Compliance Manager

0001682021-22-000006.txt : 20220214 0001682021-22-000006.hdr.sgml : 20220214 20220214164743 ACCESSION NUMBER: 0001682021-22-000006 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20211231 FILED AS OF DATE: 20220214 DATE AS OF CHANGE: 20220214 EFFECTIVENESS DATE: 20220214 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: 22633707 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 12-31-2021 12-31-2021 false Vivaldi Capital Management LP

225 W. Wacker Drive - Suite 2100 Chicago IL 60606

13F HOLDINGS REPORT 028-18047 N Jennifer Yong Compliance Manager 312-248-8300 Jennifer Yong Chicago IL 02-14-2022 0 208 431604 INFORMATION TABLE 2 infotable.xml 3M CO COM 88579Y101 984 5537 SH SOLE 5537 0 0 ABBOTT LABS COM 002824100 1109 7882 SH SOLE 7882 0 0 ABBVIE INC COM 00287Y109 1353 9996 SH SOLE 9996 0 0 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 1121 2705 SH SOLE 2705 0 0 ALLIANCEBERNSTEIN GLOBAL HIG COM 01879R106 2007 165428 SH SOLE 165428 0 0 ALPHABET INC CAP STK CL A 02079K305 1107 382 SH SOLE 382 0 0 ALPHABET INC CAP STK CL C 02079K107 1958 677 SH SOLE 677 0 0 ALPS ETF TR ALERIAN MLP 00162Q452 836 25527 SH SOLE 25527 0 0 ALTRIA GROUP INC COM 02209S103 323 6815 SH SOLE 6815 0 0 AMAZON COM INC COM 023135106 523 157 SH SOLE 157 0 0 AMERICAN EXPRESS CO COM 025816109 208 1270 SH SOLE 1270 0 0 AMGEN INC COM 031162100 545 2422 SH SOLE 2422 0 0 APPLE INC COM 037833100 11640 65552 SH SOLE 65552 0 0 ARK ETF TR INNOVATION ETF 00214Q104 948 10027 SH SOLE 10027 0 0 ARK ETF TR GENOMIC REV ETF 00214Q302 447 7297 SH SOLE 7297 0 0 AT&T INC COM 00206R102 350 14246 SH SOLE 14246 0 0 ATHENE HOLDING LTD CL A G0684D107 563 6762 SH SOLE 6762 0 0 BANK NEW YORK MELLON CORP COM 064058100 331 5701 SH SOLE 5701 0 0 BECTON DICKINSON & CO COM 075887109 204 813 SH SOLE 813 0 0 BERKSHIRE HATHAWAY INC DEL CL A 084670108 451 1 SH SOLE 1 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 1765 5904 SH SOLE 5904 0 0 BK OF AMERICA CORP COM 060505104 361 8122 SH SOLE 8122 0 0 BLACKROCK CALIF MUN INCOME T SH BEN INT 09248E102 1521 104525 SH SOLE 104525 0 0 BLACKROCK INC COM 09247X101 368 402 SH SOLE 402 0 0 BLACKROCK MUNI INTER DR FD I COM 09253X102 728 47959 SH SOLE 47959 0 0 BLACKROCK MUNIYIELD QUALITY COM 09254E103 866 58402 SH SOLE 58402 0 0 BOEING CO COM 097023105 1938 9625 SH SOLE 9625 0 0 BOOKING HOLDINGS INC COM 09857L108 269 112 SH SOLE 112 0 0 BRISTOL-MYERS SQUIBB CO COM 110122108 295 4739 SH SOLE 4739 0 0 BROADRIDGE FINL SOLUTIONS IN COM 11133T103 299 1638 SH SOLE 1638 0 0 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170634 SH SOLE 170634 0 0 PGIM HIGH YIELD BOND FUND IN COM 69346H100 3709 231083 SH SOLE 231083 0 0 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 17909 176341 SH SOLE 176341 0 0 PRA GROUP INC COM 69354N106 2944 58636 SH SOLE 58636 0 0 PROCTER AND GAMBLE CO COM 742718109 2800 17118 SH SOLE 17118 0 0 PRUDENTIAL FINL INC COM 744320102 394 3643 SH SOLE 3643 0 0 BIOHITECH GLOBAL INC COM 09074B107 13 18782 SH SOLE 18782 0 0 ROBINHOOD MKTS INC COM CL A 770700102 308 17336 SH SOLE 17336 0 0 RPM INTL INC COM 749685103 276 2730 SH SOLE 2730 0 0 SCHWAB STRATEGIC TR SCHWB FDT EMK LG 808524730 297 9597 SH SOLE 9597 0 0 SCHWAB STRATEGIC TR SHT TM US TRES 808524862 13315 261844 SH SOLE 261844 0 0 SCHWAB STRATEGIC TR US AGGREGATE B 808524839 458 8492 SH SOLE 8492 0 0 SCHWAB STRATEGIC TR US MID-CAP ETF 808524508 1595 19837 SH SOLE 19837 0 0 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 4359 38574 SH SOLE 38574 0 0 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 4212 108361 SH SOLE 108361 0 0 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 5271 46306 SH SOLE 46306 0 0 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 1940 18945 SH SOLE 18945 0 0 SCHWAB STRATEGIC TR INTL SCEQT ETF 808524888 268 6558 SH SOLE 6558 0 0 SCHWAB STRATEGIC TR EMRG MKTEQ ETF 808524706 2071 69924 SH SOLE 69924 0 0 SELECT SECTOR SPDR TR ENERGY 81369Y506 791 14246 SH SOLE 14246 0 0 SELECT SECTOR SPDR TR FINANCIAL 81369Y605 515 13194 SH SOLE 13194 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 1020 5866 SH SOLE 5866 0 0 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 375 2665 SH SOLE 2665 0 0 SERVICESOURCE INTL INC COM 81763U100 124 125000 SH SOLE 125000 0 0 SOFI TECHNOLOGIES INC COM 83406F102 267 16859 SH SOLE 16859 0 0 SPDR GOLD TR GOLD SHS 78463V107 2551 14922 SH SOLE 14922 0 0 SPDR INDEX SHS FDS PORTFOLIO EMG MK 78463X509 6589 158798 SH SOLE 158798 0 0 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 22574 618815 SH SOLE 618815 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 20485 43130 SH SOLE 43130 0 0 SPDR SER TR PORTFOLIO S&P400 78464A847 7792 156660 SH SOLE 156660 0 0 SPDR SER TR S&P REGL BKG 78464A698 233 3285 SH SOLE 3285 0 0 SPDR SER TR BLOOMBERG HIGH Y 78468R622 243 2234 SH SOLE 2234 0 0 SPDR SER TR NUVEEN BLMBRG SH 78468R739 480 9750 SH SOLE 9750 0 0 SPDR SER TR PRTFLO S&P500 VL 78464A508 362 8621 SH SOLE 8621 0 0 SPDR SER TR PORTFOLIO S&P500 78464A854 22233 398234 SH SOLE 398234 0 0 SPDR SER TR PORTFOLIO S&P600 78468R853 8547 191252 SH SOLE 191252 0 0 SPROTT PHYSICAL GOLD & SILVE TR UNIT 85208R101 225 12677 SH SOLE 12677 0 0 TARGET CORP COM 87612E106 863 3729 SH SOLE 3729 0 0 TESLA INC COM 88160R101 8426 7973 SH SOLE 7973 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 1623 2432 SH SOLE 2432 0 0 TREEHOUSE FOODS INC COM 89469A104 223 5500 SH SOLE 5500 0 0 TWO RDS SHARED TR ANFIELD DIVERSIF 90213U115 228 21808 SH SOLE 21808 0 0 UNION PAC CORP COM 907818108 363 1440 SH SOLE 1440 0 0 UNITEDHEALTH GROUP INC COM 91324P102 1403 2795 SH SOLE 2795 0 0 US BANCORP DEL COM NEW 902973304 677 12060 SH SOLE 12060 0 0 VANECK VECTORS ETF TR JUNIOR GOLD MINE 92189F791 203 4835 SH SOLE 4835 0 0 VANGUARD ADMIRAL FDS INC 500 GRTH IDX F 921932505 528 1750 SH SOLE 1750 0 0 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 4803 11001 SH SOLE 11001 0 0 VANGUARD INDEX FDS SMALL CP ETF 922908751 2746 12149 SH SOLE 12149 0 0 VANGUARD INDEX FDS GROWTH ETF 922908736 234 730 SH SOLE 730 0 0 VANGUARD INDEX FDS TOTAL STK MKT 922908769 7407 30680 SH SOLE 30680 0 0 VANGUARD INDEX FDS MID CAP ETF 922908629 3461 13583 SH SOLE 13583 0 0 VANGUARD INDEX FDS SM CP VAL ETF 922908611 542 3030 SH SOLE 3030 0 0 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 633 5453 SH SOLE 5453 0 0 VANGUARD INTL EQUITY INDEX F FTSE PACIFIC ETF 922042866 452 5791 SH SOLE 5791 0 0 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 3487 70501 SH SOLE 70501 0 0 VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 922042874 901 13197 SH SOLE 13197 0 0 VANGUARD INTL EQUITY INDEX F FTSE SMCAP ETF 922042718 267 1991 SH SOLE 1991 0 0 VANGUARD INTL EQUITY INDEX F TT WRLD ST ETF 922042742 2036 18950 SH SOLE 18950 0 0 VANGUARD MUN BD FDS TAX EXEMPT BD 922907746 478 8712 SH SOLE 8712 0 0 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 229 2470 SH SOLE 2470 0 0 VANGUARD SCOTTSDALE FDS SHORT TERM TREAS 92206C102 1066 17525 SH SOLE 17525 0 0 VANGUARD SPECIALIZED FUNDS DIV APP ETF 921908844 1770 10307 SH SOLE 10307 0 0 VANGUARD TAX-MANAGED INTL FD FTSE DEV MKT ETF 921943858 5212 102081 SH SOLE 102081 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 1106 21293 SH SOLE 21293 0 0 VISA INC COM CL A 92826C839 443 2043 SH SOLE 2043 0 0 WALMART INC COM 931142103 545 3769 SH SOLE 3769 0 0 WILLIS TOWERS WATSON PLC LTD SHS G96629103 414 1745 SH SOLE 1745 0 0 WISDOMTREE TR JAPN HEDGE EQT 97717W851 215 3436 SH SOLE 3436 0 0