Vivaldi Capital Management

Vivaldi Capital Management as of March 31, 2020

Portfolio Holdings for Vivaldi Capital Management

Vivaldi Capital Management holds 203 positions in its portfolio as reported in the March 2020 quarterly 13F filing

Company (Ticker) Portfolio Weight Valued At Change in Shares Share Count Share Price
Vivaldi Opportunities 10.6 $47M 4.2M 11.12
Spdr Ser Tr 1 3 hgh yield (BIL) 9.7 $43M 467k 91.63
iShares Lehman 1-3 Year Treas.Bond (SHY) 7.0 $31M 360k 86.67
Schwab Strategic Tr sht tm us tres (SCHO) 7.0 $31M 602k 51.73
Spdr S&p 500 Etf (SPY) 2.7 $12M 47k 257.76
Facebook Inc cl a (META) 2.4 $11M 64k 166.79
SPDR S&P World ex-US (SPDW) 2.3 $10M 422k 23.94
SPDR DJ Wilshire Large Cap (SPLG) 2.1 $9.4M 310k 30.25
Blackrock Muni Intermediate Drtn Fnd (MUI) 1.9 $8.4M 646k 13.06
Blackrock Muniyield Insured Fund (MYI) 1.8 $8.0M 628k 12.78
iShares MSCI ACWI Index Fund (ACWI) 1.7 $7.7M 122k 62.57
AllianceBernstein Natnl Muncpl Incm Fnd. (AFB) 1.4 $6.4M 502k 12.75
Schwab U S Broad Market ETF (SCHB) 1.3 $5.9M 97k 60.43
Vanguard Total Stock Market ETF (VTI) 1.2 $5.5M 42k 128.90
iShares S&P 500 Index (IVV) 1.2 $5.4M 21k 258.41
Dws Municipal Income Cf non-tax cef (KTF) 1.2 $5.2M 481k 10.78
Nuveen Div. Advantage Muni. Fund (NAD) 1.1 $5.0M 367k 13.74
Nuveen Insured Tax-Free Adv Munici (NEA) 1.1 $5.0M 371k 13.54
iShares MSCI EAFE Index Fund (EFA) 1.0 $4.6M 85k 53.45
Apple (AAPL) 1.0 $4.3M 17k 254.27
Pgim Short Duration High Yie (ISD) 1.0 $4.3M 368k 11.58
Eaton Vance Limited Duration Income Fund (EVV) 0.9 $4.2M 398k 10.57
Nuveen Insd Dividend Advantage (NVG) 0.9 $4.2M 283k 14.68
Vanguard Europe Pacific ETF (VEA) 0.9 $4.0M 120k 33.34
Invesco Van Kampen Municipal Trust (VKQ) 0.9 $3.9M 332k 11.70
SPDR S&P Emerging Markets (SPEM) 0.8 $3.7M 132k 28.46
Invesco Van Kampen Senior Income Trust (VVR) 0.8 $3.7M 1.1M 3.22
Spdr Ser Tr spdr russel 2000 (SPSM) 0.8 $3.6M 163k 21.84
SPDR DJ Wilshire Mid Cap (SPMD) 0.7 $3.3M 131k 25.33
First Tr Exch Trd Alpha Fd I (FPA) 0.7 $3.0M 153k 19.84
iShares Gold Trust 0.7 $3.0M 201k 15.07
Pgim Global Short Duration H (GHY) 0.7 $3.0M 270k 11.06
Invesco Quality Municipal Inc Trust (IQI) 0.7 $3.0M 253k 11.71
Invesco Insured Municipal Income Trust (IIM) 0.7 $3.0M 209k 14.14
Microsoft Corporation (MSFT) 0.6 $2.8M 18k 157.74
Vanguard Emerging Markets ETF (VWO) 0.6 $2.7M 81k 33.54
Vanguard S&p 500 Etf idx (VOO) 0.6 $2.7M 11k 236.83
Templeton Global Income Fund 0.6 $2.6M 493k 5.35
Vanguard Dividend Appreciation ETF (VIG) 0.6 $2.6M 25k 103.41
JPMorgan Chase & Co. (JPM) 0.5 $2.4M 27k 90.03
AllianceBernstein Global Hgh Incm (AWF) 0.5 $2.4M 262k 9.26
iShares Dow Jones Select Dividend (DVY) 0.5 $2.3M 31k 73.55
Procter & Gamble Company (PG) 0.5 $2.2M 20k 109.99
Invesco Van Kampen Dyn Cr Opp Fund 0.5 $2.2M 279k 7.98
Vanguard Mid-Cap ETF (VO) 0.5 $2.0M 15k 131.63
iShares S&P 100 Index (OEF) 0.5 $2.0M 17k 118.62
Schwab International Equity ETF (SCHF) 0.5 $2.0M 78k 25.84
BlackRock Insured Municipal Income Trust (BYM) 0.5 $2.0M 152k 13.25
Eaton Vance Senior Floating Rate Fund (EFR) 0.5 $2.0M 203k 9.88
Lyft (LYFT) 0.4 $1.9M 73k 26.85
iShares Russell 2000 Index (IWM) 0.4 $1.9M 16k 114.43
Schwab Strategic Tr us lrg cap etf (SCHX) 0.4 $1.8M 29k 61.24
Schwab Emerging Markets Equity ETF (SCHE) 0.4 $1.7M 83k 20.69
Allergan 0.4 $1.7M 9.6k 177.14
Pra (PRAA) 0.4 $1.7M 61k 27.72
iShares S&P MidCap 400 Index (IJH) 0.4 $1.6M 11k 143.89
Pfizer (PFE) 0.4 $1.6M 48k 32.64
Gavekal Knowledge Leaders Deve 0.3 $1.5M 52k 28.83
Vanguard Small-Cap ETF (VB) 0.3 $1.4M 13k 115.44
Eaton Vance Municipal Bond Fund (EIM) 0.3 $1.4M 116k 12.48
iShares Russell Midcap Index Fund (IWR) 0.3 $1.4M 33k 43.17
Blackrock MuniHoldings CA Insrd Fnd (MUC) 0.3 $1.4M 105k 13.33
Eaton Vance Cali Muni Bnd Fnd (EVM) 0.3 $1.4M 130k 10.55
Blackrock California Mun. Income Trust (BFZ) 0.3 $1.4M 108k 12.69
Blackrock Muniyield Quality Fund II (MQT) 0.3 $1.3M 109k 12.35
iShares Cohen & Steers Realty Maj. (ICF) 0.3 $1.3M 15k 91.57
SPDR Gold Trust (GLD) 0.3 $1.3M 8.9k 148.03
Berkshire Hathaway (BRK.B) 0.3 $1.2M 6.8k 182.76
Tesla Motors (TSLA) 0.3 $1.2M 2.3k 523.85
Abbvie (ABBV) 0.3 $1.2M 16k 76.19
Neuberger Ber. CA Intermediate Muni Fund 0.3 $1.2M 89k 13.15
BlackRock MuniYield California Fund 0.3 $1.2M 88k 13.23
Global X Fds glbl x mlp etf 0.3 $1.2M 368k 3.15
Thermo Fisher Scientific (TMO) 0.3 $1.1M 4.0k 283.59
Abbott Laboratories (ABT) 0.3 $1.1M 14k 78.93
DTF Tax Free Income (DTF) 0.2 $1.1M 79k 13.95
Brookfield Asset Management 0.2 $1.1M 25k 44.26
Schwab Strategic Tr us aggregate b (SCHZ) 0.2 $1.1M 20k 54.25
BlackRock MuniHolding Insured Investm 0.2 $1.0M 79k 13.08
Gaming & Leisure Pptys (GLPI) 0.2 $1.0M 37k 27.72
Ishares Core Msci Eafe Etf core msci eafe (IEFA) 0.2 $998k 20k 49.90
iShares Russell 1000 Value Index (IWD) 0.2 $973k 9.8k 99.15
3M Company (MMM) 0.2 $965k 7.1k 136.55
iShares Russell 1000 Growth Index (IWF) 0.2 $927k 6.2k 150.63
iShares S&P 1500 Index Fund (ITOT) 0.2 $927k 16k 57.23
Nuveen Barclays Shrt Term Muni bdfund (SHM) 0.2 $918k 19k 48.90
CBOE Holdings (CBOE) 0.2 $894k 10k 89.24
UnitedHealth (UNH) 0.2 $887k 3.6k 249.30
Alphabet Inc Class C cs (GOOG) 0.2 $878k 755.00 1162.91
Angel Oak Financial (FINS) 0.2 $867k 51k 17.10
Johnson & Johnson (JNJ) 0.2 $789k 6.0k 131.13
Vanguard Mun Bd Fd Inc tax-exempt bd (VTEB) 0.2 $772k 15k 52.91
Cme (CME) 0.2 $759k 4.4k 172.93
Ishares Tr Dec 2020 0.2 $757k 30k 25.21
Ishares Inc core msci emkt (IEMG) 0.2 $749k 19k 40.48
Ishares Tr ibnd dec23 etf 0.2 $747k 30k 25.01
iShares S&P SmallCap 600 Index (IJR) 0.2 $741k 13k 56.09
First Tr Exch Traded Fd Iii merger arbitra (MARB) 0.2 $730k 38k 19.25
Blackrock Muniyield California Ins Fund 0.2 $720k 53k 13.52
Ishares Tr ibnd dec21 etf 0.2 $710k 29k 24.64
Pepsi (PEP) 0.2 $709k 5.9k 120.13
Walt Disney Company (DIS) 0.2 $693k 7.2k 96.65
Schwab U S Small Cap ETF (SCHA) 0.2 $687k 13k 51.51
Ishares Tr core msci intl (IDEV) 0.2 $683k 15k 44.28
Nuveen CA Dividend Advantage Muni. Fund (NAC) 0.2 $677k 49k 13.70
Vanguard Total World Stock Idx (VT) 0.1 $658k 11k 62.77
Amazon (AMZN) 0.1 $638k 327.00 1951.07
At&t (T) 0.1 $632k 22k 29.15
Vanguard European ETF (VGK) 0.1 $617k 14k 43.31
Doubleline Income Solutions (DSL) 0.1 $609k 46k 13.35
iShares MSCI Cntry Asa Jpn Idx Fnd (AAXJ) 0.1 $608k 10k 59.74
iShares Lehman Aggregate Bond (AGG) 0.1 $601k 5.2k 115.38
Sch Us Mid-cap Etf etf (SCHM) 0.1 $596k 14k 42.18
Costco Wholesale Corporation (COST) 0.1 $551k 1.9k 285.05
Chevron Corporation (CVX) 0.1 $550k 7.6k 72.46
Ishares Tr Ibonds December 2022 Corp Etf 0.1 $550k 22k 24.78
Honeywell International (HON) 0.1 $533k 4.0k 133.75
Nextera Energy (NEE) 0.1 $509k 2.1k 240.43
iShares Barclays 1-3 Year Cred Bd Fd ETF (IGSB) 0.1 $508k 9.7k 52.37
IAC/InterActive 0.1 $507k 2.8k 179.22
Exxon Mobil Corporation (XOM) 0.1 $497k 13k 38.00
Schwab Strategic Tr us dividend eq (SCHD) 0.1 $482k 11k 44.96
Intel Corporation (INTC) 0.1 $479k 8.8k 54.14
Verizon Communications (VZ) 0.1 $468k 8.7k 53.68
WABCO Holdings 0.1 $458k 3.4k 135.14
Northern Trust Corporation (NTRS) 0.1 $454k 6.0k 75.47
Alphabet Inc Class A cs (GOOGL) 0.1 $450k 387.00 1162.79
Schwab Intl Small Cap Equity ETF (SCHC) 0.1 $443k 18k 24.39
Sch Fnd Em Lg Etf schb fdt emk lg (FNDE) 0.1 $437k 21k 20.58
Ishares Tr core intl aggr (IAGG) 0.1 $428k 7.8k 54.68
Accenture (ACN) 0.1 $428k 2.6k 163.17
IQ Hedge Multi-Strategy Tracker (QAI) 0.1 $428k 15k 28.44
Visa (V) 0.1 $414k 2.6k 161.28
Sprott Physical Gold & S (CEF) 0.1 $403k 28k 14.61
Vanguard Pacific ETF (VPL) 0.1 $386k 7.0k 55.21
Coca-Cola Company (KO) 0.1 $365k 8.3k 44.09
Home Depot (HD) 0.1 $365k 2.0k 186.51
Technology SPDR (XLK) 0.1 $361k 4.5k 80.45
First Tr Exchng Traded Fd Vi vest us deep (DAUG) 0.1 $360k 13k 27.93
Brookfield Infrastructure Part (BIP) 0.1 $360k 10k 36.00
International Business Machines (IBM) 0.1 $356k 3.2k 111.08
iShares MSCI Emerging Markets Indx (EEM) 0.1 $353k 10k 34.16
Merck & Co (MRK) 0.1 $344k 4.5k 76.70
iShares Dow Jones US Technology (IYW) 0.1 $336k 1.6k 204.63
Cisco Systems (CSCO) 0.1 $328k 8.3k 39.35
Amgen (AMGN) 0.1 $327k 1.6k 202.85
Exchange Listed Fds Tr saba int rate (CEFS) 0.1 $324k 21k 15.25
Vanguard Short Term Corporate Bond ETF (VCSH) 0.1 $321k 4.1k 79.03
Comcast Corporation (CMCSA) 0.1 $314k 9.1k 34.32
iShares S&P Natl AMTFr Mncpl Bd (MUB) 0.1 $309k 2.7k 113.19
McDonald's Corporation (MCD) 0.1 $309k 1.9k 165.24
Wal-Mart Stores (WMT) 0.1 $307k 2.7k 113.12
Willis Towers Watson (WTW) 0.1 $296k 1.7k 169.72
Paypal Holdings (PYPL) 0.1 $290k 3.0k 95.68
iShares Dow Jones EPAC Sel Div Ind (IDV) 0.1 $289k 13k 22.57
Bristol Myers Squibb (BMY) 0.1 $284k 5.1k 55.72
iShares Russell 1000 Index (IWB) 0.1 $281k 2.0k 141.35
Gilead Sciences (GILD) 0.1 $280k 3.7k 74.81
Spdr Bloomberg Barclays High Yield Bond Etf etf (JNK) 0.1 $280k 3.0k 94.85
Berkshire Hathaway (BRK.A) 0.1 $272k 1.00 272000.00
Citigroup (C) 0.1 $263k 6.2k 42.15
Vanguard Admiral Fds Inc equity (VOOG) 0.1 $260k 1.8k 148.57
MasterCard Incorporated (MA) 0.1 $258k 1.1k 241.35
Apex Technology Acquisitn Co unit 06/11/2026 0.1 $254k 25k 10.16
Vanguard Intl Equity Index F glb ex us etf (VNQI) 0.1 $252k 5.9k 42.88
U.S. Bancorp (USB) 0.1 $250k 7.3k 34.45
iShares S&P Global Infrastructure Index (IGF) 0.1 $249k 7.3k 34.15
D First Tr Exchange-traded (FPE) 0.1 $246k 15k 16.40
Clorox Company (CLX) 0.1 $243k 1.4k 172.95
LogMeIn 0.1 $239k 2.9k 83.16
Exchange Traded Concepts Tr Em emqq em intern (EMQQ) 0.1 $233k 7.4k 31.57
Vanguard Total Bond Market ETF (BND) 0.1 $227k 2.7k 85.40
ISHARES TR MSCI Small Cap msci small cap (SCZ) 0.1 $225k 5.0k 44.75
Forty Seven 0.0 $220k 2.3k 95.40
Indexiq Etf Tr (ROOF) 0.0 $216k 14k 15.93
NVIDIA Corporation (NVDA) 0.0 $215k 816.00 263.48
Align Technology (ALGN) 0.0 $214k 1.2k 173.70
Adobe Systems Incorporated (ADBE) 0.0 $210k 661.00 317.70
Vanguard Charlotte Fds intl bd idx etf (BNDX) 0.0 $207k 3.7k 56.36
Nike (NKE) 0.0 $205k 2.5k 82.50
Tech Data Corporation 0.0 $205k 1.6k 131.07
Invesco Qqq Trust Series 1 (QQQ) 0.0 $204k 1.1k 190.12
Rivernorth Marketplace Lendi (RSF) 0.0 $198k 12k 16.13
Gx Acquisition Corp 0.0 $196k 20k 9.80
Alerian Mlp Etf 0.0 $192k 56k 3.45
Newell Rubbermaid (NWL) 0.0 $142k 11k 13.31
Kayne Anderson MLP Investment (KYN) 0.0 $140k 39k 3.63
Energy Transfer Equity (ET) 0.0 $120k 26k 4.61
General Electric Company 0.0 $115k 14k 7.97
DNP Select Income Fund (DNP) 0.0 $102k 10k 9.81
Invesco Exchange Traded Fd T gbl listed pvt 0.0 $85k 11k 8.13
Servicesource 0.0 $33k 38k 0.88
Enlink Midstream (ENLC) 0.0 $24k 21k 1.12
Biohitech Global (RENO) 0.0 $24k 19k 1.28
Galectin Therapeutics (GALT) 0.0 $21k 11k 1.97
Vector Group Ltd note 1.75% 4/15 0.0 $20k 20k 1.00
Echo Global Logistics Inc note 2.500% 5/0 0.0 $20k 20k 1.00
National Health Invs Inc note 0.0 $19k 20k 0.95
Verint Sys Inc note 1.5% 6/1 0.0 $19k 20k 0.95
Acorda Therap note 1.75% 6/15 0.0 $13k 15k 0.87
Seacor Holdings Inc note 2.500%12/1 0.0 $9.0k 10k 0.90
Mcewen Mining 0.0 $7.0k 10k 0.70
Northern Dynasty Minerals Lt (NAK) 0.0 $4.0k 10k 0.40