Compliance Manager

0001682021-23-000005.txt : 20230814 0001682021-23-000005.hdr.sgml : 20230814 20230814165908 ACCESSION NUMBER: 0001682021-23-000005 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20230630 FILED AS OF DATE: 20230814 DATE AS OF CHANGE: 20230814 EFFECTIVENESS DATE: 20230814 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: 231171663 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 X0202 13F-HR LIVE false true false 0001682021 XXXXXXXX 06-30-2023 06-30-2023 false Vivaldi Capital Management LP

225 W. Wacker Drive - Suite 2100 Chicago IL 60606

13F HOLDINGS REPORT 028-18047 N Meredith Weeks Compliance Manager 872-257-3760 Meredith Weeks Chicago IL 08-14-2023 0 200 324358875 INFORMATION TABLE 2 infotable.xml ABBOTT LABS COM 002824100 976210 8954 SH SOLE 8954 0 0 ABBVIE INC COM 00287Y109 1196953 8884 SH SOLE 8884 0 0 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 225881 732 SH SOLE 732 0 0 ALBERTSONS COS INC COMMON STOCK 013091103 449230 20588 SH SOLE 20588 0 0 ALLIANCEBERNSTEIN GLOBAL HIG COM 01879R106 3615882 363040 SH SOLE 363040 0 0 ALLIANCEBERNSTEIN NATL MUN I COM 01864U106 3894298 362936 SH SOLE 362936 0 0 ALPHABET INC CAP STK CL A 02079K305 1117040 9332 SH SOLE 9332 0 0 ALPHABET INC CAP STK CL C 02079K107 3221904 26634 SH SOLE 26634 0 0 ALTRIA GROUP INC COM 02209S103 340475 7516 SH SOLE 7516 0 0 AMAZON COM INC COM 023135106 1374907 10547 SH SOLE 10547 0 0 AMERICAN CENTY ETF TR US SML CP VALU 025072877 934792 12045 SH SOLE 12045 0 0 AMERICAN CENTY ETF TR INTL SMCP VLU 025072802 913399 15869 SH SOLE 15869 0 0 AMGEN INC COM 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PLATFORMS INC CL A 30303M102 459455 1601 SH SOLE 1601 0 0 MICROSOFT CORP COM 594918104 5573826 16368 SH SOLE 16368 0 0 MORGAN STANLEY COM NEW 617446448 401722 4704 SH SOLE 4704 0 0 MOTOROLA SOLUTIONS INC COM NEW 620076307 646096 2203 SH SOLE 2203 0 0 NETFLIX INC COM 64110L106 287199 652 SH SOLE 652 0 0 NEXTERA ENERGY INC COM 65339F101 292348 3940 SH SOLE 3940 0 0 NORTHERN TR CORP COM 665859104 386788 5217 SH SOLE 5217 0 0 NUVEEN AMT FREE QLTY MUN INC COM 670657105 187143 17122 SH SOLE 17122 0 0 NUVEEN FLOATING RATE INCOME COM SHS 6706EN100 78000 10000 SH SOLE 10000 0 0 NUVEEN NASDAQ 100 DYNAMIC OV COM SHS 670699107 202008 8103 SH SOLE 8103 0 0 NUVEEN QUALITY MUNCP INCOME COM 67066V101 160654 14255 SH SOLE 14255 0 0 NVIDIA CORPORATION COM 67066G104 1277943 3021 SH SOLE 3021 0 0 ORACLE CORP COM 68389X105 901392 7569 SH SOLE 7569 0 0 PAN AMERN SILVER CORP COM 697900108 163092 11186 SH SOLE 11186 0 0 PARKER-HANNIFIN CORP COM 701094104 200091 513 SH SOLE 513 0 0 PEPSICO INC COM 713448108 320245 1729 SH SOLE 1729 0 0 PFIZER INC COM 717081103 792545 21607 SH SOLE 21607 0 0 PGIM HIGH YIELD BOND FUND IN COM 69346H100 5915955 476325 SH SOLE 476325 0 0 PHILLIPS EDISON & CO INC COMMON STOCK 71844V201 367723 10790 SH SOLE 10790 0 0 PIMCO CALIF MUN INCOME FD II COM 72200M108 417307 70136 SH SOLE 70136 0 0 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 740060 7418 SH SOLE 7418 0 0 PIMCO MUN INCOME FD II COM 72200W106 2542567 281257 SH SOLE 281257 0 0 PRA GROUP INC COM 69354N106 1339833 58636 SH SOLE 58636 0 0 PROCTER AND GAMBLE CO COM 742718109 917249 6045 SH SOLE 6045 0 0 PROGRESSIVE CORP COM 743315103 262357 1982 SH SOLE 1982 0 0 RPM INTL INC COM 749685103 244963 2730 SH SOLE 2730 0 0 SCHWAB STRATEGIC TR SHT TM US TRES 808524862 12519277 260493 SH SOLE 260493 0 0 SCHWAB STRATEGIC TR US MID-CAP ETF 808524508 1721053 24230 SH SOLE 24230 0 0 SCHWAB STRATEGIC TR US AGGREGATE B 808524839 262934 5696 SH SOLE 5696 0 0 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 3951610 76433 SH SOLE 76433 0 0 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 4867358 136532 SH SOLE 136532 0 0 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 6191331 118223 SH SOLE 118223 0 0 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 1976786 45132 SH SOLE 45132 0 0 SCHWAB STRATEGIC TR INTL SCEQT ETF 808524888 206267 6108 SH SOLE 6108 0 0 SCHWAB STRATEGIC TR EMRG MKTEQ ETF 808524706 1719236 69803 SH SOLE 69803 0 0 SCHWAB STRATEGIC TR SCHWB FDT EMK LG 808524730 1516938 56666 SH SOLE 56666 0 0 SCHWAB STRATEGIC TR SCHWB FDT INT LG 808524755 1970310 61019 SH SOLE 61019 0 0 SCHWAB STRATEGIC TR SCHWAB FDT US LG 808524771 476622 8279 SH SOLE 8279 0 0 SELECT SECTOR SPDR TR ENERGY 81369Y506 393350 4846 SH SOLE 4846 0 0 SELECT SECTOR SPDR TR FINANCIAL 81369Y605 352337 10452 SH SOLE 10452 0 0 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 237392 2212 SH SOLE 2212 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 888594 5111 SH SOLE 5111 0 0 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 274486 2068 SH SOLE 2068 0 0 SOFI TECHNOLOGIES INC COM 83406F102 131672 15788 SH SOLE 15788 0 0 SPDR DOW JONES INDL AVERAGE UT SER 1 78467X109 349008 1015 SH SOLE 1015 0 0 SPDR GOLD TR GOLD SHS 78463V107 4259583 23894 SH SOLE 23894 0 0 SPDR INDEX SHS FDS EURO STOXX 50 78463X202 349218 7595 SH SOLE 7595 0 0 SPDR INDEX SHS FDS PORTFOLIO EMG MK 78463X509 608970 17713 SH SOLE 17713 0 0 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 10780976 331315 SH SOLE 331315 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 6164837 13907 SH SOLE 13907 0 0 SPDR SER TR PORTFOLIO S&P500 78464A854 16519551 317013 SH SOLE 317013 0 0 SPDR SER TR PORTFOLIO S&P400 78464A847 4873388 106197 SH SOLE 106197 0 0 SPDR SER TR NUVEEN BLMBRG SH 78468R739 347700 7390 SH SOLE 7390 0 0 SPDR SER TR PORTFOLIO S&P600 78468R853 4709230 121247 SH SOLE 121247 0 0 SPDR SER TR PORTFOLIO SH TSR 78468R101 3958057 137480 SH SOLE 137480 0 0 TARGET CORP COM 87612E106 239399 1815 SH SOLE 1815 0 0 TESLA INC COM 88160R101 6815182 26035 SH SOLE 26035 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 1255852 2407 SH SOLE 2407 0 0 THOMSON REUTERS CORP. COM 884903808 200656 1487 SH SOLE 1487 0 0 TREEHOUSE FOODS INC COM 89469A104 277090 5500 SH SOLE 5500 0 0 UNION PAC CORP COM 907818108 324323 1585 SH SOLE 1585 0 0 UNITEDHEALTH GROUP INC COM 91324P102 1230919 2561 SH SOLE 2561 0 0 UROGEN PHARMA LTD COM M96088105 119025 11500 SH SOLE 11500 0 0 US BANCORP DEL COM NEW 902973304 401667 12157 SH SOLE 12157 0 0 VANECK ETF TRUST GOLD MINERS ETF 92189F106 208686 6931 SH SOLE 6931 0 0 VANECK ETF TRUST MRNGSTR WDE MOAT 92189F643 286287 3588 SH SOLE 3588 0 0 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 3758203 9228 SH SOLE 9228 0 0 VANGUARD INDEX FDS VALUE ETF 922908744 3004302 21142 SH SOLE 21142 0 0 VANGUARD INDEX FDS MID CAP ETF 922908629 2166448 9840 SH SOLE 9840 0 0 VANGUARD INDEX FDS SM CP VAL ETF 922908611 444291 2686 SH SOLE 2686 0 0 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 1924404 23030 SH SOLE 23030 0 0 VANGUARD INDEX FDS SMALL CP ETF 922908751 2071924 10417 SH SOLE 10417 0 0 VANGUARD INDEX FDS GROWTH ETF 922908736 215050 760 SH SOLE 760 0 0 VANGUARD INDEX FDS TOTAL STK MKT 922908769 6260130 28419 SH SOLE 28419 0 0 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 924162 22718 SH SOLE 22718 0 0 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 598973 11009 SH SOLE 11009 0 0 VANGUARD INTL EQUITY INDEX F TT WRLD ST ETF 922042742 730544 7533 SH SOLE 7533 0 0 VANGUARD SPECIALIZED FUNDS DIV APP ETF 921908844 1249645 7693 SH SOLE 7693 0 0 VANGUARD TAX-MANAGED FDS VAN FTSE DEV MKT 921943858 3635171 78717 SH SOLE 78717 0 0 VANGUARD WORLD FDS INF TECH ETF 92204A702 427569 967 SH SOLE 967 0 0 VANGUARD WORLD FDS HEALTH CAR ETF 92204A504 331241 1353 SH SOLE 1353 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 438693 11796 SH SOLE 11796 0 0 VISA INC COM CL A 92826C839 275714 1161 SH SOLE 1161 0 0 WALMART INC COM 931142103 689296 4385 SH SOLE 4385 0 0 WESTERN ASSET MANAGED MUNS F COM 95766M105 3304739 332803 SH SOLE 332803 0 0 WILLIS TOWERS WATSON PLC LTD SHS G96629103 417777 1774 SH SOLE 1774 0 0