Vivaldi Capital Management

Vivaldi Capital Management as of Sept. 30, 2019

Portfolio Holdings for Vivaldi Capital Management

Vivaldi Capital Management holds 226 positions in its portfolio as reported in the September 2019 quarterly 13F filing

Company (Ticker) Portfolio Weight Valued At Change in Shares Share Count Share Price
Vivaldi Opportunities 13.8 $58M 4.2M 13.76
B. Riley Financial (RILY) 6.0 $25M 1.1M 23.62
Facebook Inc cl a (META) 4.4 $19M 105k 178.08
Ssga Active Etf Tr ult sht trm bd (ULST) 3.1 $13M 319k 40.43
Spdr S&p 500 Etf (SPY) 2.9 $12M 42k 296.76
SPDR DJ Wilshire Large Cap (SPLG) 2.8 $12M 340k 34.85
D First Tr Exchange-traded (FPE) 2.7 $11M 571k 19.73
SPDR S&P World ex-US (SPDW) 2.2 $9.1M 311k 29.36
iShares S&P 500 Index (IVV) 1.7 $7.2M 24k 298.54
iShares MSCI EAFE Index Fund (EFA) 1.6 $6.9M 106k 65.21
Angel Oak Financial (FINS) 1.6 $6.6M 325k 20.17
Vanguard Total Stock Market ETF (VTI) 1.5 $6.4M 42k 151.00
Invesco Van Kampen Senior Income Trust (VVR) 1.5 $6.3M 1.5M 4.20
Blackrock Muniyield Insured Fund (MYI) 1.4 $5.7M 422k 13.57
Nuveen Insured Tax-Free Adv Munici (NEA) 1.4 $5.7M 402k 14.31
Pgim Short Duration High Yie (ISD) 1.3 $5.5M 367k 14.95
First Tr Exch Trd Alpha Fd I (FPA) 1.3 $5.3M 194k 27.47
Ishares Tr liquid inc etf (ICSH) 1.2 $5.1M 101k 50.38
Apple (AAPL) 1.2 $5.0M 22k 223.98
AllianceBernstein Natnl Muncpl Incm Fnd. (AFB) 1.1 $4.9M 354k 13.78
Vanguard Europe Pacific ETF (VEA) 1.1 $4.5M 110k 41.08
JPMorgan Chase & Co. (JPM) 1.0 $4.3M 36k 117.68
Spdr Ser Tr spdr russel 2000 (SPSM) 1.0 $4.1M 136k 30.00
SPDR DJ Wilshire Mid Cap (SPMD) 0.9 $4.0M 118k 33.89
Vanguard Emerging Markets ETF (VWO) 0.9 $3.9M 97k 40.26
Blackrock Muni Intermediate Drtn Fnd (MUI) 0.9 $3.8M 267k 14.18
Microsoft Corporation (MSFT) 0.8 $3.4M 25k 139.03
Eaton Vance Municipal Bond Fund (EIM) 0.8 $3.4M 266k 12.96
BlackRock Corporate High Yield Fund VI (HYT) 0.8 $3.3M 309k 10.75
iShares Dow Jones Select Dividend (DVY) 0.8 $3.2M 31k 101.95
Vanguard Mid-Cap ETF (VO) 0.8 $3.2M 19k 167.58
SPDR S&P Emerging Markets (SPEM) 0.8 $3.2M 94k 34.27
Lyft (LYFT) 0.8 $3.2M 79k 40.84
Western Asst High Incm Opprtnty Fnd (HIO) 0.7 $3.1M 621k 5.05
Pgim Global Short Duration H (GHY) 0.7 $3.1M 217k 14.37
AllianceBernstein Global Hgh Incm (AWF) 0.7 $3.1M 258k 11.99
iShares Russell 2000 Index (IWM) 0.7 $3.0M 20k 151.33
Templeton Global Income Fund 0.7 $2.9M 479k 6.14
Voya Prime Rate Trust sh ben int 0.7 $2.9M 621k 4.71
Procter & Gamble Company (PG) 0.7 $2.7M 22k 124.36
Vanguard Small-Cap ETF (VB) 0.6 $2.6M 17k 153.92
Eaton Vance Limited Duration Income Fund (EVV) 0.6 $2.4M 195k 12.50
Brookfield Asset Management 0.6 $2.3M 44k 53.09
Thermo Fisher Scientific (TMO) 0.6 $2.3M 7.9k 291.24
Nuveen Div. Advantage Muni. Fund (NAD) 0.6 $2.3M 161k 14.36
iShares Cohen & Steers Realty Maj. (ICF) 0.5 $2.3M 19k 120.04
iShares S&P MidCap 400 Index (IJH) 0.5 $2.1M 11k 193.20
Cme (CME) 0.5 $2.0M 9.4k 211.32
Gavekal Knowledge Leaders Deve 0.5 $2.0M 59k 33.74
Rivernorth Marketplace Lendi (RSF) 0.5 $1.9M 100k 19.08
Invesco Van Kampen Municipal Trust (VKQ) 0.4 $1.9M 148k 12.61
Berkshire Hathaway (BRK.B) 0.4 $1.7M 8.3k 208.07
IAC/InterActive 0.4 $1.7M 8.0k 218.02
Pfizer (PFE) 0.4 $1.7M 49k 35.92
UnitedHealth (UNH) 0.4 $1.7M 7.7k 217.36
iShares Russell Midcap Index Fund (IWR) 0.4 $1.6M 29k 55.94
Schwab Strategic Tr us lrg cap etf (SCHX) 0.4 $1.6M 22k 70.94
Alphabet Inc Class C cs (GOOG) 0.3 $1.5M 1.2k 1218.80
Invesco Quality Municipal Inc Trust (IQI) 0.3 $1.4M 112k 12.79
Invesco Insured Municipal Income Trust (IIM) 0.3 $1.4M 92k 15.36
Ishares Core Msci Eafe Etf core msci eafe (IEFA) 0.3 $1.5M 24k 61.08
BlackRock Floating Rate Income Strat. Fn (FRA) 0.3 $1.4M 110k 12.62
Walt Disney Company (DIS) 0.3 $1.3M 10k 130.37
iShares MSCI Cntry Asa Jpn Idx Fnd (AAXJ) 0.3 $1.4M 21k 66.30
Gaming & Leisure Pptys (GLPI) 0.3 $1.3M 35k 38.24
Ishares Tr core msci intl (IDEV) 0.3 $1.3M 25k 54.60
Amazon (AMZN) 0.3 $1.3M 759.00 1736.50
Vanguard S&p 500 Etf idx (VOO) 0.3 $1.3M 4.8k 272.58
Exxon Mobil Corporation (XOM) 0.3 $1.3M 18k 70.59
Abbott Laboratories (ABT) 0.3 $1.3M 15k 83.67
Nextera Energy (NEE) 0.3 $1.2M 5.2k 232.91
iShares Russell 1000 Value Index (IWD) 0.3 $1.2M 9.3k 128.26
Abbvie (ABBV) 0.3 $1.2M 15k 75.71
3M Company (MMM) 0.3 $1.1M 6.9k 164.39
CBOE Holdings (CBOE) 0.3 $1.1M 10k 114.90
Chevron Corporation (CVX) 0.3 $1.1M 9.2k 118.64
Suntrust Banks Inc $1.00 Par Cmn 0.2 $1.0M 19k 55.09
At&t (T) 0.2 $1.1M 28k 37.82
CF Industries Holdings (CF) 0.2 $1.0M 21k 49.18
iShares S&P SmallCap 600 Index (IJR) 0.2 $988k 13k 77.80
Ishares Tr 0.2 $992k 40k 24.85
Johnson & Johnson (JNJ) 0.2 $946k 7.3k 129.43
Texas Instruments Incorporated (TXN) 0.2 $944k 7.3k 129.24
BlackRock Insured Municipal Income Trust (BYM) 0.2 $935k 66k 14.15
Nuveen Barclays Shrt Term Muni bdfund (SHM) 0.2 $927k 19k 49.01
FedEx Corporation (FDX) 0.2 $887k 6.1k 145.65
MetLife (MET) 0.2 $867k 18k 47.14
iShares Russell 1000 Growth Index (IWF) 0.2 $901k 5.6k 159.67
Schwab International Equity ETF (SCHF) 0.2 $888k 28k 31.86
Schwab U S Small Cap ETF (SCHA) 0.2 $867k 12k 69.72
Pepsi (PEP) 0.2 $840k 6.1k 137.03
Schwab Emerging Markets Equity ETF (SCHE) 0.2 $862k 34k 25.13
Sch Us Mid-cap Etf etf (SCHM) 0.2 $854k 15k 56.57
Citigroup (C) 0.2 $863k 13k 69.06
Ishares Tr Dec 2020 0.2 $830k 33k 25.38
Ishares Tr ibnd dec23 etf 0.2 $834k 33k 25.61
SPDR Gold Trust (GLD) 0.2 $804k 5.8k 138.93
Celgene Corporation 0.2 $782k 7.9k 99.26
Ishares Inc core msci emkt (IEMG) 0.2 $811k 17k 49.02
Ishares Tr ibnd dec21 etf 0.2 $784k 31k 25.01
Wal-Mart Stores (WMT) 0.2 $757k 6.4k 118.65
Honeywell International (HON) 0.2 $761k 4.5k 169.30
Coca-Cola Company (KO) 0.2 $687k 13k 54.45
Via 0.2 $669k 28k 24.03
Tesla Motors (TSLA) 0.2 $656k 2.7k 240.73
Vanguard Total World Stock Idx (VT) 0.2 $696k 9.3k 74.79
Corning Incorporated (GLW) 0.1 $638k 22k 28.54
Home Depot (HD) 0.1 $642k 2.8k 232.10
Blackrock Muniyield Quality Fund II (MQT) 0.1 $653k 50k 12.96
Doubleline Income Solutions (DSL) 0.1 $622k 31k 19.94
Ishares Tr Ibonds December 2022 Corp Etf 0.1 $628k 25k 25.32
iShares MSCI Emerging Markets Indx (EEM) 0.1 $589k 14k 40.85
Northern Trust Corporation (NTRS) 0.1 $589k 6.3k 93.30
DTF Tax Free Income (DTF) 0.1 $585k 40k 14.47
Costco Wholesale Corporation (COST) 0.1 $548k 1.9k 287.97
Intel Corporation (INTC) 0.1 $539k 11k 51.50
Verizon Communications (VZ) 0.1 $558k 9.2k 60.41
International Business Machines (IBM) 0.1 $549k 3.8k 145.35
Accenture (ACN) 0.1 $530k 2.8k 192.38
Consumer Discretionary SPDR (XLY) 0.1 $558k 4.6k 120.73
Vanguard Total Bond Market ETF (BND) 0.1 $535k 6.3k 84.37
Alphabet Inc Class A cs (GOOGL) 0.1 $567k 464.00 1221.98
Cisco Systems (CSCO) 0.1 $510k 10k 49.43
iShares Barclays 1-3 Year Cred Bd Fd ETF (IGSB) 0.1 $521k 9.7k 53.71
Nuveen Select Tax Free Incom Portfolio 2 0.1 $490k 33k 14.98
Comcast Corporation (CMCSA) 0.1 $451k 10k 45.06
McDonald's Corporation (MCD) 0.1 $462k 2.2k 214.68
Merck & Co (MRK) 0.1 $480k 5.7k 84.18
Visa (V) 0.1 $485k 2.8k 171.86
iShares Dow Jones EPAC Sel Div Ind (IDV) 0.1 $479k 16k 30.76
Western Asset Municipal Hgh Incm Fnd (MHF) 0.1 $475k 63k 7.57
Vanguard FTSE All Wld Ex USSml Cap (VSS) 0.1 $447k 4.4k 101.85
Walgreen Boots Alliance (WBA) 0.1 $448k 8.1k 55.28
Ishares Tr core intl aggr (IAGG) 0.1 $447k 8.0k 55.83
U.S. Bancorp (USB) 0.1 $430k 7.8k 55.39
iShares Lehman Aggregate Bond (AGG) 0.1 $413k 3.6k 113.18
Vanguard Small-Cap Value ETF (VBR) 0.1 $441k 3.4k 128.87
Vanguard Pacific ETF (VPL) 0.1 $413k 6.2k 66.11
Kayne Anderson MLP Investment (KYN) 0.1 $407k 28k 14.47
ISHARES TR MSCI Small Cap msci small cap (SCZ) 0.1 $402k 7.0k 57.18
Nuveen Ins Ca Tx Fr Adv Mun (NKX) 0.1 $441k 29k 15.12
Blackrock MuniHoldings CA Insrd Fnd (MUC) 0.1 $410k 29k 14.13
Eaton Vance Cali Muni Bnd Fnd (EVM) 0.1 $409k 36k 11.32
Global X Fds glbl x mlp etf 0.1 $424k 51k 8.39
Ishares Tr core msci euro (IEUR) 0.1 $412k 9.0k 45.78
Allergan 0.1 $443k 2.6k 168.25
Exchange Listed Fds Tr saba int rate (CEFS) 0.1 $426k 21k 20.05
MasterCard Incorporated (MA) 0.1 $390k 1.4k 271.78
Bank of America Corporation (BAC) 0.1 $389k 13k 29.14
Discovery Communications 0.1 $375k 15k 24.65
Technology SPDR (XLK) 0.1 $373k 4.6k 80.60
Medidata Solutions 0.1 $385k 4.2k 91.56
Vanguard High Dividend Yield ETF (VYM) 0.1 $390k 4.4k 88.76
iShares Dow Jones US Technology (IYW) 0.1 $376k 1.8k 204.13
WisdomTree Emerging Markets Eq (DEM) 0.1 $393k 9.5k 41.33
Blackrock California Mun. Income Trust (BFZ) 0.1 $392k 29k 13.69
Bank of New York Mellon Corporation (BK) 0.1 $344k 7.6k 45.16
Newell Rubbermaid (NWL) 0.1 $340k 18k 18.73
Amgen (AMGN) 0.1 $319k 1.6k 193.69
Vanguard Short-Term Bond ETF (BSV) 0.1 $352k 4.4k 80.88
iShares S&P SmallCap 600 Value Idx (IJS) 0.1 $339k 2.3k 150.00
iShares S&P 1500 Index Fund (ITOT) 0.1 $335k 5.0k 67.11
Tortoise Energy Infrastructure 0.1 $349k 17k 20.43
Vanguard Short Term Corporate Bond ETF (VCSH) 0.1 $349k 4.3k 80.97
Paypal Holdings (PYPL) 0.1 $339k 3.3k 103.61
Willis Towers Watson (WTW) 0.1 $345k 1.8k 192.95
Spdr Bloomberg Barclays High Yield Bond Etf etf (JNK) 0.1 $321k 3.0k 108.74
Berkshire Hathaway (BRK.A) 0.1 $312k 1.00 312000.00
Nike (NKE) 0.1 $297k 3.2k 94.08
Target Corporation (TGT) 0.1 $294k 2.8k 106.75
Prudential Financial (PRU) 0.1 $309k 3.4k 89.96
Vanguard European ETF (VGK) 0.1 $300k 5.6k 53.62
Vanguard Admiral Fds Inc equity (VOOG) 0.1 $283k 1.8k 161.71
Booking Holdings (BKNG) 0.1 $277k 141.00 1964.54
Ecolab (ECL) 0.1 $264k 1.3k 198.20
Bristol Myers Squibb (BMY) 0.1 $274k 5.4k 50.69
Wells Fargo & Company (WFC) 0.1 $242k 4.8k 50.53
Boeing Company (BA) 0.1 $235k 617.00 380.88
Gilead Sciences (GILD) 0.1 $260k 4.1k 63.28
EOG Resources (EOG) 0.1 $270k 3.6k 74.28
Clorox Company (CLX) 0.1 $234k 1.5k 152.15
SPDR Dow Jones Industrial Average ETF (DIA) 0.1 $253k 941.00 268.86
iShares S&P Natl AMTFr Mncpl Bd (MUB) 0.1 $253k 2.2k 114.27
Alerian Mlp Etf 0.1 $261k 29k 9.14
Cbre Group Inc Cl A (CBRE) 0.1 $270k 5.1k 52.97
Vaneck Vec Invt Grade Fltg Rate Etf etf/closed end fund (FLTR) 0.1 $254k 10k 25.27
Adobe Systems Incorporated (ADBE) 0.1 $231k 836.00 276.32
Morgan Stanley (MS) 0.1 $211k 5.0k 42.58
International Paper Company (IP) 0.1 $224k 5.4k 41.74
Emerson Electric (EMR) 0.1 $204k 3.0k 66.91
Valero Energy Corporation (VLO) 0.1 $230k 2.7k 85.37
Becton, Dickinson and (BDX) 0.1 $211k 836.00 252.39
Danaher Corporation (DHR) 0.1 $216k 1.5k 144.48
Starbucks Corporation (SBUX) 0.1 $226k 2.6k 88.25
Fifth Third Ban (FITB) 0.1 $231k 8.5k 27.32
Ventas (VTR) 0.1 $200k 2.7k 72.86
Energy Select Sector SPDR (XLE) 0.1 $209k 3.5k 59.12
Enbridge (ENB) 0.1 $208k 5.9k 35.09
Cambrex Corporation 0.1 $228k 3.8k 59.55
SPDR KBW Regional Banking (KRE) 0.1 $221k 4.2k 52.88
Financial Select Sector SPDR (XLF) 0.1 $226k 8.1k 27.97
Yamana Gold 0.1 $223k 70k 3.19
Vanguard Dividend Appreciation ETF (VIG) 0.1 $231k 1.9k 119.57
Semgroup Corp cl a 0.1 $196k 12k 16.36
Eaton Vance California Mun. Income Trust (CEV) 0.1 $219k 16k 13.44
Blackrock Muniyield California Ins Fund 0.1 $224k 16k 14.41
Vanguard Mortgage Bkd Sects ETF (VMBS) 0.1 $221k 4.1k 53.33
Pimco Exch Traded Fund (LDUR) 0.1 $220k 2.2k 100.23
Mortgage Reit Index real (REM) 0.1 $202k 4.8k 42.13
Invesco Qqq Trust Series 1 (QQQ) 0.1 $202k 1.1k 188.79
Linde 0.1 $200k 1.0k 193.61
Center Coast Mlp And Infrastructure unit 0.0 $160k 23k 7.11
General Electric Company 0.0 $123k 14k 8.94
DNP Select Income Fund (DNP) 0.0 $134k 10k 12.88
Corindus Vascular Robotics I 0.0 $91k 21k 4.30
Galectin Therapeutics (GALT) 0.0 $39k 11k 3.66
National Health Invs Inc note 0.0 $24k 20k 1.20
Northern Dynasty Minerals Lt (NAK) 0.0 $6.0k 10k 0.60
Mcewen Mining 0.0 $16k 10k 1.60
Seacor Holdings Inc note 2.500%12/1 0.0 $10k 10k 1.00
Colony Finl Inc Sr Nt Conv 3.875% 01/15/21 B/e Dtd 01/28/14 0.0 $15k 15k 1.00
Vector Group Ltd note 1.75% 4/15 0.0 $21k 20k 1.05
Acorda Therap note 1.75% 6/15 0.0 $12k 15k 0.80
Verint Sys Inc note 1.5% 6/1 0.0 $20k 20k 1.00
Echo Global Logistics Inc note 2.500% 5/0 0.0 $20k 20k 1.00
Gogo Inc conv 0.0 $15k 15k 1.00