Vivaldi Capital Management

Vivaldi Capital Management as of Sept. 30, 2018

Portfolio Holdings for Vivaldi Capital Management

Vivaldi Capital Management holds 145 positions in its portfolio as reported in the September 2018 quarterly 13F filing

Company (Ticker) Portfolio Weight Valued At Change in Shares Share Count Share Price
Vivaldi Opportunities 28.7 $55M 3.7M 14.83
Vanguard Total Stock Market ETF (VTI) 4.3 $8.2M 55k 149.65
iShares S&P 500 Index (IVV) 3.0 $5.8M 20k 292.72
B. Riley Financial (RILY) 3.0 $5.7M 250k 22.65
Vanguard Mid-Cap ETF (VO) 2.4 $4.5M 28k 164.20
Vanguard Europe Pacific ETF (VEA) 2.4 $4.5M 104k 43.27
Vanguard Small-Cap ETF (VB) 2.0 $3.9M 24k 162.58
SPDR DJ Wilshire Large Cap (SPLG) 1.9 $3.7M 108k 34.07
Vanguard Emerging Markets ETF (VWO) 1.6 $3.1M 75k 41.00
Spdr Ser Tr spdr russel 2000 (SPSM) 1.5 $2.8M 84k 33.24
AllianceBernstein Natnl Muncpl Incm Fnd. (AFB) 1.4 $2.7M 217k 12.39
Invesco Van Kampen Senior Income Trust (VVR) 1.4 $2.7M 622k 4.30
iShares Russell 2000 Index (IWM) 1.4 $2.6M 15k 168.57
SPDR DJ Wilshire Mid Cap (SPMD) 1.3 $2.5M 69k 36.15
Nuveen Insured Tax-Free Adv Munici (NEA) 1.3 $2.5M 195k 12.66
iShares Dow Jones Select Dividend (DVY) 1.3 $2.5M 25k 99.74
Pgim Short Duration High Yie (ISD) 1.3 $2.4M 170k 14.14
Rockwell Collins 1.2 $2.2M 16k 140.48
Invesco Insured Municipal Income Trust (IIM) 1.1 $2.1M 153k 13.84
Pinnacle Foods Inc De 1.1 $2.1M 32k 64.80
Aetna 1.1 $2.0M 10k 202.81
Apple (AAPL) 1.0 $1.9M 8.6k 225.78
DTF Tax Free Income (DTF) 0.9 $1.7M 129k 12.85
Schwab Strategic Tr us lrg cap etf (SCHX) 0.8 $1.5M 22k 69.57
SPDR S&P World ex-US (SPDW) 0.8 $1.5M 49k 30.77
Spdr S&p 500 Etf (SPY) 0.8 $1.5M 5.1k 290.71
SPDR S&P Emerging Markets (SPEM) 0.8 $1.4M 42k 34.82
Pioneer Municipal High Income Trust (MHI) 0.8 $1.4M 130k 11.12
Twenty-first Century Fox 0.8 $1.4M 31k 46.33
Energen Corporation 0.7 $1.4M 16k 86.16
Pgim Global Short Duration H (GHY) 0.7 $1.3M 93k 13.87
CBOE Holdings (CBOE) 0.7 $1.2M 13k 95.92
AllianceBernstein Global Hgh Incm (AWF) 0.7 $1.3M 107k 11.65
Western Asst High Incm Opprtnty Fnd (HIO) 0.7 $1.2M 262k 4.76
Templeton Global Income Fund 0.7 $1.2M 202k 6.12
Lehman Brothers First Trust IOF (NHS) 0.7 $1.2M 112k 10.95
Vanguard S&p 500 Etf idx (VOO) 0.6 $1.2M 4.5k 266.98
Western Asset High Incm Fd I (HIX) 0.6 $1.2M 185k 6.34
Nuveen Div. Advantage Muni. Fund (NAD) 0.6 $1.2M 91k 12.79
Schwab U S Small Cap ETF (SCHA) 0.6 $1.1M 15k 76.15
Schwab Emerging Markets Equity ETF (SCHE) 0.6 $1.1M 42k 25.72
Ca 0.5 $1.0M 24k 44.13
Forest City Realty Trust Inc Class A 0.5 $1.0M 41k 25.10
Invesco Van Kampen Municipal Trust (VKQ) 0.5 $988k 86k 11.54
iShares MSCI EAFE Index Fund (EFA) 0.5 $970k 14k 67.96
Eaton Vance Municipal Bond Fund (EIM) 0.5 $979k 85k 11.53
LaSalle Hotel Properties 0.5 $942k 27k 34.59
Sch Us Mid-cap Etf etf (SCHM) 0.5 $921k 16k 57.85
Berkshire Hathaway (BRK.B) 0.5 $895k 4.2k 214.17
Schwab International Equity ETF (SCHF) 0.5 $896k 27k 33.52
Spectra Energy Partners 0.5 $865k 24k 35.69
Sodastream International 0.4 $827k 5.8k 143.10
Gramercy Property Trust 0.4 $824k 30k 27.43
Dreyfus Mun Bd Infrastructure 0.4 $774k 62k 12.42
Pinnacle Entertainment 0.4 $757k 23k 33.70
Blackrock Muni Intermediate Drtn Fnd (MUI) 0.4 $749k 57k 13.08
Invesco Quality Municipal Inc Trust (IQI) 0.4 $740k 64k 11.57
iShares Russell Midcap Index Fund (IWR) 0.3 $651k 3.0k 220.53
SPDR Gold Trust (GLD) 0.3 $610k 5.4k 112.71
Amazon (AMZN) 0.3 $589k 294.00 2003.40
NVIDIA Corporation (NVDA) 0.3 $573k 2.0k 280.88
iShares Lehman Aggregate Bond (AGG) 0.3 $578k 5.5k 105.57
Gaming & Leisure Pptys (GLPI) 0.3 $571k 16k 35.26
iShares Dow Jones EPAC Sel Div Ind (IDV) 0.3 $559k 17k 32.63
Chevron Corporation (CVX) 0.3 $508k 4.2k 122.17
iShares S&P SmallCap 600 Index (IJR) 0.3 $518k 5.9k 87.29
Nuveen Select Tax-Free Income Portfolio (NXP) 0.3 $506k 36k 13.91
Johnson & Johnson (JNJ) 0.3 $490k 3.5k 138.14
Vanguard Pacific ETF (VPL) 0.3 $498k 7.0k 71.16
Vectren Corporation 0.2 $485k 6.8k 71.49
iShares S&P GSCI Commodity-Indexed (GSG) 0.2 $453k 25k 18.12
Nuveen Select Tax-Free Incom Portfolio 3 0.2 $458k 33k 13.99
Ishares Tr core intl aggr (IAGG) 0.2 $461k 8.8k 52.33
At&t (T) 0.2 $442k 13k 33.57
Intel Corporation (INTC) 0.2 $430k 9.1k 47.30
Facebook Inc cl a (META) 0.2 $440k 2.7k 164.61
K2m Group Holdings 0.2 $443k 16k 27.40
Microsoft Corporation (MSFT) 0.2 $397k 3.5k 114.48
U.S. Bancorp (USB) 0.2 $400k 7.6k 52.87
Home Depot (HD) 0.2 $387k 1.9k 207.06
Cisco Systems (CSCO) 0.2 $387k 7.9k 48.69
Verizon Communications (VZ) 0.2 $363k 6.8k 53.32
Vanguard European ETF (VGK) 0.2 $368k 6.6k 56.16
iShares Dow Jones US Technology (IYW) 0.2 $369k 1.9k 194.01
Invesco Van Kampen Cal Val Mun Inc Trust (VCV) 0.2 $358k 31k 11.71
SPDR Dow Jones Industrial Average ETF (DIA) 0.2 $338k 1.3k 264.06
Vanguard Short Term Corporate Bond ETF (VCSH) 0.2 $346k 4.4k 78.14
Blackrock MuniHoldings CA Insrd Fnd (MUC) 0.2 $334k 27k 12.55
Ishares Inc core msci emkt (IEMG) 0.2 $351k 6.8k 51.85
Editas Medicine (EDIT) 0.2 $336k 11k 31.79
Pfizer (PFE) 0.2 $322k 7.3k 44.05
General Electric Company 0.2 $332k 29k 11.28
Berkshire Hathaway (BRK.A) 0.2 $320k 1.00 320000.00
SPDR Barclays Capital High Yield B 0.2 $321k 8.9k 36.01
iShares FTSE KLD 400 Social Idx (DSI) 0.2 $321k 3.0k 106.75
Blackrock California Mun. Income Trust (BFZ) 0.2 $323k 26k 12.36
Eaton Vance Cali Muni Bnd Fnd (EVM) 0.2 $314k 32k 9.95
Alphabet Inc Class A cs (GOOGL) 0.2 $320k 265.00 1207.55
Walt Disney Company (DIS) 0.2 $306k 2.6k 117.02
Convergys Corporation 0.2 $299k 13k 23.75
Pepsi (PEP) 0.2 $304k 2.7k 111.81
WisdomTree Emerging Markets Eq (DEM) 0.2 $306k 7.0k 43.71
Db-x Msci Eafe Currency-hedged (DBEF) 0.2 $308k 9.5k 32.34
Comcast Corporation (CMCSA) 0.1 $286k 8.1k 35.45
iShares S&P MidCap 400 Index (IJH) 0.1 $290k 1.4k 201.11
Vanguard High Dividend Yield ETF (VYM) 0.1 $292k 3.4k 87.14
Dun & Bradstreet Corporation 0.1 $267k 1.9k 142.40
Merck & Co (MRK) 0.1 $273k 3.9k 70.84
Vanguard Total Bond Market ETF (BND) 0.1 $263k 3.3k 78.62
JPMorgan Chase & Co. (JPM) 0.1 $243k 2.2k 112.76
iShares Russell 1000 Value Index (IWD) 0.1 $244k 1.9k 126.49
CoBiz Financial 0.1 $238k 11k 22.18
Nuveen Select Tax Free Incom Portfolio 2 0.1 $255k 19k 13.33
Western Asset Municipal Hgh Incm Fnd (MHF) 0.1 $252k 36k 7.08
Willis Towers Watson (WTW) 0.1 $246k 1.7k 141.06
Eventbrite (EB) 0.1 $256k 6.8k 37.93
Exxon Mobil Corporation (XOM) 0.1 $236k 2.8k 85.14
Raytheon Company 0.1 $227k 1.1k 206.55
Honeywell International (HON) 0.1 $223k 1.3k 166.17
Dell Technologies Inc Class V equity 0.1 $226k 2.3k 97.29
Crispr Therapeutics (CRSP) 0.1 $222k 5.0k 44.35
Philip Morris International (PM) 0.1 $208k 2.6k 81.57
Gilead Sciences (GILD) 0.1 $218k 2.8k 77.14
iShares Russell 1000 Index (IWB) 0.1 $212k 1.3k 161.34
Vanguard Dividend Appreciation ETF (VIG) 0.1 $213k 1.9k 110.53
Express Scripts Holding 0.1 $217k 2.3k 94.84
Alliance California Municipal Income Fun 0.1 $190k 14k 13.56
Potbelly (PBPB) 0.1 $183k 15k 12.33
Exantas Cap Corp 0.1 $185k 17k 11.01
Eaton Vance California Mun. Income Trust (CEV) 0.1 $171k 15k 11.26
Exd - Eaton Vance Tax-advant 0.1 $155k 18k 8.81
KMG Chemicals 0.1 $113k 1.5k 75.38
Eaton Vance Calif Mun Bd 0.1 $110k 11k 10.21
Hmh Holdings 0.1 $98k 14k 6.97
Kb Home note 0.0 $20k 20k 1.00
Seacor Holdings Inc note 2.500%12/1 0.0 $10k 10k 1.00
Rpm International Inc convertible cor 0.0 $18k 15k 1.20
National Health Invs Inc note 0.0 $23k 20k 1.15
Vector Group Ltd note 1.75% 4/15 0.0 $21k 20k 1.05
Acorda Therap note 1.75% 6/15 0.0 $13k 15k 0.87
Verint Sys Inc note 1.5% 6/1 0.0 $21k 20k 1.05
Macquarie Infrastructure conv 0.0 $15k 15k 1.00
Amtrust Finl Svcs Inc note 2.750%12/1 0.0 $14k 15k 0.93
Echo Global Logistics Inc note 2.500% 5/0 0.0 $21k 20k 1.05
Gogo Inc conv 0.0 $14k 15k 0.93