Compliance Manager

0001682021-22-000011.txt : 20220815 0001682021-22-000011.hdr.sgml : 20220815 20220815115518 ACCESSION NUMBER: 0001682021-22-000011 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20220630 FILED AS OF DATE: 20220815 DATE AS OF CHANGE: 20220815 EFFECTIVENESS DATE: 20220815 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: 221163816 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 06-30-2022 06-30-2022 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 08-15-2022 0 218 384055 INFORMATION TABLE 2 infotable.xml 3M CO COM 88579Y101 824 6366 SH SOLE 6366 0 0 ABBOTT LABS COM 002824100 900 8283 SH SOLE 8283 0 0 ABBVIE INC COM 00287Y109 1523 9943 SH SOLE 9943 0 0 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 916 3299 SH SOLE 3299 0 0 ALLIANCEBERNSTEIN GLOBAL HIG COM 01879R106 2898 296585 SH SOLE 296585 0 0 ALLIANCEBERNSTEIN NATL MUN I COM 01864U106 3291 284426 SH SOLE 284426 0 0 ALPHABET INC CAP STK CL A 02079K305 1201 551 SH SOLE 551 0 0 ALPHABET INC CAP STK CL C 02079K107 1916 876 SH SOLE 876 0 0 ALPS ETF TR ALERIAN MLP 00162Q452 896 26020 SH SOLE 26020 0 0 ALTRIA GROUP INC COM 02209S103 281 6719 SH SOLE 6719 0 0 AMAZON COM INC COM 023135106 696 6554 SH SOLE 6554 0 0 AMERICAN CENTY ETF TR US SML CP VALU 025072877 516 7554 SH SOLE 7554 0 0 AMERICAN CENTY ETF TR INTL SMCP VLU 025072802 519 9834 SH SOLE 9834 0 0 AMERICAN EXPRESS CO COM 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EXCHANGE TRADED CONCEPTS TR ROBO GLB ETF 301505707 224 4981 SH SOLE 4981 0 0 EXXON MOBIL CORP COM 30231G102 799 9325 SH SOLE 9325 0 0 FIRST TR EXCH TRADED FD III PFD SECS INC ETF 33739E108 827 47972 SH SOLE 47972 0 0 FIRST TR EXCH TRADED FD III MERGER ARBITRA 33740J203 1969 99175 SH SOLE 99175 0 0 FIRST TR EXCH TRD ALPHDX FD ASIA EX JAPAN 33737J109 4074 156586 SH SOLE 156586 0 0 FIRST TR EXCHANGE TRADED FD NASDQ CLN EDGE 33737A108 251 3234 SH SOLE 3234 0 0 FIRST TR EXCHANGE-TRADED FD FST LOW OPPT EFT 33739Q200 10778 223142 SH SOLE 223142 0 0 GALECTIN THERAPEUTICS INC COM NEW 363225202 22 17078 SH SOLE 17078 0 0 GAMING & LEISURE PPTYS INC COM 36467J108 4235 92347 SH SOLE 92347 0 0 GENERAL ELECTRIC CO COM NEW 369604301 642 10076 SH SOLE 10076 0 0 GLOBAL X FDS GLBL X MLP ETF 37954Y343 2021 54802 SH SOLE 54802 0 0 HIPPO HLDGS INC COMMON STOCK 433539103 9 10000 SH SOLE 10000 0 0 HOME DEPOT INC COM 437076102 772 2816 SH SOLE 2816 0 0 HONEYWELL INTL INC COM 438516106 309 1777 SH SOLE 1777 0 0 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SOLE 32283 0 0 ISHARES TR GL CLEAN ENE ETF 464288224 228 11948 SH SOLE 11948 0 0 ISHARES TR SHRT NAT MUN ETF 464288158 6511 62207 SH SOLE 62207 0 0 ISHARES TR IBONDS DEC23 ETF 46434VAX8 407 16220 SH SOLE 16220 0 0 ISHARES TR IBONDS DEC22 ETF 46434VBA7 368 14700 SH SOLE 14700 0 0 ISHARES TR CORE INTL AGGR 46435G672 300 6014 SH SOLE 6014 0 0 ISHARES TR CORE MSCI INTL 46435G326 683 12710 SH SOLE 12710 0 0 ISHARES TR ESG AWR MSCI USA 46435G425 227 2711 SH SOLE 2711 0 0 ISHARES TR CORE S&P TTL STK 464287150 2875 34317 SH SOLE 34317 0 0 ISHARES TR EAFE SML CP ETF 464288273 221 4046 SH SOLE 4046 0 0 ISHARES TR NATIONAL MUN ETF 464288414 271 2548 SH SOLE 2548 0 0 ISHARES TR IBOXX HI YD ETF 464288513 261 3546 SH SOLE 3546 0 0 ISHARES TR ISHS 1-5YR INVS 464288646 369 7300 SH SOLE 7300 0 0 ISHARES TR MSCI EMG MKT ETF 464287234 396 9886 SH SOLE 9886 0 0 ISHARES TR S&P 100 ETF 464287101 812 4708 SH SOLE 4708 0 0 ISHARES TR SELECT DIVID ETF 464287168 5405 45938 SH SOLE 45938 0 0 ISHARES TR CORE US AGGBD ET 464287226 562 5525 SH SOLE 5525 0 0 ISHARES TR MSCI AC ASIA ETF 464288182 1149 16610 SH SOLE 16610 0 0 ISHARES TR MRGSTR MD CP VAL 464288406 776 13072 SH SOLE 13072 0 0 ISHARES TR CORE S&P MCP ETF 464287507 2694 11908 SH SOLE 11908 0 0 ISHARES TR CORE S&P SCP ETF 464287804 829 8973 SH SOLE 8973 0 0 ISHARES TR CORE S&P500 ETF 464287200 7476 19719 SH SOLE 19719 0 0 ISHARES TR RUS 1000 VAL ETF 464287598 2758 19025 SH SOLE 19025 0 0 ISHARES TR RUS 1000 GRW ETF 464287614 1392 6367 SH SOLE 6367 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 1914 11303 SH SOLE 11303 0 0 ISHARES TR RUS MID CAP ETF 464287499 2076 32109 SH SOLE 32109 0 0 ISHARES TR COHEN STEER REIT 464287564 1741 28648 SH SOLE 28648 0 0 ISHARES TR US HLTHCARE ETF 464287762 747 2778 SH SOLE 2778 0 0 ISHARES TR U.S. TECH ETF 464287721 475 5943 SH SOLE 5943 0 0 ISHARES TR MSCI EAFE ETF 464287465 4448 71179 SH SOLE 71179 0 0 ISHARES TR ISHARES BIOTECH 464287556 550 4677 SH SOLE 4677 0 0 ISHARES TR 1 3 YR TREAS BD 464287457 7631 92178 SH SOLE 92178 0 0 JOHNSON & JOHNSON COM 478160104 1462 8235 SH SOLE 8235 0 0 JPMORGAN CHASE & CO COM 46625H100 2152 19112 SH SOLE 19112 0 0 KAYNE ANDERSON ENERGY INFRST COM 486606106 122 14604 SH SOLE 14604 0 0 LILLY ELI & CO COM 532457108 672 2074 SH SOLE 2074 0 0 LISTED FD TR HORIZON KINETICS 53656F623 1003 35148 SH SOLE 35148 0 0 LUMINAR TECHNOLOGIES INC COM CL A 550424105 1483 250000 SH SOLE 250000 0 0 LYFT INC CL A COM 55087P104 421 31714 SH SOLE 31714 0 0 MASTERCARD INCORPORATED CL A 57636Q104 387 1227 SH SOLE 1227 0 0 MATCH GROUP INC NEW COM 57667L107 223 3198 SH SOLE 3198 0 0 MCDONALDS CORP COM 580135101 661 2679 SH SOLE 2679 0 0 MERCK & CO INC COM 58933Y105 623 6829 SH SOLE 6829 0 0 META PLATFORMS INC CL A 30303M102 398 2468 SH SOLE 2468 0 0 MICROSOFT CORP COM 594918104 6072 23642 SH SOLE 23642 0 0 MORGAN STANLEY COM NEW 617446448 379 4979 SH SOLE 4979 0 0 MOTOROLA SOLUTIONS INC COM NEW 620076307 305 1455 SH SOLE 1455 0 0 NEUBERGER BRMAN CLIFRN MUNI COM 64123C101 570 50932 SH SOLE 50932 0 0 NEXTERA ENERGY INC COM 65339F101 436 5632 SH SOLE 5632 0 0 NIKE INC CL B 654106103 245 2398 SH SOLE 2398 0 0 NORTHERN TR CORP COM 665859104 502 5201 SH SOLE 5201 0 0 NUVEEN AMT FREE QLTY MUN INC COM 670657105 153 12997 SH SOLE 12997 0 0 NUVEEN CA QUALTY MUN INCOME COM 67066Y105 325 26366 SH SOLE 26366 0 0 NUVEEN CALIFORNIA AMT QLT MU COM 670651108 320 24851 SH SOLE 24851 0 0 NUVEEN QUALITY MUNCP INCOME COM 67066V101 161 12930 SH SOLE 12930 0 0 NVIDIA CORPORATION COM 67066G104 379 2503 SH SOLE 2503 0 0 OBLONG INC COM 674434105 8 25590 SH SOLE 25590 0 0 OMNICELL COM COM 68213N109 205 1800 SH SOLE 1800 0 0 ORACLE CORP COM 68389X105 233 3334 SH SOLE 3334 0 0 PAYCHEX INC COM 704326107 228 2000 SH SOLE 2000 0 0 PEPSICO INC COM 713448108 794 4762 SH SOLE 4762 0 0 PFIZER INC COM 717081103 2220 42350 SH SOLE 42350 0 0 PGIM GLOBAL HIGH YIELD FD FO COM 69346J106 3635 316898 SH SOLE 316898 0 0 PGIM HIGH YIELD BOND FUND IN COM 69346H100 4752 386062 SH SOLE 386062 0 0 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 233 2348 SH SOLE 2348 0 0 PRA GROUP INC COM 69354N106 2132 58636 SH SOLE 58636 0 0 PROCTER AND GAMBLE CO COM 742718109 2702 18793 SH SOLE 18793 0 0 PRUDENTIAL FINL INC COM 744320102 348 3639 SH SOLE 3639 0 0 PUTNAM PREMIER INCOME TR SH BEN INT 746853100 2665 701210 SH SOLE 701210 0 0 ROBINHOOD MKTS INC COM CL A 770700102 198 24145 SH SOLE 24145 0 0 RPM INTL INC COM 749685103 215 2730 SH SOLE 2730 0 0 SCHWAB STRATEGIC TR SCHWB FDT EMK LG 808524730 1079 41618 SH SOLE 41618 0 0 SCHWAB STRATEGIC TR SCHWB FDT INT LG 808524755 1193 42123 SH SOLE 42123 0 0 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 3366 76163 SH SOLE 76163 0 0 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 3448 109631 SH SOLE 109631 0 0 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 4201 94066 SH SOLE 94066 0 0 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 1484 38073 SH SOLE 38073 0 0 SCHWAB STRATEGIC TR INTL SCEQT ETF 808524888 203 6513 SH SOLE 6513 0 0 SCHWAB STRATEGIC TR EMRG MKTEQ ETF 808524706 1668 65720 SH SOLE 65720 0 0 SCHWAB STRATEGIC TR US MID-CAP ETF 808524508 1259 20077 SH SOLE 20077 0 0 SCHWAB STRATEGIC TR US AGGREGATE B 808524839 349 7291 SH SOLE 7291 0 0 SCHWAB STRATEGIC TR SHT TM US TRES 808524862 8093 164517 SH SOLE 164517 0 0 SELECT SECTOR SPDR TR ENERGY 81369Y506 1044 14599 SH SOLE 14599 0 0 SELECT SECTOR SPDR TR FINANCIAL 81369Y605 328 10432 SH SOLE 10432 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 843 6633 SH SOLE 6633 0 0 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 389 3037 SH SOLE 3037 0 0 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 202 2878 SH SOLE 2878 0 0 SERVICESOURCE INTL INC COM 81763U100 184 125000 SH SOLE 125000 0 0 SOFI TECHNOLOGIES INC COM 83406F102 89 16859 SH SOLE 16859 0 0 SPDR GOLD TR GOLD SHS 78463V107 4104 24362 SH SOLE 24362 0 0 SPDR INDEX SHS FDS PORTFOLIO EMG MK 78463X509 2652 76276 SH SOLE 76276 0 0 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 14413 499766 SH SOLE 499766 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 16095 42664 SH SOLE 42664 0 0 SPDR SER TR PRTFLO S&P500 VL 78464A508 321 8726 SH SOLE 8726 0 0 SPDR SER TR PORTFOLIO S&P400 78464A847 5361 135061 SH SOLE 135061 0 0 SPDR SER TR NUVEEN BLMBRG SH 78468R739 437 9250 SH SOLE 9250 0 0 SPDR SER TR PORTFOLIO S&P500 78464A854 16879 380670 SH SOLE 380670 0 0 SPDR SER TR PORTFOLIO SH TSR 78468R101 12320 418347 SH SOLE 418347 0 0 SPDR SER TR PORTFOLIO S&P600 78468R853 6010 167027 SH SOLE 167027 0 0 SPROTT PHYSICAL GOLD & SILVE TR UNIT 85208R101 184 10966 SH SOLE 10966 0 0 TARGET CORP COM 87612E106 599 4242 SH SOLE 4242 0 0 TESLA INC COM 88160R101 4997 7420 SH SOLE 7420 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 1266 2330 SH SOLE 2330 0 0 TREEHOUSE FOODS INC COM 89469A104 230 5500 SH SOLE 5500 0 0 TWO RDS SHARED TR ANFIELD DIVERSIF 90213U115 194 21808 SH SOLE 21808 0 0 UNION PAC CORP COM 907818108 334 1566 SH SOLE 1566 0 0 UNITEDHEALTH GROUP INC COM 91324P102 1370 2668 SH SOLE 2668 0 0 US BANCORP DEL COM NEW 902973304 582 12651 SH SOLE 12651 0 0 VANECK ETF TRUST AGRIBUSINESS ETF 92189F700 946 10940 SH SOLE 10940 0 0 VANGUARD ADMIRAL FDS INC 500 GRTH IDX F 921932505 414 1900 SH SOLE 1900 0 0 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 3685 10623 SH SOLE 10623 0 0 VANGUARD INDEX FDS SMALL CP ETF 922908751 1997 11339 SH SOLE 11339 0 0 VANGUARD INDEX FDS VALUE ETF 922908744 1875 14220 SH SOLE 14220 0 0 VANGUARD INDEX FDS MID CAP ETF 922908629 2472 12549 SH SOLE 12549 0 0 VANGUARD INDEX FDS SM CP VAL ETF 922908611 445 2972 SH SOLE 2972 0 0 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 548 6010 SH SOLE 6010 0 0 VANGUARD INDEX FDS TOTAL STK MKT 922908769 5014 26584 SH SOLE 26584 0 0 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 2605 62534 SH SOLE 62534 0 0 VANGUARD INTL EQUITY INDEX F FTSE SMCAP ETF 922042718 207 2009 SH SOLE 2009 0 0 VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 922042874 616 11657 SH SOLE 11657 0 0 VANGUARD INTL EQUITY INDEX F TT WRLD ST ETF 922042742 1397 16369 SH SOLE 16369 0 0 VANGUARD MUN BD FDS TAX EXEMPT BD 922907746 295 5908 SH SOLE 5908 0 0 VANGUARD SPECIALIZED FUNDS DIV APP ETF 921908844 1164 8115 SH SOLE 8115 0 0 VANGUARD TAX-MANAGED INTL FD VAN FTSE DEV MKT 921943858 3726 91326 SH SOLE 91326 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 1053 20746 SH SOLE 20746 0 0 VISA INC COM CL A 92826C839 442 2245 SH SOLE 2245 0 0 WALMART INC COM 931142103 484 3978 SH SOLE 3978 0 0 WESTERN ASSET MANAGED MUNS F COM 95766M105 2737 258947 SH SOLE 258947 0 0 WILLIS TOWERS WATSON PLC LTD SHS G96629103 346 1751 SH SOLE 1751 0 0 WISDOMTREE TR JAPN HEDGE EQT 97717W851 224 3589 SH SOLE 3589 0 0