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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
-0.83%
1 Year Est. Return
+30.89%
3 Year Est. Return
+69.18%
5 Year Est. Return
+67.82%
10 Year Est. Return
–
AUM
$462M
AUM Growth
-$36.5M
Cap. Flow
-$24.9M
Cap. Flow %
-5.39%
Top 10 Hldgs %
36.74%
Holding
401
New
56
Increased
41
Reduced
76
Closed
66

Top Buys

Rank Stock Value
1
GE icon
GE Aerospace
GE
+$1.62M
2
ALTA
Altabancorp
ALTA
+$976K
3
CMF icon
iShares California Muni Bond ETF
CMF
+$732K
4
FBC
Flagstar Bancorp, Inc. New
FBC
+$587K
5
CSOD
Cornerstone OnDemand, Inc.
CSOD
+$582K

Top Sells

Rank Stock Value
1
FINS
Angel Oak Financial Strategies Income Term Trust
FINS
+$10.4M
2
MYI icon
BlackRock MuniYield Quality Fund III
MYI
+$2.06M
3
NAD icon
Nuveen Quality Municipal Income Fund
NAD
+$1.9M
4
NEA icon
Nuveen AMT-Free Quality Municipal Income Fund
NEA
+$1.89M
5
MINT icon
PIMCO Enhanced Short Maturity Active Exchange-Traded Fund
MINT
+$1.46M

Sector Composition

Rank Sector Weight
1 Financials 5.34%
2 Technology 4.16%
3 Consumer Discretionary 3.39%
4 Healthcare 2.28%
5 Communication Services 1.54%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
VT icon
51
Vanguard Total World Stock ETF
VT
$79.1B
$2.12M 0.46%
20,837
+45
+0.2% +$4.72K
SCHE icon
52
Schwab Emerging Markets Equity ETF
SCHE
$12.8B
$2.08M 0.45%
68,151
-1,386
-2% -$43.3K
DNP icon
53
DNP Select Income Fund
DNP
$4.05B
$1.94M 0.42%
182,354
– –
ICF icon
54
iShares Select U.S. REIT ETF
ICF
$2.08B
$1.88M 0.41%
28,773
-19
-0.1% -$1.3K
GOOG icon
55
Alphabet (Google) Class C
GOOG
$4.36T
$1.86M 0.4%
14,000
– –
GE icon
56
GE Aerospace
GE
$389B
$1.86M 0.4%
28,970
+25,188
+666% +$1.62M
SCHA icon
57
Schwab U.S Small- Cap ETF
SCHA
$22.8B
$1.85M 0.4%
73,752
+3,036
+4% +$77.1K
MLPA icon
58
Global X MLP ETF
MLPA
$2.28B
$1.82M 0.39%
51,578
+1,678
+3% +$59.2K
LYFT icon
59
Lyft
LYFT
$6.19B
$1.79M 0.39%
33,408
– –
IWD icon
60
iShares Russell 1000 Value ETF
IWD
$83.2B
$1.72M 0.37%
10,986
+2
+0% +$321
IWF icon
61
iShares Russell 1000 Growth ETF
IWF
$127B
$1.69M 0.37%
24,632
– –
PFE icon
62
Pfizer
PFE
$149B
$1.65M 0.36%
38,396
-248
-0.6% -$11K
BFZ
63
DELISTED
BlackRock CA Municipal Income Trust
BFZ
$1.57M 0.34%
106,512
-749
-0.7% -$11.2K
EVM
64
DELISTED
Eaton Vance California Municipal Bond Fund
EVM
$1.55M 0.34%
130,185
-856
-0.7% -$10.3K
IEFA icon
65
iShares Core MSCI EAFE ETF
IEFA
$194B
$1.55M 0.34%
20,929
– –
BRK.B icon
66
Berkshire Hathaway Class B
BRK.B
$1.13T
$1.53M 0.33%
5,592
+9
+0.2% +$2.53K
DHI icon
67
D.R. Horton
DHI
$40.8B
$1.49M 0.32%
17,749
– –
VIG icon
68
Vanguard Dividend Appreciation ETF
VIG
$114B
$1.49M 0.32%
9,690
-330
-3% -$52.6K
SCHM icon
69
Schwab US Mid-Cap ETF
SCHM
$14.9B
$1.47M 0.32%
57,648
+2,985
+5% +$78K
TMO icon
70
Thermo Fisher Scientific
TMO
$214B
$1.39M 0.3%
2,429
-78
-3% -$42.8K
MYC
71
DELISTED
Blackrock Muni Yield California Fund, Inc.
MYC
$1.3M 0.28%
85,451
-598
-0.7% -$9.25K
NBW
72
DELISTED
Neuberger Berman California Municipal Fund Inc.
NBW
$1.28M 0.28%
89,588
-626
-0.7% -$9.13K
FNOV icon
73
FT Vest US Equity Buffer ETF November
FNOV
$1.23B
$1.18M 0.25%
30,890
– –
AAXJ icon
74
iShares MSCI All Country Asia ex Japan ETF
AAXJ
$3.74B
$1.14M 0.25%
13,370
– –
IEMG icon
75
iShares Core MSCI Emerging Markets ETF
IEMG
$155B
$1.13M 0.25%
18,362
– –
1 2
3
4 5

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Vivaldi Capital Management's Q3 2021 Portfolio in Review

As of Q3 2021, Vivaldi Capital Management held 401 positions worth $462M, down 7.3% from $498M the previous quarter. Its ten largest holdings account for 37% of the portfolio.

Vivaldi Capital Management withdrew a net $24.9M in Q3 2021, closing 66 positions and reducing 76 holdings. Its most notable exit was PRA Health Sciences, Inc., an estimated $1.17M position sold in full.

By sector, the portfolio is most concentrated in Financials at 5.3% of assets, up from 4.2% a quarter earlier, followed by Technology and Consumer Discretionary.

Against the trend, Vivaldi Capital Management opened a new position in Altabancorp worth $1.04M.

  • Vivaldi Capital Management's largest Q3 2021 buy was Altabancorp: 23,547 shares worth $1.04M.
  • Vivaldi Capital Management added most to GE Aerospace in Q3 2021, an estimated $1.62M increase.
  • Vivaldi Capital Management's biggest Q3 2021 reduction was Angel Oak Financial Strategies Income Term Trust, cutting an estimated $10.4M.
  • Vivaldi Capital Management fully exited PRA Health Sciences, Inc. in Q3 2021, selling an estimated $1.17M.
  • Vivaldi Capital Management's ten largest holdings make up 37% of its $462M portfolio in Q3 2021.
  • Vivaldi Capital Management opened 56 new positions and closed 66 in Q3 2021.
  • Vivaldi Capital Management's portfolio value fell 7.3% quarter-over-quarter to $462M.

Based on Vivaldi Capital Management's 13F filing for Q3 2021, filed 16 Nov 2021.