Hedge Fund Database

VIVALDI CAPITAL MANAGEMENT LP

Adviser information for VIVALDI CAPITAL MANAGEMENT LP last updated from Form ADV on March 29th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.

Advisory Business

Type of Organization Limited Partnership
Fiscal Year End DECEMBER
Legal Location Delaware, United States

Employees

Total Number of Employees 57
Investment Advisory/Research 22
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 24
Licensed Agents of an Insurance Company 0
No. of Firms/People that Solicit Clients 1

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 3,675 $1.5B
Non-Discretionary 2,952 $2.3B
Total 6,627 $3.7B

Clients

Type Number RAUM
Individuals 720 $522.1M
HNW Individuals 847 $3.1B
Banking or thrift institutions 0 $0
Investment companies 0 $0
Business development companies 0 $0
Pooled investment vehicles 1 $34.0M
Pension and profit sharing plans 33 $81.8M
Charitable organizations 0 $0
State or municipal gov entities 0 $0
Other investment advisers 0 $0
Insurance companies 0 $0
Sovereign wealth funds and foreign official institutions 0 $0
Corporations or other businesses 0 $0
Other 0 $0
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 500

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)Educational seminars/workshops
Compensation % of AUMFixed feesPerformance-based fees
Other Business Activities Commodity pool operator or commodity trading advisor

Identifiers

SEC RIA File Number 801-73024
SEC ERA File Number 801-73024
SEC CIK Numbers 1682021
SEC CRD Numbers 160150
Legal Entity Identifier 254900F9UWKBJ6S4OQ22

Principal Office

225 WEST WACKER
SUITE 2100
CHICAGO
IL
United States
Monday - Friday, 8 AM - 5 PM
Tel: 312.248.8300, Fax: 847.386.2910

Websites

www.facebook.com/people/vivaldi-capital-management-llc/100031869230866/ www.linkedin.com/company/vivaldi-capital-management-lp www.vivaldicap.com

Chief Compliance Officer

MARC BASSEWITZ
CHIEF COMPLIANCE OFFICER & GENERAL COUNSEL
225 WEST WACKER
SUITE 2100
CHICAGO
IL
United States
Tel: 312.604.1998
Fax: 847.386.2910
(Full email address available in API data)

Regulatory Contact

RANDAL GOLDEN
CO-FOUNDER & WEALTH ADVISER
225 WEST WACKER
SUITE 2100
CHICAGO
IL
United States
Tel: 312.248.8300
Fax: 847.386.2910
(Full email address available in API data)

Industry Affiliates

FIRST TRUST CAPITAL MANAGEMENT L.P. Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles
FIRST TRUST INNOVATIVE TECHNOLOGIES L.P. Other investment adviser, including financial planners
FTCS OFFSHORE FUND GP LLC Sponsor, GP, manager of pooled investment vehicles
VCM GP LLC Sponsor, GP, manager of pooled investment vehicles

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
CORNERSTONE DIVERSIFIED PORTFOLIO, LP Hedge Fund $34.0M $0.5M 74

Control Persons

Name Type Entity Title Since Ownership
STERNBERG, DAVID, ALAN Individual – CO-FOUNDER / CEO 12/2011 < 5%
STERNBERG, DAVID, ALAN Individual AAJ VENTURES INC OWNER 12/2011 > 75%
HERGOTT, SCOTT, LEE Individual – CIO 01/2013 < 5%
VFT HOLDINGS LP Domestic Entity – MEMBER 12/2014 > 75%
AAJ VENTURES INC Domestic Entity VFT HOLDINGS LP LIMITED PARTNER 12/2014 25-50%
VCM EQUITY HOLDINGS LLC Domestic Entity – MEMBER 10/2017 10-25%
VFT HOLDINGS LP Domestic Entity VCM EQUITY HOLDINGS LLC MANAGING MEMBER 10/2017
BASSEWITZ, MARC, D Individual – CHIEF COMPLIANCE OFFICER/GENERAL COUNSEL 01/2019 < 5%
VFT & VCM GP I LLC Domestic Entity – GENERAL PARTNER 11/2021 < 5%
VFT HOLDINGS GP LLC Domestic Entity VFT HOLDINGS LP GENERAL PARTNER 11/2021
VFT HOLDINGS LP Domestic Entity VFT & VCM GP I LLC MEMBER 11/2021 > 75%
AAJ VENTURES INC Domestic Entity VFT HOLDINGS GP LLC MEMBER 11/2021 25-50%
STERNBERG, DAVID, ALAN Individual VFT HOLDINGS GP LLC MANAGER 11/2021
PECK, MICHAEL, DILLON Individual VFT HOLDINGS GP LLC MEMBER 11/2021 25-50%
Guzman, Yadira Individual – CFO 01/2022 < 5%
PECK, MICHAEL, DILLON Individual VFT HOLDINGS LP LIMITED PARTNER 12/2022 25-50%
PELLICORI, FRANK, DOMENIC Individual – PRESIDENT & DIRECTOR OF WEALTH MANAGEMENT 04/2024 < 5%

No. Employees, Historic

60300201920202021202220232024202536 on 4/4/201936 on 4/29/201936 on 7/1/201936 on 1/9/202036 on 1/9/202036 on 1/13/202045 on 3/27/202045 on 5/7/202045 on 5/15/202045 on 6/29/202045 on 8/14/202045 on 10/27/202056 on 3/29/202156 on 7/8/202140 on 11/23/202140 on 12/16/202150 on 3/21/202253 on 3/30/202357 on 3/29/2024

RAUM, Historic

4B2B020192020202120222023202420251525590451 on 4/4/20191525590451 on 4/29/20191525590451 on 7/1/20191525590451 on 1/9/20201525590451 on 1/9/20201525590451 on 1/13/20202086036965 on 3/27/20202086036965 on 5/7/20202086036965 on 5/15/20202086036965 on 6/29/20202086036965 on 8/14/20202086036965 on 10/27/20203126827476 on 3/29/20213126827476 on 7/8/20211998597703 on 11/23/20211998597703 on 12/16/20213328894632 on 3/21/20223332020054 on 3/30/20233727839086 on 3/29/2024

No. Clients, Historic

2,0001,00002019202020212022202320242025770 on 4/4/2019770 on 4/29/2019770 on 7/1/2019770 on 1/9/2020770 on 1/9/2020770 on 1/13/2020860 on 3/27/2020860 on 5/7/2020860 on 5/15/2020860 on 6/29/2020860 on 8/14/2020860 on 10/27/20201274 on 3/29/20211274 on 7/8/20211266 on 11/23/20211266 on 12/16/20211424 on 3/21/20221389 on 3/30/20231601 on 3/29/2024

Holdings

From latest 13F, filed August 14th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ABBOTT LABS COM 885K 9K –
ABBVIE INC COM 1M 8K –
ACCENTURE PLC IRELAND SHS CLASS A 219K 721 –
ADOBE INC COM 238K 429 –
ADVANCED MICRO DEVICES INC COM 230K 1K –
ALBERTSONS COS INC COMMON STOCK 404K 20K –
ALLIANCEBERNSTEIN NATL MUN I COM 1M 99K –
ALPHABET INC CAP STK CL A 2M 12K –
ALPHABET INC CAP STK CL C 3M 16K –
ALTIMMUNE INC COM NEW 133K 20K –
ALTRIA GROUP INC COM 377K 8K –
AMAZON COM INC COM 3M 14K –
AMERICAN CENTY ETF TR US SML CP VALU 1M 12K –
AMERICAN CENTY ETF TR INTL SMCP VLU 1M 16K –
AMGEN INC COM 571K 2K –
ANGEL OAK MORTGAGE REIT INC COM 4M 328K –
APOLLO GLOBAL MGMT INC COM 392K 3K –
APPLE INC COM 13M 61K –
ARK ETF TR INNOVATION ETF 440K 10K –
ARK ETF TR GENOMIC REV ETF 256K 11K –
BANK AMERICA CORP COM 392K 10K –
BANK NEW YORK MELLON CORP COM 364K 6K –
BARINGS GLOBAL SHORT DURATIO COM 1M 78K –
BERKSHIRE HATHAWAY INC DEL CL B NEW 2M 4K –
BLACKROCK CALIF MUN INCOME T SH BEN INT 649K 54K –
BLACKROCK CR ALLOCATION INCO COM 1M 127K –
BLACKROCK MUNICIPAL INCOME COM 2M 126K –
BLACKROCK MUNIHLDNGS CALI QL COM 307K 28K –
BLACKROCK MUNIVEST FD II INC COM 1M 124K –
BLACKROCK MUNIYIELD FD INC COM 1M 124K –
BLACKROCK MUNIYIELD QUALITY COM 155K 14K –
BLACKROCK MUNIYILD QULT FD I COM 1M 110K –
BLACKSTONE STRATEGIC CRED 20 COM SHS BEN IN 2M 191K –
BOEING CO COM 1M 6K –
BROADCOM INC COM 539K 336 –
BROADRIDGE FINL SOLUTIONS IN COM 337K 2K –
BROOKFIELD INFRAST PARTNERS LP INT UNIT 309K 11K –
CAMBRIA ETF TR GLB MOMENT ETF 224K 8K –
CHEVRON CORP NEW COM 285K 2K –
CISCO SYS INC COM 526K 11K –
CME GROUP INC COM 534K 3K –
COCA COLA CO COM 533K 8K –
COINBASE GLOBAL INC COM CL A 3M 14K –
COMCAST CORP NEW CL A 422K 11K –
CONAGRA BRANDS INC COM 215K 8K –
COSTCO WHSL CORP NEW COM 677K 796 –
CUMMINS INC COM 321K 1K –
D R HORTON INC COM 576K 4K –
DATADOG INC CL A COM 329K 3K –
DEERE & CO COM 239K 640 –
DIMENSIONAL ETF TRUST US MKTWIDE VALUE 334K 9K –
DISNEY WALT CO COM 404K 4K –
DNP SELECT INCOME FD INC COM 1M 152K –
DOUBLELINE INCOME SOLUTIONS COM 126K 10K –
DOUBLELINE YIELD OPPORTUNITI COM 1M 67K –
DWS MUN INCOME TR NEW COM 1M 128K –
EA SERIES TRUST VAL MOMTM TRND 232K 9K –
EATON VANCE CALIF MUN BD FD COM 532K 56K –
EATON VANCE CALIF MUN INCOM SH BEN INT 525K 48K –
ELI LILLY & CO COM 2M 3K –
EXXON MOBIL CORP COM 797K 7K –
FEDEX CORP COM 299K 996 –
FIDELITY WISE ORIGIN BITCOIN SHS 1M 20K –
FIRST TR EXCHANGE TRADED FD NASDAQ CYB ETF 250K 4K –
FIRST TR EXCHANGE TRADED FD CLOUD COMPUTING 252K 3K –
FIRST TR EXCHANGE TRADED FD NASDQ CLN EDGE 501K 4K –
FIRST TR EXCHANGE TRADED FD HLTH CARE ALPH 244K 2K –
FIRST TR EXCHANGE-TRADED FD FST LOW OPPT EFT 3M 60K –
FIRST TR EXCHANGE-TRADED FD NASDQ PHRMTCLS 219K 8K –
FIRST TR EXCHANGE-TRADED FD NASDQ ARTFCIAL 229K 5K –
FIRST TR EXCH TRADED FD III MERGER ARBITRA 379K 19K –
FIRST TR EXCHNG TRADED FD VI FT VEST US EQT 303K 7K –
FRANKLIN TEMPLETON ETF TR FRANKLIN ASIA 231K 10K –
GALECTIN THERAPEUTICS INC COM NEW 54K 24K –
GAMING & LEISURE PPTYS INC COM 6M 123K –
GENERAL ELECTRIC CO COM NEW 1M 7K –
GLOBAL X FDS E COMMERCE ETF 258K 11K –
GMS INC COM 227K 3K –
HALOZYME THERAPEUTICS INC COM 2M 35K –
HOME DEPOT INC COM 740K 2K –
INDAPTUS THERAPEUTICS INC COM 51K 24K –
INDEPENDENCE RLTY TR INC COM 303K 16K –
INSMED INC COM PAR $.01 201K 3K –
INVESCO CALIF VALUE MUN INCO COM 447K 43K –
INVESCO QQQ TR UNIT SER 1 331K 692 –
INVESCO QUALITY MUN INCOME T COM 1M 113K –
ISHARES GOLD TR ISHARES NEW 6M 147K –
ISHARES INC MSCI JPN ETF NEW 232K 3K –
ISHARES INC MSCI EURZONE ETF 386K 8K –
ISHARES INC CORE MSCI EMKT 212K 4K –
ISHARES TR ESG AWR MSCI USA 316K 3K –
ISHARES TR EXPONENTIAL TECH 307K 5K –
ISHARES TR CORE MSCI INTL 1M 18K –
ISHARES TR CORE MSCI EAFE 2M 23K –
ISHARES TR MSCI ACWI ETF 4M 36K –
ISHARES TR GL CLEAN ENE ETF 151K 11K –
ISHARES TR SHRT NAT MUN ETF 1M 13K –
ISHARES TR CORE S&P MCP ETF 370K 6K –
ISHARES TR CORE S&P SCP ETF 565K 5K –
ISHARES TR S&P 500 VAL ETF 234K 1K –
ISHARES TR CORE S&P500 ETF 7M 13K –
ISHARES TR S&P 500 GRWT ETF 208K 2K –
ISHARES TR RUS 1000 VAL ETF 672K 4K –
ISHARES TR RUS 1000 GRW ETF 796K 2K –
ISHARES TR RUSSELL 2000 ETF 1M 6K –
ISHARES TR RUS MID CAP ETF 1M 15K –
ISHARES TR US HLTHCARE ETF 1M 21K –
ISHARES TR U.S. TECH ETF 1M 7K –
ISHARES TR 1 3 YR TREAS BD 12M 145K –
ISHARES TR MSCI EMG MKT ETF 508K 12K –
ISHARES TR S&P 100 ETF 898K 3K –
ISHARES TR MSCI EAFE ETF 755K 10K –
ISHARES TR ISHARES BIOTECH 656K 5K –
ISHARES TR MRGSTR MD CP VAL 2M 22K –
ISHARES TR SELECT DIVID ETF 4M 31K –
ISHARES TR CORE US AGGBD ET 302K 3K –
ISHARES TR MSCI AC ASIA ETF 571K 8K –
ISHARES TR EAFE SML CP ETF 249K 4K –
ISHARES TR SHORT TREAS BD 232K 2K –
ISHARES TR IBOXX HI YD ETF 240K 3K –
ISHARES TR CORE S&P TTL STK 6M 49K –
JOHNSON & JOHNSON COM 324K 2K –
JPMORGAN CHASE & CO COM 1M 6K –
KAYNE ANDERSON ENERGY INFRST COM 132K 13K –
LAM RESEARCH CORP COM 345K 324 –
LENZ THERAPEUTICS INC COM 1M 59K –
LUMINAR TECHNOLOGIES INC COM CL A 188K 126K –
LYFT INC CL A COM 227K 16K –
MASTERCARD INCORPORATED CL A 329K 746 –
MCDONALDS CORP COM 334K 1K –
MERCK & CO INC COM 1M 8K –
META PLATFORMS INC CL A 1M 3K –
MICRON TECHNOLOGY INC COM 226K 2K –
MICROSOFT CORP COM 9M 20K –
MORGAN STANLEY COM NEW 496K 5K –
MOTOROLA SOLUTIONS INC COM NEW 876K 2K –
NETFLIX INC COM 557K 825 –
NEXTERA ENERGY INC COM 320K 5K –
NORTHERN TR CORP COM 424K 5K –
NUVEEN AMT FREE MUN CR INC F COM 1M 113K –
NUVEEN AMT FREE QLTY MUN INC COM 198K 17K –
NUVEEN CR STRATEGIES INCOME COM SHS 1M 195K –
NUVEEN FLOATING RATE INCOME COM 1M 128K –
NUVEEN MUNICIPAL CREDIT INC COM SH BEN INT 1M 113K –
NUVEEN QUALITY MUNCP INCOME COM 193K 16K –
NVIDIA CORPORATION COM 5M 43K –
ORACLE CORP COM 1M 7K –
PAN AMERN SILVER CORP COM 222K 11K –
PARKER-HANNIFIN CORP COM 289K 572 –
PEPSICO INC COM 335K 2K –
PFIZER INC COM 386K 14K –
PGIM HIGH YIELD BOND FUND IN COM 1M 105K –
PHILLIPS EDISON & CO INC COMMON STOCK 353K 11K –
PIMCO CALIF MUN INCOME FD II COM 354K 60K –
PIMCO ETF TR ENHAN SHRT MA AC 4M 41K –
PIMCO MUN INCOME FD II COM 1M 161K –
PINSTRIPES HOLDINGS INC CL A COM 599K 218K –
PRA GROUP INC COM 1M 59K –
PROCTER AND GAMBLE CO COM 909K 6K –
PROGRESSIVE CORP COM 243K 1K –
RPM INTL INC COM 296K 3K –
SCHWAB STRATEGIC TR SHT TM US TRES 12M 254K –
SCHWAB STRATEGIC TR US BRD MKT ETF 5M 74K –
SCHWAB STRATEGIC TR INTL EQTY ETF 8M 220K –
SCHWAB STRATEGIC TR US LRG CAP ETF 11M 166K –
SCHWAB STRATEGIC TR US SML CAP ETF 3M 65K –
SCHWAB STRATEGIC TR EMRG MKTEQ ETF 3M 106K –
SCHWAB STRATEGIC TR US REIT ETF 1M 69K –
SCHWAB STRATEGIC TR US MID-CAP ETF 3M 36K –
SCHWAB STRATEGIC TR FUNDAMENTAL EMER 2M 57K –
SCHWAB STRATEGIC TR FUNDAMENTAL INTL 2M 61K –
SCHWAB STRATEGIC TR FUNDAMENTAL US L 526K 8K –
SELECT SECTOR SPDR TR COMMUNICATION 255K 3K –
SELECT SECTOR SPDR TR ENERGY 454K 5K –
SELECT SECTOR SPDR TR FINANCIAL 576K 14K –
SELECT SECTOR SPDR TR INDL 404K 3K –
SELECT SECTOR SPDR TR TECHNOLOGY 1M 4K –
SELECT SECTOR SPDR TR SBI HEALTHCARE 467K 3K –
SELECT SECTOR SPDR TR SBI CONS DISCR 276K 2K –
SERVICENOW INC COM 1M 2K –
SOFI TECHNOLOGIES INC COM 104K 16K –
SPDR DOW JONES INDL AVERAGE UT SER 1 417K 1K –
SPDR GOLD TR GOLD SHS 5M 23K –
SPDR INDEX SHS FDS EURO STOXX 50 390K 8K –
SPDR INDEX SHS FDS PORTFOLIO EMG MK 2M 44K –
SPDR INDEX SHS FDS PORTFOLIO DEVLPD 12M 354K –
SPDR S&P 500 ETF TR TR UNIT 8M 15K –
SPDR SER TR PORTFOLIO S&P400 6M 110K –
SPDR SER TR NUVEEN BLMBRG SH 238K 5K –
SPDR SER TR PORTFOLIO S&P500 21M 330K –
SPDR SER TR HLTH CR EQUIP 219K 3K –
SPDR SER TR PORTFOLIO SH TSR 4M 125K –
SPDR SER TR PORTFOLIO S&P600 5M 121K –
SUPER MICRO COMPUTER INC COM 337K 411 –
TARGET CORP COM 292K 2K –
TESLA INC COM 5M 25K –
TEXAS INSTRS INC COM 372K 2K –
THERMO FISHER SCIENTIFIC INC COM 1M 2K –
TREEHOUSE FOODS INC COM 202K 6K –
UNION PAC CORP COM 399K 2K –
UNITEDHEALTH GROUP INC COM 1M 2K –
UROGEN PHARMA LTD COM 338K 20K –
US BANCORP DEL COM NEW 497K 13K –
VANECK ETF TRUST GOLD MINERS ETF 234K 7K –
VANECK ETF TRUST MRNGSTR WDE MOAT 288K 3K –
VANGUARD BD INDEX FDS TOTAL BND MRKT 211K 3K –
VANGUARD INDEX FDS VALUE ETF 3M 21K –
VANGUARD INDEX FDS MID CAP ETF 2M 9K –
VANGUARD INDEX FDS SM CP VAL ETF 502K 3K –
VANGUARD INDEX FDS REAL ESTATE ETF 1M 17K –
VANGUARD INDEX FDS SMALL CP ETF 2M 10K –
VANGUARD INDEX FDS GROWTH ETF 416K 1K –
VANGUARD INDEX FDS TOTAL STK MKT 7M 27K –
VANGUARD INDEX FDS S&P 500 ETF SHS 4M 9K –
VANGUARD INTL EQUITY INDEX F TT WRLD ST ETF 2M 15K –
VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 850K 19K –
VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 478K 8K –
VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 216K 3K –
VANGUARD SPECIALIZED FUNDS DIV APP ETF 1M 7K –
VANGUARD TAX-MANAGED FDS VAN FTSE DEV MKT 4M 75K –
VANGUARD WORLD FD INDUSTRIAL ETF 209K 889 –
VANGUARD WORLD FD INF TECH ETF 871K 2K –
VANGUARD WORLD FD HEALTH CAR ETF 384K 1K –
VANGUARD WORLD FD ENERGY ETF 224K 2K –
VANGUARD WORLD FD FINANCIALS ETF 525K 5K –
VERIZON COMMUNICATIONS INC COM 263K 6K –
VISA INC COM CL A 431K 2K –
WALMART INC COM 947K 14K –
WESTERN ASSET MANAGED MUNS F COM 1M 106K –