Vivaldi Capital Management

Vivaldi Capital Management as of Dec. 31, 2018

Portfolio Holdings for Vivaldi Capital Management

Vivaldi Capital Management holds 200 positions in its portfolio as reported in the December 2018 quarterly 13F filing

Company (Ticker) Portfolio Weight Valued At Change in Shares Share Count Share Price
Vivaldi Opportunities 16.6 $39M 2.7M 14.26
Spdr S&p 500 Etf (SPY) 4.3 $9.9M 40k 249.92
iShares S&P 500 Index (IVV) 3.2 $7.5M 30k 251.63
iShares MSCI EAFE Index Fund (EFA) 3.0 $6.9M 117k 58.78
First Tr Exch Trd Alpha Fd I (FPA) 2.8 $6.5M 238k 27.22
Vanguard Total Stock Market ETF (VTI) 2.6 $6.1M 48k 127.63
Vanguard Mid-Cap ETF (VO) 1.7 $3.9M 28k 138.16
Ishares Tr Dec 2020 1.6 $3.8M 153k 24.98
Vanguard Europe Pacific ETF (VEA) 1.6 $3.7M 101k 37.10
Ishares Tr 1.5 $3.6M 144k 24.80
Vanguard Emerging Markets ETF (VWO) 1.5 $3.5M 92k 38.10
Ishares Tr ibnd dec21 etf 1.5 $3.4M 141k 24.36
Vanguard Small-Cap ETF (VB) 1.4 $3.3M 25k 131.98
AllianceBernstein Natnl Muncpl Incm Fnd. (AFB) 1.4 $3.2M 263k 12.13
SPDR DJ Wilshire Large Cap (SPLG) 1.4 $3.2M 109k 29.21
Ishares Tr ibnd dec23 etf 1.4 $3.1M 130k 24.19
iShares Dow Jones Select Dividend (DVY) 1.3 $3.0M 33k 89.30
Invesco Van Kampen Senior Income Trust (VVR) 1.3 $2.9M 755k 3.91
Ishares Tr Ibonds December 2022 Corp Etf 1.2 $2.9M 119k 24.17
Nuveen Insured Tax-Free Adv Munici (NEA) 1.2 $2.9M 232k 12.31
Pgim Short Duration High Yie (ISD) 1.1 $2.6M 202k 13.03
iShares Russell 2000 Index (IWM) 1.1 $2.6M 20k 133.87
Invesco Insured Municipal Income Trust (IIM) 1.1 $2.4M 180k 13.52
iShares Cohen & Steers Realty Maj. (ICF) 1.0 $2.4M 25k 95.69
Spdr Ser Tr spdr russel 2000 (SPSM) 1.0 $2.3M 87k 26.36
iShares S&P MidCap 400 Index (IJH) 1.0 $2.3M 14k 166.03
SPDR DJ Wilshire Mid Cap (SPMD) 0.9 $2.1M 71k 29.41
Apple (AAPL) 0.9 $2.1M 13k 157.73
Gavekal Knowledge Leaders Deve 0.9 $2.0M 70k 29.05
DTF Tax Free Income (DTF) 0.8 $1.9M 150k 12.38
JPMorgan Chase & Co. (JPM) 0.7 $1.7M 17k 97.62
Shire 0.7 $1.7M 9.7k 174.08
Pioneer Municipal High Income Trust (MHI) 0.7 $1.7M 151k 10.96
Berkshire Hathaway (BRK.B) 0.7 $1.6M 7.7k 204.14
Templeton Global Income Fund 0.6 $1.5M 245k 6.03
iShares MSCI Cntry Asa Jpn Idx Fnd (AAXJ) 0.6 $1.5M 23k 63.55
Vaneck Vec Invt Grade Fltg Rate Etf etf/closed end fund (FLTR) 0.6 $1.4M 59k 24.70
Pgim Global Short Duration H (GHY) 0.6 $1.4M 112k 12.92
Western Asst High Incm Opprtnty Fnd (HIO) 0.6 $1.4M 319k 4.38
SPDR S&P Emerging Markets (SPEM) 0.6 $1.4M 43k 32.35
iShares Russell Midcap Index Fund (IWR) 0.6 $1.4M 29k 46.47
AllianceBernstein Global Hgh Incm (AWF) 0.6 $1.4M 131k 10.53
Nuveen Div. Advantage Muni. Fund (NAD) 0.6 $1.4M 109k 12.54
Vectren Corporation 0.6 $1.3M 19k 71.97
Twenty-first Century Fox 0.6 $1.3M 28k 48.13
Valero Energy Partners 0.6 $1.3M 32k 42.17
Lehman Brothers First Trust IOF (NHS) 0.6 $1.3M 138k 9.67
Western Asset High Incm Fd I (HIX) 0.6 $1.3M 224k 5.76
SPDR S&P World ex-US (SPDW) 0.6 $1.3M 48k 26.46
Schwab Strategic Tr us lrg cap etf (SCHX) 0.5 $1.2M 21k 59.71
Vanguard S&p 500 Etf idx (VOO) 0.5 $1.2M 5.2k 229.77
iShares Russell 1000 Value Index (IWD) 0.5 $1.2M 11k 111.10
Eaton Vance Municipal Bond Fund (EIM) 0.5 $1.1M 101k 11.29
Gaming & Leisure Pptys (GLPI) 0.5 $1.1M 35k 32.31
Invesco Van Kampen Municipal Trust (VKQ) 0.5 $1.1M 100k 11.14
CBOE Holdings (CBOE) 0.4 $979k 10k 97.87
Microsoft Corporation (MSFT) 0.4 $925k 9.1k 101.54
Dominion Mid Stream 0.4 $917k 51k 18.04
iShares Barclays 1-3 Year Cred Bd Fd ETF (IGSB) 0.4 $882k 17k 51.62
Blackrock Muni Intermediate Drtn Fnd (MUI) 0.4 $872k 69k 12.65
Dreyfus Mun Bd Infrastructure 0.4 $872k 74k 11.87
Invesco Quality Municipal Inc Trust (IQI) 0.4 $858k 77k 11.22
iShares Russell 1000 Growth Index (IWF) 0.3 $788k 6.0k 130.88
Schwab Emerging Markets Equity ETF (SCHE) 0.3 $794k 34k 23.52
Ishares Core Msci Eafe Etf core msci eafe (IEFA) 0.3 $785k 14k 55.00
Vanguard Short-Term Bond ETF (BSV) 0.3 $777k 9.9k 78.61
Schwab U S Small Cap ETF (SCHA) 0.3 $726k 12k 60.65
SPDR Gold Trust (GLD) 0.3 $698k 5.8k 121.24
Sch Us Mid-cap Etf etf (SCHM) 0.3 $693k 15k 47.94
Abbvie (ABBV) 0.3 $667k 7.2k 92.18
At&t (T) 0.3 $658k 23k 28.56
Kayne Anderson MLP Investment (KYN) 0.3 $648k 47k 13.77
Schwab International Equity ETF (SCHF) 0.3 $640k 23k 28.34
Amazon (AMZN) 0.3 $635k 423.00 1501.18
iShares S&P SmallCap 600 Index (IJR) 0.3 $632k 9.1k 69.32
Nuveen Select Tax-Free Income Portfolio (NXP) 0.3 $597k 43k 14.06
UnitedHealth (UNH) 0.2 $583k 2.3k 248.93
Vanguard Total World Stock Idx (VT) 0.2 $585k 8.9k 65.44
Cme (CME) 0.2 $550k 2.9k 188.16
Johnson & Johnson (JNJ) 0.2 $554k 4.3k 129.14
Brookfield Asset Management 0.2 $556k 15k 38.35
Nuveen Select Tax-Free Incom Portfolio 3 0.2 $557k 39k 14.29
Ishares Inc core msci emkt (IEMG) 0.2 $555k 12k 47.17
Walt Disney Company (DIS) 0.2 $542k 4.9k 109.58
iShares Dow Jones EPAC Sel Div Ind (IDV) 0.2 $532k 19k 28.70
Abbott Laboratories (ABT) 0.2 $499k 6.9k 72.29
Pfizer (PFE) 0.2 $484k 11k 43.62
iShares Lehman Aggregate Bond (AGG) 0.2 $485k 4.6k 106.59
Vanguard FTSE All Wld Ex USSml Cap (VSS) 0.2 $490k 5.2k 94.74
I Shares 2019 Etf 0.2 $476k 19k 25.37
Ishares 2020 Amt-free Muni Bond Etf 0.2 $485k 19k 25.37
Verizon Communications (VZ) 0.2 $473k 8.4k 56.17
Fcb Financial Holdings-cl A 0.2 $469k 14k 33.56
Alphabet Inc Class C cs (GOOG) 0.2 $457k 441.00 1036.28
Ishares Tr ibonds dec 21 0.2 $465k 18k 25.46
Ishares Tr core intl aggr (IAGG) 0.2 $461k 8.8k 52.19
iShares MSCI Emerging Markets Indx (EEM) 0.2 $446k 11k 39.04
Procter & Gamble Company (PG) 0.2 $445k 4.8k 92.02
PIMCO Enhanced Short Mat Str Fund ETF (MINT) 0.2 $440k 4.4k 101.03
Vanguard Short Term Corporate Bond ETF (VCSH) 0.2 $438k 5.6k 78.02
Alphabet Inc Class A cs (GOOGL) 0.2 $434k 415.00 1045.78
Ishares Tr ibonds dec 22 0.2 $443k 17k 25.60
Chevron Corporation (CVX) 0.2 $408k 3.7k 108.86
Intel Corporation (INTC) 0.2 $425k 9.1k 46.95
Thermo Fisher Scientific (TMO) 0.2 $421k 1.9k 223.94
Honeywell International (HON) 0.2 $413k 3.1k 132.12
WisdomTree Emerging Markets Eq (DEM) 0.2 $408k 10k 40.11
Pepsi (PEP) 0.2 $404k 3.7k 110.41
Vanguard Small-Cap Value ETF (VBR) 0.2 $399k 3.5k 114.07
Vanguard Pacific ETF (VPL) 0.2 $388k 6.4k 60.57
Global X Fds glbl x mlp etf 0.2 $393k 51k 7.68
Ishares Tr Ibonds Dec2023 etf 0.2 $395k 16k 25.08
Corning Incorporated (GLW) 0.2 $372k 12k 30.25
McDonald's Corporation (MCD) 0.2 $367k 2.1k 177.81
Home Depot (HD) 0.2 $364k 2.1k 172.02
iShares Barclays TIPS Bond Fund (TIP) 0.2 $380k 3.5k 109.48
Vanguard High Dividend Yield ETF (VYM) 0.2 $379k 4.9k 78.00
Tortoise Energy Infrastructure 0.2 $378k 19k 19.93
Eaton Vance Cali Muni Bnd Fnd (EVM) 0.2 $368k 37k 9.90
Facebook Inc cl a (META) 0.2 $373k 2.8k 130.97
Ishares Tr core msci euro (IEUR) 0.2 $372k 9.0k 41.33
U.S. Bancorp (USB) 0.1 $351k 7.7k 45.69
Cisco Systems (CSCO) 0.1 $350k 8.1k 43.31
SPDR Dow Jones Industrial Average ETF (DIA) 0.1 $351k 1.5k 233.38
iShares S&P GSCI Commodity-Indexed (GSG) 0.1 $351k 25k 14.04
IAC/InterActive 0.1 $330k 1.8k 183.03
Newell Rubbermaid (NWL) 0.1 $321k 17k 18.59
Accenture (ACN) 0.1 $321k 2.3k 140.85
SPDR Barclays Capital High Yield B 0.1 $318k 9.5k 33.59
Citigroup (C) 0.1 $319k 6.1k 52.06
Paypal Holdings (PYPL) 0.1 $317k 3.8k 84.06
Ishares Tr core msci intl (IDEV) 0.1 $318k 6.5k 48.89
Berkshire Hathaway (BRK.A) 0.1 $306k 1.00 306000.00
Nextera Energy (NEE) 0.1 $309k 1.8k 173.89
Vanguard European ETF (VGK) 0.1 $309k 6.4k 48.58
iShares Dow Jones US Technology (IYW) 0.1 $303k 1.9k 160.15
WisdomTree Japan Total Dividend (DXJ) 0.1 $313k 6.7k 46.45
Invesco Van Kampen Cal Val Mun Inc Trust (VCV) 0.1 $303k 27k 11.33
Nuveen Select Tax Free Incom Portfolio 2 0.1 $295k 22k 13.41
Novartis (NVS) 0.1 $274k 3.2k 85.81
Merck & Co (MRK) 0.1 $276k 3.6k 76.35
Visa (V) 0.1 $280k 2.1k 131.89
MetLife (MET) 0.1 $290k 7.1k 41.04
Western Asset Municipal Hgh Incm Fnd (MHF) 0.1 $288k 42k 6.94
Blackrock California Mun. Income Trust (BFZ) 0.1 $272k 23k 11.99
Blackrock MuniHoldings CA Insrd Fnd (MUC) 0.1 $287k 23k 12.34
Tesaro 0.1 $274k 3.7k 74.25
Booking Holdings (BKNG) 0.1 $289k 168.00 1720.24
Dun & Bradstreet Corporation 0.1 $244k 1.7k 142.61
Amgen (AMGN) 0.1 $254k 1.3k 194.49
Texas Instruments Incorporated (TXN) 0.1 $258k 2.7k 94.44
EOG Resources (EOG) 0.1 $260k 3.0k 87.04
iShares NASDAQ Biotechnology Index (IBB) 0.1 $265k 2.8k 96.26
athenahealth 0.1 $244k 1.8k 132.18
Consumer Discretionary SPDR (XLY) 0.1 $257k 2.6k 99.04
Vanguard Total Bond Market ETF (BND) 0.1 $261k 3.3k 79.28
iShares JPMorgan USD Emer Mkt Bnd Fd ETF (EMB) 0.1 $255k 2.5k 103.95
Hp (HPQ) 0.1 $258k 13k 20.49
Willis Towers Watson (WTW) 0.1 $266k 1.8k 152.00
Comcast Corporation (CMCSA) 0.1 $238k 7.0k 34.09
Bank of America Corporation (BAC) 0.1 $223k 9.1k 24.64
Exxon Mobil Corporation (XOM) 0.1 $243k 3.6k 68.14
FedEx Corporation (FDX) 0.1 $238k 1.5k 161.58
Wal-Mart Stores (WMT) 0.1 $228k 2.4k 93.33
Prudential Financial (PRU) 0.1 $236k 2.9k 81.41
Tesla Motors (TSLA) 0.1 $240k 720.00 333.33
iShares S&P Natl AMTFr Mncpl Bd (MUB) 0.1 $241k 2.2k 108.85
Vanguard Admiral Fds Inc equity (VOOG) 0.1 $236k 1.8k 134.86
Global X Etf equity 0.1 $232k 14k 17.09
Walgreen Boots Alliance (WBA) 0.1 $225k 3.3k 68.26
Clorox Company (CLX) 0.1 $216k 1.4k 154.40
Discovery Communications 0.1 $213k 9.2k 23.07
CF Industries Holdings (CF) 0.1 $207k 4.8k 43.51
Enbridge (ENB) 0.1 $207k 6.7k 31.09
Cbre Group Inc Cl A (CBRE) 0.1 $201k 5.0k 39.99
Db-x Msci Eafe Currency-hedged (DBEF) 0.1 $219k 7.8k 27.93
Nuveen Barclays Shrt Term Muni bdfund (SHM) 0.1 $202k 4.2k 48.08
D First Tr Exchange-traded (FPE) 0.1 $180k 10k 18.00
Alliance California Municipal Income Fun 0.1 $168k 12k 13.72
Exantas Cap Corp 0.1 $160k 16k 10.01
Eaton Vance California Mun. Income Trust (CEV) 0.1 $147k 13k 11.08
Exd - Eaton Vance Tax-advant 0.1 $141k 17k 8.54
Platform Specialty Prods Cor 0.1 $139k 14k 10.32
DNP Select Income Fund (DNP) 0.1 $108k 10k 10.38
Pacific Biosciences of California (PACB) 0.1 $121k 16k 7.40
Potbelly (PBPB) 0.1 $121k 15k 8.05
Hmh Holdings 0.1 $119k 14k 8.84
General Electric Company 0.0 $86k 11k 7.61
Center Coast Mlp And Infrastructure unit 0.0 $89k 13k 6.85
Mcewen Mining 0.0 $18k 10k 1.80
Kb Home note 0.0 $20k 20k 1.00
National Health Invs Inc note 0.0 $22k 20k 1.10
Vector Group Ltd note 1.75% 4/15 0.0 $20k 20k 1.00
Acorda Therap note 1.75% 6/15 0.0 $12k 15k 0.80
Verint Sys Inc note 1.5% 6/1 0.0 $19k 20k 0.95
Macquarie Infrastructure conv 0.0 $15k 15k 1.00
Echo Global Logistics Inc note 2.500% 5/0 0.0 $19k 20k 0.95
Gogo Inc conv 0.0 $13k 15k 0.87
Northern Dynasty Minerals Lt (NAK) 0.0 $6.0k 10k 0.60
Seacor Holdings Inc note 2.500%12/1 0.0 $9.0k 10k 0.90