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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
-4.01%
1 Year Est. Return
+30.89%
3 Year Est. Return
+69.18%
5 Year Est. Return
+67.82%
10 Year Est. Return
–
AUM
$306M
AUM Growth
-$18.5M
Cap. Flow
-$4.98M
Cap. Flow %
-1.63%
Top 10 Hldgs %
30.35%
Holding
208
New
8
Increased
95
Reduced
62
Closed
15

Top Buys

Rank Stock Value
1
NZF icon
Nuveen Municipal Credit Income Fund
NZF
+$2.55M
2
NVG icon
Nuveen AMT-Free Municipal Credit Income Fund
NVG
+$2.54M
3
MQY icon
BlackRock MuniYield Quality Fund
MQY
+$2.53M
4
SCHH icon
Schwab US REIT ETF
SCHH
+$1.19M
5
SHY icon
iShares 1-3 Year Treasury Bond ETF
SHY
+$917K

Top Sells

Rank Stock Value
1
AWF
AllianceBernstein Global High Income Fund
AWF
+$3.62M
2
ISD
PGIM High Yield Bond Fund
ISD
+$3.18M
3
NTRL
First Trust Equity Market Neutral ETF
NTRL
+$2.64M
4
GOOG icon
Alphabet (Google) Class C
GOOG
+$1.38M
5
BGH
Barings Global Short Duration High Yield Fund
BGH
+$1.35M

Sector Composition

Rank Sector Weight
1 Technology 6.32%
2 Healthcare 3.4%
3 Consumer Discretionary 3.27%
4 Real Estate 2.85%
5 Financials 2.75%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
AGG icon
126
iShares Core US Aggregate Bond ETF
AGG
$138B
$385K 0.13%
4,091
-272
-6% -$26.2K
ARKK icon
127
ARK Innovation ETF
ARKK
$6.31B
$384K 0.13%
9,670
– –
VCV icon
128
Invesco California Value Municipal Income Trust
VCV
$522M
$383K 0.13%
45,395
-727
-2% -$6.79K
QQQ icon
129
Invesco QQQ Trust
QQQ
$484B
$382K 0.13%
1,067
+10
+0.9% +$3.71K
WTW icon
130
Willis Towers Watson
WTW
$32B
$372K 0.12%
1,782
+8
+0.5% +$1.71K
DIA icon
131
State Street SPDR Dow Jones Industrial Average ETF Trust
DIA
$46.5B
$372K 0.12%
1,111
+96
+9% +$33.3K
IGSB icon
132
iShares 1-5 Year Investment Grade Corporate Bond ETF
IGSB
$23B
$364K 0.12%
7,300
– –
NTRS icon
133
Northern Trust
NTRS
$33.9B
$363K 0.12%
5,222
+5
+0.1% +$378
PECO icon
134
Phillips Edison & Co
PECO
$5.24B
$362K 0.12%
10,790
– –
XLF icon
135
State Street Financial Select Sector SPDR ETF
XLF
$58.2B
$357K 0.12%
10,756
+304
+3% +$10.5K
PCK
136
DELISTED
Pimco California Municipal Income Fund II
PCK
$352K 0.12%
70,157
+21
+0% +$120
MCD icon
137
McDonald's
MCD
$195B
$347K 0.11%
1,318
+289
+28% +$82.4K
SHM icon
138
State Street SPDR Nuveen ICE Short Term Municipal Bond ETF
SHM
$3.47B
$342K 0.11%
7,390
– –
MO icon
139
Altria Group
MO
$114B
$335K 0.11%
7,966
+450
+6% +$19.9K
UNP icon
140
Union Pacific
UNP
$174B
$333K 0.11%
1,637
+52
+3% +$11.3K
BIP icon
141
Brookfield Infrastructure Partners
BIP
$18B
$331K 0.11%
11,250
– –
IWF icon
142
iShares Russell 1000 Growth ETF
IWF
$128B
$309K 0.1%
4,652
-260
-5% -$18K
VUG icon
143
Vanguard Morningstar Growth ETF
VUG
$231B
$303K 0.1%
6,666
+2,106
+46% +$99.5K
IJH icon
144
iShares Core S&P Mid-Cap ETF
IJH
$127B
$301K 0.1%
6,040
-50
-0.8% -$2.62K
BR icon
145
Broadridge
BR
$19B
$300K 0.1%
1,675
+15
+0.9% +$2.66K
BMY icon
146
Bristol-Myers Squibb
BMY
$132B
$297K 0.1%
5,125
+380
+8% +$23.3K
PEP icon
147
PepsiCo
PEP
$190B
$297K 0.1%
1,755
+26
+2% +$4.72K
V icon
148
Visa
V
$677B
$292K 0.1%
1,271
+110
+9% +$26.4K
APO icon
149
Apollo Global Management
APO
$73.4B
$292K 0.1%
3,254
+22
+0.7% +$1.85K
DFUV icon
150
Dimensional US Marketwide Value ETF
DFUV
$15.8B
$292K 0.1%
8,579
+17
+0.2% +$596
4 5
6
7 8

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Vivaldi Capital Management's Q3 2023 Portfolio in Review

As of Q3 2023, Vivaldi Capital Management held 208 positions worth $306M, down 5.7% from $324M the previous quarter. Its ten largest holdings account for 30% of the portfolio.

Vivaldi Capital Management's Q3 2023 filing shows 8 new, 95 increased, 62 reduced and 15 closed positions. Its largest new stake was Nuveen Municipal Credit Income Fund: 225,525 shares worth $2.35M. The largest sale was AllianceBernstein Global High Income Fund, an estimated $3.62M.

By sector, the portfolio is most concentrated in Technology at 6.3% of assets, down from 6.4% a quarter earlier, followed by Healthcare and Consumer Discretionary.

  • Vivaldi Capital Management's largest Q3 2023 buy was Nuveen Municipal Credit Income Fund: 225,525 shares worth $2.35M.
  • Vivaldi Capital Management added most to iShares 1-3 Year Treasury Bond ETF in Q3 2023, an estimated $917K increase.
  • Vivaldi Capital Management's biggest Q3 2023 reduction was PGIM High Yield Bond Fund, cutting an estimated $3.18M.
  • Vivaldi Capital Management fully exited AllianceBernstein Global High Income Fund in Q3 2023, selling an estimated $3.62M.
  • Vivaldi Capital Management's ten largest holdings make up 30% of its $306M portfolio in Q3 2023.
  • Vivaldi Capital Management opened 8 new positions and closed 15 in Q3 2023.
  • Vivaldi Capital Management's portfolio value fell 5.7% quarter-over-quarter to $306M.

Based on Vivaldi Capital Management's 13F filing for Q3 2023, filed 14 Nov 2023.