Compliance Manager

0001682021-23-000029.txt : 20231114 0001682021-23-000029.hdr.sgml : 20231114 20231114131929 ACCESSION NUMBER: 0001682021-23-000029 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20230930 FILED AS OF DATE: 20231114 DATE AS OF CHANGE: 20231114 EFFECTIVENESS DATE: 20231114 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: 231403860 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 09-30-2023 09-30-2023 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 11-14-2023 0 193 305854167 INFORMATION TABLE 2 infotable.xml ABBOTT LABS COM 002824100 850383 8780 SH SOLE 8780 0 0 ABBVIE INC COM 00287Y109 1354824 9089 SH SOLE 9089 0 0 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 244767 797 SH SOLE 797 0 0 ALBERTSONS COS INC COMMON STOCK 013091103 468377 20588 SH SOLE 20588 0 0 ALLIANCEBERNSTEIN NATL MUN I COM 01864U106 3440518 368364 SH SOLE 368364 0 0 ALPHABET INC CAP STK CL A 02079K305 1273660 9733 SH SOLE 9733 0 0 ALPHABET INC CAP STK CL C 02079K107 2115521 16045 SH SOLE 16045 0 0 ALTRIA GROUP INC COM 02209S103 334970 7966 SH SOLE 7966 0 0 AMAZON COM INC COM 023135106 1474719 11601 SH SOLE 11601 0 0 AMERICAN CENTY ETF TR US SML CP VALU 025072877 910446 11680 SH SOLE 11680 0 0 AMERICAN CENTY ETF TR INTL SMCP VLU 025072802 896332 15494 SH SOLE 15494 0 0 AMGEN INC COM 031162100 428672 1595 SH SOLE 1595 0 0 ANGEL OAK MORTGAGE REIT INC COM 03464Y108 2972482 348474 SH SOLE 348474 0 0 APOLLO GLOBAL MGMT INC COM 03769M106 292079 3254 SH SOLE 3254 0 0 APPLE INC COM 037833100 9682951 56556 SH SOLE 56556 0 0 ARES DYNAMIC CR ALLOCATION F COM 04014F102 4059790 314712 SH SOLE 314712 0 0 ARK ETF TR INNOVATION ETF 00214Q104 383617 9670 SH SOLE 9670 0 0 ARK ETF TR GENOMIC REV ETF 00214Q302 215643 7740 SH SOLE 7740 0 0 BANK AMERICA CORP COM 060505104 219055 8001 SH SOLE 8001 0 0 BANK NEW YORK MELLON CORP COM 064058100 248351 5823 SH SOLE 5823 0 0 BARINGS GLOBAL SHORT DURATIO COM 06760L100 2030396 159874 SH SOLE 159874 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 1163697 3322 SH SOLE 3322 0 0 BLACKROCK CALIF MUN INCOME T SH BEN INT 09248E102 587522 57096 SH SOLE 57096 0 0 BLACKROCK MUNICIPAL INCOME COM 09253X102 3923390 386541 SH SOLE 386541 0 0 BLACKROCK MUNIHLDNGS CALI QL COM 09254L107 276966 28971 SH SOLE 28971 0 0 BLACKROCK MUNIVEST FD II INC COM 09253T101 2283663 245819 SH SOLE 245819 0 0 BLACKROCK MUNIYIELD FD INC COM 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23331A109 431814 4018 SH SOLE 4018 0 0 DEERE & CO COM 244199105 220013 583 SH SOLE 583 0 0 DIMENSIONAL ETF TRUST US MKTWIDE VALUE 25434V724 291864 8579 SH SOLE 8579 0 0 DISNEY WALT CO COM 254687106 278650 3438 SH SOLE 3438 0 0 DNP SELECT INCOME FD INC COM 23325P104 2045193 214831 SH SOLE 214831 0 0 DOUBLELINE INCOME SOLUTIONS COM 258622109 118372 10100 SH SOLE 10100 0 0 DWS MUN INCOME TR COM 233368109 2884999 374675 SH SOLE 374675 0 0 EATON VANCE CALIF MUN BD FD COM 27828A100 527769 64996 SH SOLE 64996 0 0 EATON VANCE CALIF MUN INCOM SH BEN INT 27826F101 468307 51125 SH SOLE 51125 0 0 ELI LILLY & CO COM 532457108 1227879 2286 SH SOLE 2286 0 0 EXXON MOBIL CORP COM 30231G102 1163888 9899 SH SOLE 9899 0 0 FIRST TR EXCH TRADED FD III MERGER ARBITRA 33740J203 1196312 59400 SH SOLE 59400 0 0 FIRST TR EXCHANGE TRADED FD NASDQ CLN EDGE 33737A108 407201 4337 SH SOLE 4337 0 0 FIRST TR EXCHANGE-TRADED FD FST LOW OPPT EFT 33739Q200 4018864 85073 SH SOLE 85073 0 0 FIRST TR EXCHNG TRADED FD VI CBOE EQT DEP NOV 33740F839 259536 7315 SH SOLE 7315 0 0 FIRST TR EXCHNG TRADED FD VI CBOE VEST US EQT 33740F714 527292 14929 SH SOLE 14929 0 0 FRANKLIN TEMPLETON ETF TR FRANKLIN ASIA 35473P660 206957 10172 SH SOLE 10172 0 0 GALECTIN THERAPEUTICS INC COM NEW 363225202 36981 19261 SH SOLE 19261 0 0 GAMING & LEISURE PPTYS INC COM 36467J108 5157468 113227 SH SOLE 113227 0 0 GENERAL ELECTRIC CO COM NEW 369604301 770976 6974 SH SOLE 6974 0 0 HALOZYME THERAPEUTICS INC COM 40637H109 1339980 35078 SH SOLE 35078 0 0 HOME DEPOT INC COM 437076102 571385 1891 SH SOLE 1891 0 0 INDAPTUS THERAPEUTICS INC COM 45339J105 66120 24000 SH SOLE 24000 0 0 INDEPENDENCE RLTY TR INC COM 45378A106 227371 16160 SH SOLE 16160 0 0 INVESCO CALIF VALUE MUN INCO COM 46132H106 382676 45395 SH SOLE 45395 0 0 INVESCO EXCHANGE TRADED FD T INVESCO MSCI 46137V407 216402 4887 SH SOLE 4887 0 0 INVESCO QQQ TR UNIT SER 1 46090E103 382274 1067 SH SOLE 1067 0 0 INVESCO QUALITY MUN INCOME T COM 46133G107 3457111 412051 SH SOLE 412051 0 0 INVESCO SR INCOME TR COM 46131H107 41578 10607 SH SOLE 10607 0 0 ISHARES GOLD TR ISHARES NEW 464285204 5007664 143117 SH SOLE 143117 0 0 ISHARES TR EAFE SML CP ETF 464288273 228478 4046 SH SOLE 4046 0 0 ISHARES TR NATIONAL MUN ETF 464288414 215539 2102 SH SOLE 2102 0 0 ISHARES TR CORE S&P TTL STK 464287150 4186164 44444 SH SOLE 44444 0 0 ISHARES TR SHORT TREAS BD 464288679 286578 2594 SH SOLE 2594 0 0 ISHARES TR IBOXX HI YD ETF 464288513 261411 3546 SH SOLE 3546 0 0 ISHARES TR ISHS 1-5YR INVS 464288646 363759 7300 SH SOLE 7300 0 0 ISHARES TR MSCI EMG MKT ETF 464287234 398633 10504 SH SOLE 10504 0 0 ISHARES TR S&P 100 ETF 464287101 841484 4194 SH SOLE 4194 0 0 ISHARES TR MSCI AC ASIA ETF 464288182 231077 3639 SH SOLE 3639 0 0 ISHARES TR SELECT DIVID ETF 464287168 3562236 33094 SH SOLE 33094 0 0 ISHARES TR CORE US AGGBD ET 464287226 384718 4091 SH SOLE 4091 0 0 ISHARES TR MRGSTR MD CP VAL 464288406 1279851 21123 SH SOLE 21123 0 0 ISHARES TR MSCI EAFE ETF 464287465 679055 9853 SH SOLE 9853 0 0 ISHARES TR CORE S&P MCP ETF 464287507 301242 1208 SH SOLE 1208 0 0 ISHARES TR CORE S&P SCP ETF 464287804 596493 6323 SH SOLE 6323 0 0 ISHARES TR CORE S&P500 ETF 464287200 5860185 13646 SH SOLE 13646 0 0 ISHARES TR RUS 1000 VAL ETF 464287598 572067 3768 SH SOLE 3768 0 0 ISHARES TR RUS 1000 GRW ETF 464287614 309315 1163 SH SOLE 1163 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 1103651 6244 SH SOLE 6244 0 0 ISHARES TR 0-3 MNTH TREASRY 46436E718 200889 1996 SH SOLE 1996 0 0 ISHARES TR 1 3 YR TREAS BD 464287457 12839405 158570 SH SOLE 158570 0 0 ISHARES TR ISHARES BIOTECH 464287556 595752 4872 SH SOLE 4872 0 0 ISHARES TR RUS MID CAP ETF 464287499 1006054 14528 SH SOLE 14528 0 0 ISHARES TR US HLTHCARE ETF 464287762 616300 2282 SH SOLE 2282 0 0 ISHARES TR U.S. TECH ETF 464287721 731165 6969 SH SOLE 6969 0 0 ISHARES TR MSCI ACWI ETF 464288257 3425311 37083 SH SOLE 37083 0 0 ISHARES TR GL CLEAN ENE ETF 464288224 176522 12074 SH SOLE 12074 0 0 ISHARES TR SHRT NAT MUN ETF 464288158 2069164 20116 SH SOLE 20116 0 0 ISHARES TR CORE MSCI EAFE 46432F842 1479566 22992 SH SOLE 22992 0 0 ISHARES TR ESG AWR MSCI USA 46435G425 248580 2647 SH SOLE 2647 0 0 ISHARES TR CORE MSCI INTL 46435G326 1039540 17837 SH SOLE 17837 0 0 JOHNSON & JOHNSON COM 478160104 706877 4539 SH SOLE 4539 0 0 JPMORGAN CHASE & CO COM 46625H100 876646 6045 SH SOLE 6045 0 0 KAYNE ANDERSON ENERGY INFRST COM 486606106 107059 12730 SH SOLE 12730 0 0 KKR INCOME OPPORTUNITIES FD COM 48249T106 2706857 226326 SH SOLE 226326 0 0 LUMINAR TECHNOLOGIES INC COM CL A 550424105 568750 125000 SH SOLE 125000 0 0 LYFT INC CL A COM 55087P104 169905 16120 SH SOLE 16120 0 0 MCDONALDS CORP COM 580135101 347248 1318 SH SOLE 1318 0 0 MERCK & CO INC COM 58933Y105 767389 7454 SH SOLE 7454 0 0 META PLATFORMS INC CL A 30303M102 518763 1728 SH SOLE 1728 0 0 MICROSOFT CORP COM 594918104 5296899 16776 SH SOLE 16776 0 0 MORGAN STANLEY COM NEW 617446448 392588 4807 SH SOLE 4807 0 0 MOTOROLA SOLUTIONS INC COM NEW 620076307 603556 2217 SH SOLE 2217 0 0 NETFLIX INC COM 64110L106 243174 644 SH SOLE 644 0 0 NORTHERN TR CORP COM 665859104 362825 5222 SH SOLE 5222 0 0 NUVEEN AMT FREE MUN CR INC F COM 67071L106 2324197 225431 SH SOLE 225431 0 0 NUVEEN AMT FREE QLTY MUN INC COM 670657105 184859 19097 SH SOLE 19097 0 0 NUVEEN MUNICIPAL CREDIT INC COM SH BEN INT 67070X101 2352229 225525 SH SOLE 225525 0 0 NUVEEN QUALITY MUNCP INCOME COM 67066V101 161530 15930 SH SOLE 15930 0 0 NVIDIA CORPORATION COM 67066G104 1466351 3371 SH SOLE 3371 0 0 ORACLE CORP COM 68389X105 817002 7713 SH SOLE 7713 0 0 PAN AMERN SILVER CORP COM 697900108 161973 11186 SH SOLE 11186 0 0 PARKER-HANNIFIN CORP COM 701094104 202940 521 SH SOLE 521 0 0 PEPSICO INC COM 713448108 297367 1755 SH SOLE 1755 0 0 PFIZER INC COM 717081103 704464 21238 SH SOLE 21238 0 0 PGIM HIGH YIELD BOND FUND IN COM 69346H100 2545176 216059 SH SOLE 216059 0 0 PHILLIPS EDISON & CO INC COMMON STOCK 71844V201 361897 10790 SH SOLE 10790 0 0 PIMCO CALIF MUN INCOME FD II COM 72200M108 352189 70157 SH SOLE 70157 0 0 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 1201558 11999 SH SOLE 11999 0 0 PIMCO MUN INCOME FD II COM 72200W106 2205853 286847 SH SOLE 286847 0 0 PRA GROUP INC COM 69354N106 1127281 58682 SH SOLE 58682 0 0 PROCTER AND GAMBLE CO COM 742718109 834978 5725 SH SOLE 5725 0 0 RPM INTL INC COM 749685103 259400 2736 SH SOLE 2736 0 0 SCHWAB STRATEGIC TR SHT TM US TRES 808524862 13338430 278522 SH SOLE 278522 0 0 SCHWAB STRATEGIC TR US AGGREGATE B 808524839 254522 5755 SH SOLE 5755 0 0 SCHWAB STRATEGIC TR US REIT ETF 808524847 1097266 61818 SH SOLE 61818 0 0 SCHWAB STRATEGIC TR US MID-CAP ETF 808524508 1845064 27262 SH SOLE 27262 0 0 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 3796790 76164 SH SOLE 76164 0 0 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 5382981 158509 SH SOLE 158509 0 0 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 6664932 131718 SH SOLE 131718 0 0 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 2076298 50128 SH SOLE 50128 0 0 SCHWAB STRATEGIC TR EMRG MKTEQ ETF 808524706 1884516 78718 SH SOLE 78718 0 0 SCHWAB STRATEGIC TR SCHWB FDT EMK LG 808524730 1459057 55647 SH SOLE 55647 0 0 SCHWAB STRATEGIC TR SCHWB FDT INT LG 808524755 1870833 59073 SH SOLE 59073 0 0 SCHWAB STRATEGIC TR SCHWAB FDT US LG 808524771 440148 7864 SH SOLE 7864 0 0 SELECT SECTOR SPDR TR ENERGY 81369Y506 401422 4441 SH SOLE 4441 0 0 SELECT SECTOR SPDR TR FINANCIAL 81369Y605 356777 10756 SH SOLE 10756 0 0 SELECT SECTOR SPDR TR INDL 81369Y704 260445 2569 SH SOLE 2569 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 872791 5324 SH SOLE 5324 0 0 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 285288 2216 SH SOLE 2216 0 0 SOFI TECHNOLOGIES INC COM 83406F102 126418 15822 SH SOLE 15822 0 0 SPDR DOW JONES INDL AVERAGE UT SER 1 78467X109 372129 1111 SH SOLE 1111 0 0 SPDR GOLD TR GOLD SHS 78463V107 4060965 23686 SH SOLE 23686 0 0 SPDR INDEX SHS FDS EURO STOXX 50 78463X202 394978 9402 SH SOLE 9402 0 0 SPDR INDEX SHS FDS PORTFOLIO EMG MK 78463X509 716793 21352 SH SOLE 21352 0 0 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 10355067 333927 SH SOLE 333927 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 5756350 13466 SH SOLE 13466 0 0 SPDR SER TR PORTFOLIO S&P400 78464A847 4651411 106221 SH SOLE 106221 0 0 SPDR SER TR NUVEEN BLMBRG SH 78468R739 341640 7390 SH SOLE 7390 0 0 SPDR SER TR PORTFOLIO S&P500 78464A854 15667569 311730 SH SOLE 311730 0 0 SPDR SER TR PORTFOLIO SH TSR 78468R101 3690444 128497 SH SOLE 128497 0 0 SPDR SER TR PORTFOLIO S&P600 78468R853 4436715 120236 SH SOLE 120236 0 0 TARGET CORP COM 87612E106 202564 1832 SH SOLE 1832 0 0 TESLA INC COM 88160R101 6594298 26354 SH SOLE 26354 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 1124710 2222 SH SOLE 2222 0 0 TREEHOUSE FOODS INC COM 89469A104 239690 5500 SH SOLE 5500 0 0 UNION PAC CORP COM 907818108 333342 1637 SH SOLE 1637 0 0 UNITEDHEALTH GROUP INC COM 91324P102 1251904 2483 SH SOLE 2483 0 0 UROGEN PHARMA LTD COM M96088105 230619 16461 SH SOLE 16461 0 0 US BANCORP DEL COM NEW 902973304 407299 12320 SH SOLE 12320 0 0 VANECK ETF TRUST MRNGSTR WDE MOAT 92189F643 272114 3588 SH SOLE 3588 0 0 VANGUARD BD INDEX FDS TOTAL BND MRKT 921937835 208550 2989 SH SOLE 2989 0 0 VANGUARD INDEX FDS MID CAP ETF 922908629 2044370 9817 SH SOLE 9817 0 0 VANGUARD INDEX FDS SM CP VAL ETF 922908611 444887 2789 SH SOLE 2789 0 0 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 1930934 25521 SH SOLE 25521 0 0 VANGUARD INDEX FDS SMALL CP ETF 922908751 1948554 10306 SH SOLE 10306 0 0 VANGUARD INDEX FDS GROWTH ETF 922908736 302536 1111 SH SOLE 1111 0 0 VANGUARD INDEX FDS VALUE ETF 922908744 2915407 21137 SH SOLE 21137 0 0 VANGUARD INDEX FDS TOTAL STK MKT 922908769 6080154 28625 SH SOLE 28625 0 0 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 3503468 8921 SH SOLE 8921 0 0 VANGUARD INTL EQUITY INDEX F TT WRLD ST ETF 922042742 728474 7818 SH SOLE 7818 0 0 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 880440 22454 SH SOLE 22454 0 0 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 421442 8125 SH SOLE 8125 0 0 VANGUARD SPECIALIZED FUNDS DIV APP ETF 921908844 1185892 7632 SH SOLE 7632 0 0 VANGUARD TAX-MANAGED FDS VAN FTSE DEV MKT 921943858 3408784 77969 SH SOLE 77969 0 0 VANGUARD WORLD FDS INF TECH ETF 92204A702 484188 1167 SH SOLE 1167 0 0 VANGUARD WORLD FDS HEALTH CAR ETF 92204A504 433054 1842 SH SOLE 1842 0 0 VANGUARD WORLD FDS FINANCIALS ETF 92204A405 206744 2574 SH SOLE 2574 0 0 VISA INC COM CL A 92826C839 292343 1271 SH SOLE 1271 0 0 WALMART INC COM 931142103 679606 4249 SH SOLE 4249 0 0 WESTERN ASSET MANAGED MUNS F COM 95766M105 3051389 341701 SH SOLE 341701 0 0 WILLIS TOWERS WATSON PLC LTD SHS G96629103 372367 1782 SH SOLE 1782 0 0