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VCM

Vivaldi Capital Management Portfolio holdings

AUM $723M
1-Year Est. Return 30.89%
This Fund
S&P 500
This Quarter Est. Return
-8.3%
1 Year Est. Return
+30.89%
3 Year Est. Return
+69.18%
5 Year Est. Return
+67.82%
10 Year Est. Return
–
AUM
$232M
AUM Growth
+$44.8M
Cap. Flow
+$62.7M
Cap. Flow %
27.03%
Top 10 Hldgs %
38.97%
Holding
231
New
86
Increased
72
Reduced
31
Closed
31

Top Buys

Rank Stock Value
1
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$9.34M
2
FPA icon
First Trust Asia Pacific ex-Japan AlphaDEX Fund
FPA
+$6.74M
3
EFA icon
iShares MSCI EAFE ETF
EFA
+$6.44M
4
IBDL
iShares iBonds Dec 2020 Term Corporate ETF
IBDL
+$3.82M
5
IBDK
iShares iBonds Dec 2019 Term Corporate ETF
IBDK
+$3.57M

Top Sells

Rank Stock Value
1
VAM
Vivaldi Opportunities Fund
VAM
+$11.2M
2
RILY icon
BRC Group Holdings
RILY
+$5.66M
3
COL
Rockwell Collins
COL
+$2.23M
4
PF
Pinnacle Foods, Inc.
PF
+$2.06M
5
AET
Aetna Inc
AET
+$2.02M

Sector Composition

Rank Sector Weight
1 Financials 3.73%
2 Healthcare 2.72%
3 Technology 2.14%
4 Communication Services 2.14%
5 Energy 1.06%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
IJH icon
26
iShares Core S&P Mid-Cap ETF
IJH
$122B
$2.26M 0.97%
68,000
+60,790
+843% +$2.22M
SPMD icon
27
State Street SPDR Portfolio S&P 400 Mid Cap ETF
SPMD
$18.2B
$2.09M 0.9%
71,056
+1,924
+3% +$62.6K
AAPL icon
28
Apple
AAPL
$4.54T
$2.06M 0.89%
52,316
+17,876
+52% +$867K
KLDW
29
DELISTED
Knowledge Leaders Developed World ETF
KLDW
$2.04M 0.88%
+70,405
New +$2.22M
DTF
30
DTF Tax-Free Income 2028 Term Fund
DTF
$80.3M
$1.85M 0.8%
149,555
+20,604
+16% +$258K
JPM icon
31
JPMorgan Chase
JPM
$935B
$1.7M 0.73%
17,374
+15,219
+706% +$1.62M
SHPG
32
DELISTED
Shire pic
SHPG
$1.68M 0.72%
+9,651
New +$1.69M
MHI
33
DELISTED
Pioneer Municipal High Income Fund
MHI
$1.66M 0.72%
151,422
+21,412
+16% +$233K
BRK.B icon
34
Berkshire Hathaway Class B
BRK.B
$1.1T
$1.57M 0.68%
7,686
+3,507
+84% +$733K
SABA
35
Saba Capital Income & Opportunities Fund II
SABA
$220M
$1.47M 0.64%
122,247
+21,080
+21% +$258K
AAXJ icon
36
iShares MSCI All Country Asia ex Japan ETF
AAXJ
$3.68B
$1.45M 0.63%
+22,833
New +$1.48M
GHY
37
PGIM Global High Yield Fund
GHY
$478M
$1.45M 0.62%
112,143
+18,845
+20% +$251K
FLTR icon
38
VanEck IG Floating Rate ETF
FLTR
$2.94B
$1.45M 0.62%
+58,589
New +$1.47M
SPEM icon
39
State Street SPDR Portfolio Emerging Markets ETF
SPEM
$17.2B
$1.4M 0.6%
43,184
+1,572
+4% +$51.8K
HIO
40
Western Asset High Income Opportunity Fund
HIO
$336M
$1.4M 0.6%
318,812
+56,881
+22% +$259K
AWF
41
AllianceBernstein Global High Income Fund
AWF
$870M
$1.38M 0.59%
130,977
+23,542
+22% +$259K
NAD icon
42
Nuveen Quality Municipal Income Fund
NAD
$2.74B
$1.36M 0.59%
108,715
+17,951
+20% +$224K
IWR icon
43
iShares Russell Mid-Cap ETF
IWR
$56B
$1.36M 0.59%
29,312
+17,504
+148% +$883K
VLP
44
DELISTED
Valero Energy Partners LP
VLP
$1.34M 0.58%
+31,851
New +$1.32M
VVC
45
DELISTED
Vectren Corporation
VVC
$1.34M 0.58%
18,618
+11,834
+174% +$848K
TFCFA
46
DELISTED
Twenty-First Century Fox, Inc. Class A
TFCFA
$1.34M 0.58%
27,761
-3,039
-10% -$144K
NHS
47
Neuberger High Yield Strategies Fund Inc
NHS
$251M
$1.33M 0.58%
137,991
+25,625
+23% +$264K
HIX
48
Western Asset High Income Fund II
HIX
$349M
$1.29M 0.56%
224,371
+39,282
+21% +$238K
SPDW icon
49
State Street SPDR Portfolio Developed World ex-US ETF
SPDW
$40.2B
$1.27M 0.55%
48,078
-703
-1% -$19.8K
SCHX icon
50
Schwab US Large- Cap ETF
SCHX
$71.8B
$1.23M 0.53%
123,090
-10,158
-8% -$109K
1
2
3 4 5

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Vivaldi Capital Management's Q4 2018 Portfolio in Review

As of Q4 2018, Vivaldi Capital Management held 231 positions worth $232M, up 24% from $187M the previous quarter. Its ten largest holdings account for 39% of the portfolio.

Vivaldi Capital Management deployed $62.7M of net new capital in Q4 2018, opening 86 new positions and adding to 72 existing holdings. Its largest new stake was First Trust Asia Pacific ex-Japan AlphaDEX Fund: 237,669 shares worth $6.47M.

By sector, the portfolio is most concentrated in Financials at 3.7% of assets, down from 6.2% a quarter earlier, followed by Healthcare and Technology.

On the sell side, the largest reduction was Vivaldi Opportunities Fund, an estimated $11.2M trimmed.

  • Vivaldi Capital Management's largest Q4 2018 buy was First Trust Asia Pacific ex-Japan AlphaDEX Fund: 237,669 shares worth $6.47M.
  • Vivaldi Capital Management added most to State Street SPDR S&P 500 ETF Trust in Q4 2018, an estimated $9.34M increase.
  • Vivaldi Capital Management's biggest Q4 2018 reduction was Vivaldi Opportunities Fund, cutting an estimated $11.2M.
  • Vivaldi Capital Management fully exited BRC Group Holdings in Q4 2018, selling an estimated $5.66M.
  • Vivaldi Capital Management's ten largest holdings make up 39% of its $232M portfolio in Q4 2018.
  • Vivaldi Capital Management opened 86 new positions and closed 31 in Q4 2018.
  • Vivaldi Capital Management's portfolio value rose 24% quarter-over-quarter to $232M.

Based on Vivaldi Capital Management's 13F filing for Q4 2018, filed 13 Feb 2019.