200 0 0 TREPONT ACQUISITION CORP I Equity G9095M101 145 14660 SH SOLE 14660 0 0 TURMERIC ACQUISITION CORP Equity G9127T116 101 10000 SH SOLE 10000 0 0 TWO RDS SHARED TR ANFIELD CAP DI 90213U115 231 21808 SH SOLE 21808 0 0 UNION PAC CORP COM 907818108 327 1437 SH SOLE 1437 0 0 UNITEDHEALTH GROUP INC COM 91324P102 979 2389 SH SOLE 2389 0 0 US BANCORP DEL COM NEW 902973304 701 12046 SH SOLE 12046 0 0 VANGUARD ADMIRAL FDS INC 500 GRTH IDX F 921932505 483 1750 SH SOLE 1750 0 0 VANGUARD BD INDEX FDS TOTAL BND MRKT 921937835 276 3193 SH SOLE 3193 0 0 VANGUARD INDEX FDS TOTAL STK MKT 922908769 7051 30636 SH SOLE 30636 0 0 VANGUARD INDEX FDS MID CAP ETF 922908629 3370 13803 SH SOLE 13803 0 0 VANGUARD INDEX FDS SM CP VAL ETF 922908611 553 3176 SH SOLE 3176 0 0 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 561 5253 SH SOLE 5253 0 0 VANGUARD INDEX FDS SMALL CP ETF 922908751 2756 12341 SH SOLE 12341 0 0 VANGUARD INDEX FDS GROWTH ETF 922908736 289 966 SH SOLE 966 0 0 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 4430 10805 SH SOLE 10805 0 0 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 3667 71361 SH SOLE 71361 0 0 VANGUARD INTL EQUITY INDEX F FTSE PACIFIC ETF 922042866 497 6015 SH SOLE 6015 0 0 VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 922042874 975 13860 SH SOLE 13860 0 0 VANGUARD INTL EQUITY INDEX F FTSE SMCAP ETF 922042718 276 1991 SH SOLE 1991 0 0 VANGUARD INTL EQUITY INDEX F TT WRLD ST ETF 922042742 2201 20792 SH SOLE 20792 0 0 VANGUARD MUN BD FDS TAX EXEMPT BD 922907746 659 11929 SH SOLE 11929 0 0 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 236 2470 SH SOLE 2470 0 0 VANGUARD SPECIALIZED FUNDS DIV APP ETF 921908844 1624 10020 SH SOLE 10020 0 0 VANGUARD TAX-MANAGED INTL FD FTSE DEV MKT ETF 921943858 5293 100179 SH SOLE 100179 0 0 VECTOIQ ACQUISITION CORP II Equity 92244F109 150 15000 SH SOLE 15000 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 751 13438 SH SOLE 13438 0 0 VIRTUOSO ACQUISITION CORP Equity 92837J104 99 10000 SH SOLE 10000 0 0 VISA INC COM CL A 92826C839 472 2030 SH SOLE 2030 0 0 VY GLOBAL GROWTH Equity G9444H100 119 11969 SH SOLE 11969 0 0 WALMART INC COM 931142103 350 2339 SH SOLE 2339 0 0 WATFORD HLDGS LTD Equity G94787101 223 6368 SH SOLE 6368 0 0 WILLIS TOWERS WATSON PLC LTD SHS G96629103 382 1744 SH SOLE 1744 0 0 WISDOMTREE TR JAPN HEDGE EQT 97717W851 210 3436 SH SOLE 3436 0 0 YUCAIPA ACQUISITION CORP Equity G9879L105 148 15000 SH SOLE 15000 0 0 Z-WORK ACQUISITION CORP Equity 98880C201 150 15000 SH SOLE 15000 0 0