0001682021-21-000009.txt : 20211116 0001682021-21-000009.hdr.sgml : 20211116 20211115175938 ACCESSION NUMBER: 0001682021-21-000009 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210930 FILED AS OF DATE: 20211116 DATE AS OF CHANGE: 20211115 EFFECTIVENESS DATE: 20211116 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Vivaldi Capital Management LP CENTRAL INDEX KEY: 0001682021 IRS NUMBER: 453825664 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-18047 FILM NUMBER: 211413070 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 FORMER COMPANY: FORMER CONFORMED NAME: Vivaldi Capital Management, LLC DATE OF NAME CHANGE: 20160810 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001682021 XXXXXXXX 09-30-2021 09-30-2021 false Vivaldi Capital Management LP

225 W. Wacker Drive - Suite 2100 Chicago IL 60606

13F HOLDINGS REPORT 028-18047 N Jennifer Yong 312-248-8300 Jennifer Yong Chicago IL 11-15-2021 0 335 461628 INFORMATION TABLE 2 infotable.xml 26 CAPITAL ACQUISITION CORP Equity 90138P100 146 15000 SH SOLE 15000 0 0 3M CO COM 88579Y101 971 5538 SH SOLE 5538 0 0 5 01 ACQUISITION CORP Equity 33836P105 105 10720 SH SOLE 10720 0 0 7GC & CO HOLDINGS INC Equity 81786A206 130 12986 SH SOLE 12986 0 0 890 5TH AVE PARTNERS INC Equity 28250A105 191 19308 SH SOLE 19308 0 0 ABBOTT LABS COM 002824100 940 7955 SH SOLE 7955 0 0 ABBVIE INC COM 00287Y109 1076 9976 SH SOLE 9976 0 0 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 864 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 ALLIANCEBERNSTEIN GLOBAL HIG COM 01879R106 2229 181697 SH SOLE 181697 0 0 ALPHABET INC CAP STK CL C 02079K107 1865 700 SH SOLE 700 0 0 ALPHABET INC CAP STK CL A 02079K305 1083 405 SH SOLE 405 0 0 ALPS ETF TR ALERIAN MLP 00162Q452 777 23315 SH SOLE 23315 0 0 ALTABANCORP Equity 021347109 1040 23547 SH SOLE 23547 0 0 AMAZON COM INC COM 023135106 539 164 SH SOLE 164 0 0 AMERICAN EXPRESS CO COM 025816109 212 1266 SH SOLE 1266 0 0 AMERICAS TECHNOLOGY ACQSN CO Equity G0404A102 110 11000 SH SOLE 11000 0 0 AMGEN INC COM 031162100 477 2244 SH SOLE 2244 0 0 ANGEL OAK FINL STRATEGIES IN COM BEN INT 03464A100 5486 322350 SH SOLE 322350 0 0 ANGEL OAK FINL STRATEGIES IN RIGHT 10/14/2021 03464A118 69 322593 SH SOLE 322593 0 0 APOLLO STRATEGIC GROWTH CAPT Equity G0411R106 98 10000 SH SOLE 10000 0 0 APPLE INC COM 037833100 8862 62627 SH SOLE 62627 0 0 ARES ACQUISITION CORPORATION Equity G33032114 99 10000 SH SOLE 10000 0 0 ARK ETF TR INNOVATION ETF 00214Q104 1108 10022 SH SOLE 10022 0 0 ARK ETF TR GENOMIC REV ETF 00214Q302 547 7314 SH SOLE 7314 0 0 ARYA SCIENCES ACQUISITION V CL A ORD Equity G31658100 119 12000 SH SOLE 12000 0 0 AT&T INC COM 00206R102 474 17534 SH SOLE 17534 0 0 ATHENA TECHNOLOGY ACQUISI CO Equity 04687A109 196 19787 SH SOLE 19787 0 0 ATHENE HOLDING LTD CL A G0684D107 466 6762 SH SOLE 6762 0 0 ATHLON ACQUISITION CORP Equity 04748A106 98 10000 SH SOLE 10000 0 0 ATLAS CREST INVESTMENT CORP Equity 049287204 100 10000 SH SOLE 10000 0 0 AUTHENTIC EQUITY ACQUISTN CO Equity G06607116 100 10000 SH SOLE 10000 0 0 AVANTI ACQUISITION CORP Equity G0682V109 106 10800 SH SOLE 10800 0 0 BANK NEW YORK MELLON CORP COM 064058100 297 5729 SH SOLE 5729 0 0 BCLS ACQUISITION CORP Equity G0904B105 149 14985 SH SOLE 14985 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 1526 5592 SH SOLE 5592 0 0 BERKSHIRE HATHAWAY INC DEL CL A 084670108 411 1 SH SOLE 1 0 0 BETTER WORLD ACQUISITION COR Equity 08772B104 101 10000 SH SOLE 10000 0 0 BIOHITECH GLOBAL INC COM 09074B107 26 18782 SH SOLE 18782 0 0 BIOTECH ACQUISITION COMPANY Equity G1125A108 97 10000 SH SOLE 10000 0 0 BK OF AMERICA CORP COM 060505104 343 8086 SH SOLE 8086 0 0 BLACKROCK CALIF MUN INCOME T SH BEN INT 09248E102 1571 106512 SH SOLE 106512 0 0 BLACKROCK INC COM 09247X101 336 401 SH SOLE 401 0 0 BLACKROCK MUNI INTER DR FD I COM 09253X102 6758 444313 SH SOLE 444313 0 0 BLACKROCK MUNIYIELD CALIF FD COM 09254M105 1298 85451 SH SOLE 85451 0 0 BLACKROCK MUNIYIELD CALIF QU COM 09254N103 829 52181 SH SOLE 52181 0 0 BLACKROCK MUNIYIELD QUALITY COM 09254E103 5574 379686 SH SOLE 379686 0 0 BLUERIVER ACQUISITION CORP Equity G1261Q123 100 10000 SH SOLE 10000 0 0 BOOKING HOLDINGS INC COM 09857L108 266 112 SH SOLE 112 0 0 BRIGHT LIGHTS ACQUISITION CO Equity 10920K200 101 10000 SH SOLE 10000 0 0 BRISTOL-MYERS SQUIBB CO COM 110122108 280 4724 SH SOLE 4724 0 0 BROADRIDGE FINL SOLUTIONS IN COM 11133T103 273 1636 SH SOLE 1636 0 0 BROADSCALE ACQUISITION CORP Equity 11134Y200 119 12000 SH SOLE 12000 0 0 BROOKFIELD ASSET MGMT INC CL A LTD VT SH 112585104 389 7275 SH SOLE 7275 0 0 BROOKFIELD INFRAST PARTNERS LP INT UNIT G16252101 561 10000 SH SOLE 10000 0 0 BURGUNDY TECHNOLOGY ACQU COR Equity G1702T116 154 15488 SH SOLE 15488 0 0 CADENCE BANCORPORATION Equity 12739A100 201 9131 SH SOLE 9131 0 0 CARNEY TECHNOLOGY ACQU CORP Equity 143636108 155 15900 SH SOLE 15900 0 0 CBRE GROUP INC CL A 12504L109 487 5004 SH SOLE 5004 0 0 CC NEUBERGER PRIN HLDGS II Equity G3166T103 98 10000 SH SOLE 10000 0 0 CF ACQUISITION CORP IV Equity 12520T102 175 18000 SH SOLE 18000 0 0 CF ACQUISITION CORP VI Equity 12521J202 99 10000 SH SOLE 10000 0 0 CF ACQUISITION CORP VIII Equity 12520C208 101 10000 SH SOLE 10000 0 0 CHEVRON CORP NEW COM 166764100 238 2346 SH SOLE 2346 0 0 CHP MERGER CORP Equity 12558Y106 105 10451 SH SOLE 10451 0 0 CHURCHILL CAPITAL CORP V Equity 17144T107 125 12827 SH SOLE 12827 0 0 CIMAREX ENERGY CO Equity 171798101 470 5388 SH SOLE 5388 0 0 CISCO SYS INC COM 17275R102 795 14608 SH SOLE 14608 0 0 CLARIM ACQUISITION CORP Equity 18049C207 98 10000 SH SOLE 10000 0 0 CLOROX CO DEL COM 189054109 245 1481 SH SOLE 1481 0 0 CLOUDERA INC Equity 18914U100 506 31708 SH SOLE 31708 0 0 CME GROUP INC COM 12572Q105 535 2764 SH SOLE 2764 0 0 COCA COLA CO COM 191216100 566 10796 SH SOLE 10796 0 0 COHN ROBBINS HOLDINGS CORP Equity G23726105 133 13521 SH SOLE 13521 0 0 COLICITY INC Equity 194170106 195 20000 SH SOLE 20000 0 0 COMCAST CORP NEW CL A 20030N101 412 7372 SH SOLE 7372 0 0 CONAGRA BRANDS INC COM 205887102 234 6920 SH SOLE 6920 0 0 CORNER GROWTH ACQUISITION CO Equity G2425N105 195 19998 SH SOLE 19998 0 0 CORNERSTONE ONDEMAND INC Equity 21925Y103 614 10722 SH SOLE 10722 0 0 COSTCO WHSL CORP NEW COM 22160K105 217 483 SH SOLE 483 0 0 CUMMINS INC COM 231021106 237 1055 SH SOLE 1055 0 0 D R HORTON INC COM 23331A109 1490 17749 SH SOLE 17749 0 0 DATADOG INC CL A COM 23804L103 283 2000 SH SOLE 2000 0 0 DEEP LAKE CAPITAL ACQUSTN CO Equity G27029100 117 12040 SH SOLE 12040 0 0 DIAMONDHEAD HOLDINGS CORP Equity 25278L204 99 10000 SH SOLE 10000 0 0 DISNEY WALT CO COM 254687106 811 4792 SH SOLE 4792 0 0 DNP SELECT INCOME FD INC COM 23325P104 1944 182354 SH SOLE 182354 0 0 DOUBLELINE INCOME SOLUTIONS COM 258622109 179 10100 SH SOLE 10100 0 0 DPCM CAP INC Equity 23344P101 127 12999 SH SOLE 12999 0 0 DRAGONEER GROWTH OPPTY CORP Equity G28314105 204 20549 SH SOLE 20549 0 0 DTF TAX-FREE INCOME INC COM 23334J107 734 50812 SH SOLE 50812 0 0 DWS MUN INCOME TR COM 233368109 5546 466076 SH SOLE 466076 0 0 E MERGE TECHNOLOGY ACQUISITI Equity 26873Y104 186 18953 SH SOLE 18953 0 0 EAST RES ACQUISITION CO Equity 274681105 177 18024 SH SOLE 18024 0 0 EASTSIDE DISTILLING INC COM 277802302 29 11000 SH SOLE 11000 0 0 EATON VANCE CALIF MUN BD FD COM 27828A100 1554 130185 SH SOLE 130185 0 0 ECOLAB INC COM 278865100 227 1090 SH SOLE 1090 0 0 ECP ENVIRONMENTAL GW OPT COR Equity 26829T100 148 14950 SH SOLE 14950 0 0 EMERSON ELEC CO COM 291011104 218 2318 SH SOLE 2318 0 0 EMPOWERMENT & INCLUSION CAPI Equity 29248N209 120 11998 SH SOLE 11998 0 0 ENVIRONMENTAL IMPACT ACQU CO Equity 29408N106 139 14023 SH SOLE 14023 0 0 EPIPHANY TECHNOLOGY ACQUISIT Equity 29429X109 238 24328 SH SOLE 24328 0 0 EQUITY DISTR ACQUISITION COR Equity 29465E106 147 15000 SH SOLE 15000 0 0 EUROPEAN BIOTECH ACQUTN CORP Equity G3167F110 99 10000 SH SOLE 10000 0 0 EXCHANGE TRADED CONCEPTS TR ROBO GLB ETF 301505707 321 4978 SH SOLE 4978 0 0 EXXON MOBIL CORP COM 30231G102 564 9581 SH SOLE 9581 0 0 FACEBOOK INC CL A 30303M102 842 2480 SH SOLE 2480 0 0 FIRST TR EXCH TRADED FD III MERGER ARBITRA 33740J203 1107 56298 SH SOLE 56298 0 0 FIRST TR EXCH TRADED FD III PFD SECS INC ETF 33739E108 589 28680 SH SOLE 28680 0 0 FIRST TR EXCH TRD ALPHDX FD ASIA EX JAPAN 33737J109 4960 153355 SH SOLE 153355 0 0 FIRST TR EXCHANGE TRADED FD NASDQ CLN EDGE 33737A108 300 3234 SH SOLE 3234 0 0 FIRST TR EXCHANGE-TRADED FD FST LOW OPPT EFT 33739Q200 20989 414969 SH SOLE 414969 0 0 FIRST TR EXCHNG TRADED FD VI CBOE EQT BUFER 33740F847 1176 30890 SH SOLE 30890 0 0 FIRST TR EXCHNG TRADED FD VI FT CBOE EQTY BFR 33740U505 348 10398 SH SOLE 10398 0 0 FIRSTMARK HORIZON ACQUISITIO Equity 33765Y101 99 10110 SH SOLE 10110 0 0 FLAGSTAR BANCORP INC Equity 337930705 632 12436 SH SOLE 12436 0 0 FORTRESS CAPITAL ACQUISITION Equity G36427105 117 12000 SH SOLE 12000 0 0 FORTRESS VALUE ACQUIS CORP I Equity 34964G107 139 14200 SH SOLE 14200 0 0 FRAZIER LIFESCIENCES ACQU CO Equity G3710A105 123 12503 SH SOLE 12503 0 0 FTAC ATHENA ACQUISITION CORP Equity G37283101 99 10000 SH SOLE 10000 0 0 GALECTIN THERAPEUTICS INC COM NEW 363225202 41 10668 SH SOLE 10668 0 0 GAMING & LEISURE PPTYS INC COM 36467J108 4046 87347 SH SOLE 87347 0 0 GENERAL ELECTRIC CO COM NEW 369604301 1860 18049 SH SOLE 18049 0 0 GIGCAPITAL4 INC Equity 37518G101 308 31258 SH SOLE 31258 0 0 GLOBAL PARTNER ACQISTN CORP Equity G3934P110 99 10000 SH SOLE 10000 0 0 GLOBAL X FDS GLBL X MLP ETF 37954Y343 1819 51578 SH SOLE 51578 0 0 GO ACQUISITION CORP Equity 362019101 143 14537 SH SOLE 14537 0 0 GORES METROPOULOS II INC Equity 382873107 248 25053 SH SOLE 25053 0 0 HEALTHCARE CAPITAL CORP Equity 42228C101 296 30000 SH SOLE 30000 0 0 H I G ACQUISITION CORP Equity G44898107 139 14184 SH SOLE 14184 0 0 HIGHLAND TRANSCEND PARTNERS Equity G44690108 150 15099 SH SOLE 15099 0 0 HOME DEPOT INC COM 437076102 729 2222 SH SOLE 2222 0 0 HONEYWELL INTL INC COM 438516106 387 1822 SH SOLE 1822 0 0 HORIZON ACQUISITION CORPORAT Equity G46044106 122 12465 SH SOLE 12465 0 0 HUDSON EXECUTIVE INVS CORP I Equity 443760103 146 15000 SH SOLE 15000 0 0 IAC INTERACTIVECORP NEW COM NEW 44891N208 214 1646 SH SOLE 1646 0 0 IG ACQUISITION CORP Equity 449534106 196 20000 SH SOLE 20000 0 0 INTEL CORP COM 458140100 657 12325 SH SOLE 12325 0 0 INVESCO DYNAMIC CR OPPORTUNI COM 46132R104 2262 193366 SH SOLE 193366 0 0 INVESCO EXCHANGE TRADED FD T INVESCO MSCI 46137V407 331 5224 SH SOLE 5224 0 0 INVESCO EXCHANGE TRADED FD T WILDERHIL CLAN 46137V134 322 4168 SH SOLE 4168 0 0 INVESCO SR INCOME TR COM 46131H107 3519 790685 SH SOLE 790685 0 0 INVESTMENT MANAGERS SER TR KNOWLEDGE LEADER 46143U849 2386 50949 SH SOLE 50949 0 0 ISHARES GOLD TR ISHARES NEW 464285204 4222 126383 SH SOLE 126383 0 0 ISHARES INC CORE MSCI EMKT 46434G103 1134 18362 SH SOLE 18362 0 0 ISHARES TR SHRT NAT MUN ETF 464288158 21584 200650 SH SOLE 200650 0 0 ISHARES TR 1 3 YR TREAS BD 464287457 16977 197060 SH SOLE 197060 0 0 ISHARES TR CORE S&P500 ETF 464287200 8254 19159 SH SOLE 19159 0 0 ISHARES TR MSCI EAFE ETF 464287465 5842 74888 SH SOLE 74888 0 0 ISHARES TR CORE S&P TTL STK 464287150 4226 42953 SH SOLE 42953 0 0 ISHARES TR SELECT DIVID ETF 464287168 3896 33965 SH SOLE 33965 0 0 ISHARES TR MSCI ACWI ETF 464288257 3653 36559 SH SOLE 36559 0 0 ISHARES TR CORE S&P MCP ETF 464287507 2821 10724 SH SOLE 10724 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 2496 11412 SH SOLE 11412 0 0 ISHARES TR RUS MID CAP ETF 464287499 2484 31762 SH SOLE 31762 0 0 ISHARES TR CALIF MUN BD ETF 464288356 2253 36297 SH SOLE 36297 0 0 ISHARES TR COHEN STEER REIT 464287564 1882 28773 SH SOLE 28773 0 0 ISHARES TR RUS 1000 VAL ETF 464287598 1719 10986 SH SOLE 10986 0 0 ISHARES TR RUS 1000 GRW ETF 464287614 1688 6158 SH SOLE 6158 0 0 ISHARES TR CORE MSCI EAFE 46432F842 1554 20929 SH SOLE 20929 0 0 ISHARES TR MSCI AC ASIA ETF 464288182 1136 13370 SH SOLE 13370 0 0 ISHARES TR S&P 100 ETF 464287101 1030 5218 SH SOLE 5218 0 0 ISHARES TR US HLTHCARE ETF 464287762 914 3313 SH SOLE 3313 0 0 ISHARES TR ISHARES BIOTECH 464287556 863 5340 SH SOLE 5340 0 0 ISHARES TR CORE MSCI INTL 46435G326 861 12890 SH SOLE 12890 0 0 ISHARES TR CORE S&P SCP ETF 464287804 812 7434 SH SOLE 7434 0 0 ISHARES TR IBONDS DEC23 ETF 46434VAX8 702 26982 SH SOLE 26982 0 0 ISHARES TR U.S. TECH ETF 464287721 633 6251 SH SOLE 6251 0 0 ISHARES TR IBONDS DEC21 ETF 46434VBK5 601 24312 SH SOLE 24312 0 0 ISHARES TR CORE US AGGBD ET 464287226 567 4935 SH SOLE 4935 0 0 ISHARES TR IBONDS DEC22 ETF 46434VBA7 515 20347 SH SOLE 20347 0 0 ISHARES TR IBOXX HI YD ETF 464288513 492 5618 SH SOLE 5618 0 0 ISHARES TR MSCI EMG MKT ETF 464287234 487 9657 SH SOLE 9657 0 0 ISHARES TR NATIONAL MUN ETF 464288414 485 4172 SH SOLE 4172 0 0 ISHARES TR ESG AWR MSCI USA 46435G425 483 4908 SH SOLE 4908 0 0 ISHARES TR 0-5YR HI YL CP 46434V407 476 10406 SH SOLE 10406 0 0 ISHARES TR CORE INTL AGGR 46435G672 409 7441 SH SOLE 7441 0 0 ISHARES TR ISHS 1-5YR INVS 464288646 399 7300 SH SOLE 7300 0 0 ISHARES TR INTL SEL DIV ETF 464288448 317 10416 SH SOLE 10416 0 0 ISHARES TR EAFE SML CP ETF 464288273 301 4046 SH SOLE 4046 0 0 ISHARES TR GL CLEAN ENE ETF 464288224 259 11968 SH SOLE 11968 0 0 ISHARES TR FLTG RATE NT ETF 46429B655 236 4651 SH SOLE 4651 0 0 ISHARES TR MSCI GLOBAL IMP 46435G532 204 2120 SH SOLE 2120 0 0 ITAMAR MED LTD Equity 465437101 242 7992 SH SOLE 7992 0 0 IVANHOE CAPITAL ACQUISTIN CO Equity G4R87P114 121 12179 SH SOLE 12179 0 0 JACK CREEK INVESTMENT CORP Equity G4989X107 121 12000 SH SOLE 12000 0 0 JAWS MUSTANG ACQUISITION COR Equity G50737108 98 10000 SH SOLE 10000 0 0 JOHNSON & JOHNSON COM 478160104 907 5613 SH SOLE 5613 0 0 JPMORGAN CHASE & CO COM 46625H100 2915 17807 SH SOLE 17807 0 0 KAIROS ACQUISITION CORP Equity G52110122 120 12000 SH SOLE 12000 0 0 KANSAS CITY SOUTHERN Equity 485170302 826 3052 SH SOLE 3052 0 0 KAYNE ANDERSON ENERGY INFRST COM 486606106 102 12730 SH SOLE 12730 0 0 KINS TECHNOLOGY GROUP INC Equity 49714K109 149 15000 SH SOLE 15000 0 0 LANDMARK INFRASTRCTUR PARTR Equity 51508J108 245 15011 SH SOLE 15011 0 0 LILLY ELI & CO COM 532457108 471 2039 SH SOLE 2039 0 0 LIONHEART ACQUISITION CORP I Equity 53625R104 253 25482 SH SOLE 25482 0 0 LUMINAR TECHNOLOGIES INC COM CL A 550424105 3900 250000 SH SOLE 250000 0 0 LUX HEALTH TECH ACQUISITION Equity 55068A100 119 12120 SH SOLE 12120 0 0 LYFT INC CL A COM 55087P104 1790 33408 SH SOLE 33408 0 0 MAGELLAN HEALTH INC Equity 559079207 243 2569 SH SOLE 2569 0 0 MARLIN TECHNOLOGY CORP Equity G58411102 117 12000 SH SOLE 12000 0 0 MASTERCARD INCORPORATED CL A 57636Q104 381 1095 SH SOLE 1095 0 0 MATCH GROUP INC NEW COM 57667L107 499 3181 SH SOLE 3181 0 0 MCAP ACQUISITION CORP Equity 55282T109 293 29722 SH SOLE 29722 0 0 MCDONALDS CORP COM 580135101 462 1915 SH SOLE 1915 0 0 MERCK & CO INC COM 58933Y105 486 6475 SH SOLE 6475 0 0 MESABI TR CTF BEN INT 590672101 208 7000 SH SOLE 7000 0 0 MICROSOFT CORP COM 594918104 3396 12045 SH SOLE 12045 0 0 MONUMENT CIRCLE ACQUISITN CO Equity 61531M200 110 11000 SH SOLE 11000 0 0 MORGAN STANLEY COM NEW 617446448 431 4425 SH SOLE 4425 0 0 MOTOROLA SOLUTIONS INC COM NEW 620076307 338 1454 SH SOLE 1454 0 0 NEUBERGER BRMAN CLIFRN MUNI COM 64123C101 1283 89588 SH SOLE 89588 0 0 NEXTERA ENERGY INC COM 65339F101 435 5545 SH SOLE 5545 0 0 NIKE INC CL B 654106103 351 2414 SH SOLE 2414 0 0 NOBLE ROCK ACQUISITION CORP Equity G6546R101 200 20601 SH SOLE 20601 0 0 NORTH ATLANTIC ACQUISITN COR Equity G66139117 139 14000 SH SOLE 14000 0 0 NORTH MOUNTAIN MERGER CORP Equity 661204107 188 19197 SH SOLE 19197 0 0 NORTHERN STAR INVSTMNT CORP Equity 66573W107 100 10074 SH SOLE 10074 0 0 NORTHERN TR CORP COM 665859104 616 5717 SH SOLE 5717 0 0 NOVUS CAPITAL CORPORATION II Equity 67012W104 115 11598 SH SOLE 11598 0 0 NUVEEN AMT FREE QLTY MUN INC COM 670657105 197 12997 SH SOLE 12997 0 0 NUVEEN NASDAQ 100 DYNAMIC OV COM SHS 670699107 230 8103 SH SOLE 8103 0 0 NUVEEN QUALITY MUNCP INCOME COM 67066V101 202 12930 SH SOLE 12930 0 0 NVIDIA CORPORATION COM 67066G104 410 1978 SH SOLE 1978 0 0 OAKTREE ACQUISITION CORP II Equity G6715X103 176 17928 SH SOLE 17928 0 0 OBLONG INC COM 674434105 54 25590 SH SOLE 25590 0 0 OMNICELL COM COM 68213N109 267 1800 SH SOLE 1800 0 0 OMNICHANNEL ACQUISITION CORP Equity 68218L108 149 15000 SH SOLE 15000 0 0 ORACLE CORP COM 68389X105 265 3042 SH SOLE 3042 0 0 PAYCHEX INC COM 704326107 225 2000 SH SOLE 2000 0 0 PAYPAL HLDGS INC COM 70450Y103 441 1695 SH SOLE 1695 0 0 PEPSICO INC COM 713448108 602 4005 SH SOLE 4005 0 0 PFIZER INC COM 717081103 1651 38396 SH SOLE 38396 0 0 PGIM GLOBAL HIGH YIELD FD FO COM 69346J106 2877 186837 SH SOLE 186837 0 0 PGIM HIGH YIELD BOND FUND IN COM 69346H100 4089 251806 SH SOLE 251806 0 0 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 13275 130238 SH SOLE 130238 0 0 PIMCO ETF TR 1-5 US TIP IDX 72201R205 211 3853 SH SOLE 3853 0 0 PIVOTAL INVESTMENT CORP III Equity 72582M106 146 15000 SH SOLE 15000 0 0 PMV CONSUMER ACQUISITION COR Equity 693486102 147 15000 SH SOLE 15000 0 0 POEMA GLOBAL HOLDINGS CORP Equity G7154B107 148 15000 SH SOLE 15000 0 0 PRA GROUP INC COM 69354N106 2471 58636 SH SOLE 58636 0 0 PRIME IMPACT ACQUISITION I Equity G61074103 128 12999 SH SOLE 12999 0 0 PROCTER AND GAMBLE CO COM 742718109 2169 15515 SH SOLE 15515 0 0 PROSPECTOR CAPITAL CORP Equity G7273A105 102 10500 SH SOLE 10500 0 0 PRUDENTIAL FINL INC COM 744320102 383 3639 SH SOLE 3639 0 0 QUEENS GAMBIT GROWTH CAPITAL Equity G7315C101 138 13974 SH SOLE 13974 0 0 RESEARCH ALLIANCE CORP II Equity 760873109 128 13000 SH SOLE 13000 0 0 RMG ACQUISITION CORP III Equity G76088106 146 15000 SH SOLE 15000 0 0 ROMAN DBDR TECH ACQUISITION Equity 77584N101 221 21870 SH SOLE 21870 0 0 RPM INTL INC COM 749685103 212 2730 SH SOLE 2730 0 0 SARISSA CAPITAL ACQUISITN CO Equity G7823W102 126 12785 SH SOLE 12785 0 0 SCHWAB STRATEGIC TR SHT TM US TRES 808524862 17874 349164 SH SOLE 349164 0 0 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 4660 44798 SH SOLE 44798 0 0 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 4335 41735 SH SOLE 41735 0 0 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 4000 103360 SH SOLE 103360 0 0 SCHWAB STRATEGIC TR EMRG MKTEQ ETF 808524706 2077 68151 SH SOLE 68151 0 0 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 1846 18438 SH SOLE 18438 0 0 SCHWAB STRATEGIC TR US MID-CAP ETF 808524508 1473 19216 SH SOLE 19216 0 0 SCHWAB STRATEGIC TR US AGGREGATE B 808524839 580 10694 SH SOLE 10694 0 0 SCHWAB STRATEGIC TR SCHWB FDT EMK LG 808524730 328 10162 SH SOLE 10162 0 0 SCHWAB STRATEGIC TR INTL SCEQT ETF 808524888 300 7226 SH SOLE 7226 0 0 SCION TECH GROWTH I Equity G31067120 102 10279 SH SOLE 10279 0 0 SCORE MEDIA & GAMING INC Equity 80919D202 220 6423 SH SOLE 6423 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 839 5616 SH SOLE 5616 0 0 SELECT SECTOR SPDR TR ENERGY 81369Y506 748 14359 SH SOLE 14359 0 0 SELECT SECTOR SPDR TR FINANCIAL 81369Y605 300 7988 SH SOLE 7988 0 0 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 297 2332 SH SOLE 2332 0 0 SERVICESOURCE INTL INC COM 81763U100 169 125000 SH SOLE 125000 0 0 SEVEN OAKS ACQUISITION CORP Equity 81787X106 183 18402 SH SOLE 18402 0 0 SOCIAL CAPITAL HEDOSOPHA HLD Equity G8251L105 176 17300 SH SOLE 17300 0 0 SOCIAL LEVERAGE ACQUISN CORP Equity 83363K102 147 15000 SH SOLE 15000 0 0 SOFI TECHNOLOGIES INC COM 83406F102 331 20859 SH SOLE 20859 0 0 SOFTWARE ACQUISITION GROUP III UNT Equity 83407J202 101 10000 SH SOLE 10000 0 0 SPARTAN ACQUISITION CORP III Equity 84677R106 123 12442 SH SOLE 12442 0 0 SPDR GOLD TR GOLD SHS 78463V107 2393 14574 SH SOLE 14574 0 0 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 22425 619307 SH SOLE 619307 0 0 SPDR INDEX SHS FDS PORTFOLIO EMG MK 78463X509 6759 158913 SH SOLE 158913 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 18940 44135 SH SOLE 44135 0 0 SPDR SER TR PORTFOLIO S&P500 78464A854 20408 404448 SH SOLE 404448 0 0 SPDR SER TR PORTFOLIO S&P600 78468R853 8199 192468 SH SOLE 192468 0 0 SPDR SER TR PORTFOLIO S&P400 78464A847 7282 157747 SH SOLE 157747 0 0 SPDR SER TR NUVEEN BLMBRG SR 78468R739 482 9750 SH SOLE 9750 0 0 SPDR SER TR BLOOMBERG BRCLYS 78468R622 274 2508 SH SOLE 2508 0 0 SPDR SER TR S&P REGL BKG 78464A698 223 3285 SH SOLE 3285 0 0 SPORTS VENTURES ACQUISIN COR Equity G8372A111 99 10000 SH SOLE 10000 0 0 SPROTT PHYSICAL GOLD & SILVE TR UNIT 85208R101 259 15112 SH SOLE 15112 0 0 STAMPS COM INC Equity 852857200 480 1455 SH SOLE 1455 0 0 STERLING BANCORP DEL Equity 85917A100 613 24544 SH SOLE 24544 0 0 TAILWIND ACQUISITION CORP Equity 87403Q102 123 12600 SH SOLE 12600 0 0 TAILWIND INTERNATNAL ACQ COR Equity G8662F101 146 15000 SH SOLE 15000 0 0 TARGET CORP COM 87612E106 853 3729 SH SOLE 3729 0 0 TEKKORP DIGITAL ACQUISITN CO Equity G8739H106 157 15992 SH SOLE 15992 0 0 TESLA INC COM 88160R101 6681 8615 SH SOLE 8615 0 0 THAYER VENTURES ACQU CORP Equity 88332T100 308 30496 SH SOLE 30496 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 1388 2429 SH SOLE 2429 0 0 THIMBLE POINT ACQUISITION CO Equity 88408P107 249 25010 SH SOLE 25010 0 0 TIGA ACQUISITION CORP Equity G88672103 121 11935 SH SOLE 11935 0 0 TREBIA ACQUISITION CORP Equity G9027T109 171 17232 SH SOLE 17232 0 0 TREEHOUSE FOODS INC COM 89469A104 219 5500 SH SOLE 5500 0 0 TREPONT ACQUISITION CORP I Equity G9095M101 146 14660 SH SOLE 14660 0 0 TWO RDS SHARED TR ANFIELD DIVERSIF 90213U115 223 21808 SH SOLE 21808 0 0 UNION PAC CORP COM 907818108 282 1437 SH SOLE 1437 0 0 UNITEDHEALTH GROUP INC COM 91324P102 933 2389 SH SOLE 2389 0 0 UROGEN PHARMA LTD COM M96088105 280 16650 SH SOLE 16650 0 0 US BANCORP DEL COM NEW 902973304 716 12046 SH SOLE 12046 0 0 VANGUARD ADMIRAL FDS INC 500 GRTH IDX F 921932505 467 1750 SH SOLE 1750 0 0 VANGUARD BD INDEX FDS TOTAL BND MRKT 921937835 243 2846 SH SOLE 2846 0 0 VANGUARD INDEX FDS TOTAL STK MKT 922908769 6807 30654 SH SOLE 30654 0 0 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 4236 10741 SH SOLE 10741 0 0 VANGUARD INDEX FDS MID CAP ETF 922908629 3248 13719 SH SOLE 13719 0 0 VANGUARD INDEX FDS SMALL CP ETF 922908751 2679 12252 SH SOLE 12252 0 0 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 535 5253 SH SOLE 5253 0 0 VANGUARD INDEX FDS SM CP VAL ETF 922908611 513 3029 SH SOLE 3029 0 0 VANGUARD INDEX FDS GROWTH ETF 922908736 280 966 SH SOLE 966 0 0 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 3502 70026 SH SOLE 70026 0 0 VANGUARD INTL EQUITY INDEX F TT WRLD ST ETF 922042742 2122 20837 SH SOLE 20837 0 0 VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 922042874 909 13860 SH SOLE 13860 0 0 VANGUARD INTL EQUITY INDEX F FTSE PACIFIC ETF 922042866 487 6015 SH SOLE 6015 0 0 VANGUARD INTL EQUITY INDEX F FTSE SMCAP ETF 922042718 266 1991 SH SOLE 1991 0 0 VANGUARD MUN BD FDS TAX EXEMPT BD 922907746 628 11472 SH SOLE 11472 0 0 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 233 2470 SH SOLE 2470 0 0 VANGUARD SPECIALIZED FUNDS DIV APP ETF 921908844 1488 9690 SH SOLE 9690 0 0 VANGUARD TAX-MANAGED INTL FD FTSE DEV MKT ETF 921943858 5070 100425 SH SOLE 100425 0 0 VECTOIQ ACQUISITION CORP II Equity 92244F109 146 15000 SH SOLE 15000 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 726 13438 SH SOLE 13438 0 0 VIRTUOSO ACQUISITION CORP Equity 92837J104 99 10000 SH SOLE 10000 0 0 VISA INC COM CL A 92826C839 452 2030 SH SOLE 2030 0 0 VY GLOBAL GROWTH Equity G9444H100 117 11969 SH SOLE 11969 0 0 WALMART INC COM 931142103 326 2339 SH SOLE 2339 0 0 WILLIS TOWERS WATSON PLC LTD SHS G96629103 405 1744 SH SOLE 1744 0 0 WISDOMTREE TR JAPN HEDGE EQT 97717W851 217 3436 SH SOLE 3436 0 0 YUCAIPA ACQUISITION CORP Equity G9879L105 148 15000 SH SOLE 15000 0 0 Z-WORK ACQUISITION CORP Equity 98880C102 146 15000 SH SOLE 15000 0 0 ZANITE ACQUISITION CORP Equity 98907K103 142 14000 SH SOLE 14000 0 0