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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
+3.83%
1 Year Est. Return
+30.89%
3 Year Est. Return
+69.18%
5 Year Est. Return
+67.82%
10 Year Est. Return
–
AUM
$506M
AUM Growth
+$38M
Cap. Flow
+$9.81M
Cap. Flow %
1.94%
Top 10 Hldgs %
35%
Holding
442
New
137
Increased
52
Reduced
133
Closed
83

Top Buys

Rank Stock Value
1
LMBS icon
First Trust Exchange-Traded Fund IV First Trust Low Duration Opportunities ETF
LMBS
+$24.3M
2
MINT icon
PIMCO Enhanced Short Maturity Active Exchange-Traded Fund
MINT
+$12.6M
3
SUB icon
iShares Short-Term National Muni Bond ETF
SUB
+$5.86M
4
RSF
RiverNorth Capital and Income Fund
RSF
+$1.81M
5
ARKK icon
ARK Innovation ETF
ARKK
+$1.4M

Top Sells

Rank Stock Value
1
AFB
AllianceBernstein National Municipal Income Fund
AFB
+$6.54M
2
SCHO icon
Schwab Short-Term US Treasury ETF
SCHO
+$6.27M
3
SHY icon
iShares 1-3 Year Treasury Bond ETF
SHY
+$6.11M
4
JFR icon
Nuveen Floating Rate Income Fund
JFR
+$3.98M
5
SABA
Saba Capital Income & Opportunities Fund II
SABA
+$2.52M

Sector Composition

Rank Sector Weight
1 Financials 4.26%
2 Technology 3.93%
3 Consumer Discretionary 2.25%
4 Healthcare 2.1%
5 Communication Services 1.74%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
RPM icon
176
RPM International
RPM
$15B
$349K 0.07%
3,600
– –
FNDE icon
177
Schwab Fundamental Emerging Markets Large Company Index ETF
FNDE
$9.81B
$340K 0.07%
10,832
-713
-6% -$21.4K
FDEC icon
178
FT Vest US Equity Buffer ETF December
FDEC
$1.35B
$339K 0.07%
+10,398
New +$324K
PS
179
DELISTED
Pluralsight, Inc. Class A Common Stock
PS
$339K 0.07%
+15,186
New +$326K
UNP icon
180
Union Pacific
UNP
$174B
$337K 0.07%
1,477
-21
-1% -$4.41K
SCZ icon
181
iShares MSCI EAFE Small-Cap ETF
SCZ
$13.7B
$333K 0.07%
4,462
-137
-3% -$9.72K
EMLP icon
182
First Trust North American Energy Infrastructure Fund
EMLP
$4.08B
$326K 0.06%
13,358
– –
NKE icon
183
Nike
NKE
$61.9B
$326K 0.06%
2,401
-95
-4% -$13.2K
HMSY
184
DELISTED
HMS Holdings Corp.
HMSY
$325K 0.06%
+8,785
New +$323K
CEF icon
185
Sprott Physical Gold and Silver Trust
CEF
$8.06B
$323K 0.06%
16,487
-1,605
-9% -$29.7K
SCHC icon
186
Schwab International Small-Cap Equity ETF
SCHC
$5.66B
$323K 0.06%
7,781
-205
-3% -$8K
BMY icon
187
Bristol-Myers Squibb
BMY
$132B
$322K 0.06%
4,964
-1,465
-23% -$91.1K
PRSP
188
DELISTED
Perspecta Inc. Common Stock
PRSP
$316K 0.06%
+10,893
New +$307K
PBW icon
189
Invesco WilderHill Clean Energy ETF
PBW
$429M
$314K 0.06%
+4,168
New +$476K
ROBO icon
190
ROBO Global Robotics & Automation Index ETF
ROBO
$2.1B
$308K 0.06%
4,978
+1,239
+33% +$81.5K
MSI icon
191
Motorola Solutions
MSI
$77.4B
$303K 0.06%
1,501
– –
NVDA icon
192
NVIDIA
NVDA
$5.42T
$299K 0.06%
21,000
-19,160
-48% -$258K
BNY
193
Bank of New York Mellon
BNY
$107B
$298K 0.06%
5,758
– –
JNK icon
194
State Street SPDR Bloomberg High Yield Bond ETF
JNK
$6.92B
$298K 0.06%
2,742
– –
CMI icon
195
Cummins
CMI
$88.7B
$285K 0.06%
+1,072
New +$268K
VCIT icon
196
Vanguard Intermediate-Term Corporate Bond ETF
VCIT
$66.3B
$283K 0.06%
3,010
-200
-6% -$19K
VUG icon
197
Vanguard Morningstar Growth ETF
VUG
$231B
$271K 0.05%
6,126
-270
-4% -$11.6K
BR icon
198
Broadridge
BR
$19B
$268K 0.05%
1,642
– –
CVX icon
199
Chevron
CVX
$366B
$268K 0.05%
2,446
-1,835
-43% -$179K
MSB
200
Mesabi Trust
MSB
$306M
$266K 0.05%
7,000
-1,697
-20% -$47.5K
6 7
8
9 10

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Vivaldi Capital Management's Q1 2021 Portfolio in Review

As of Q1 2021, Vivaldi Capital Management held 442 positions worth $506M, up 8.1% from $468M the previous quarter. Its ten largest holdings account for 35% of the portfolio.

Vivaldi Capital Management's Q1 2021 filing shows 137 new, 52 increased, 133 reduced and 83 closed positions. Its largest new stake was First Trust Exchange-Traded Fund IV First Trust Low Duration Opportunities ETF: 472,157 shares worth $24.1M. The largest sale was AllianceBernstein National Municipal Income Fund, an estimated $6.54M.

By sector, the portfolio is most concentrated in Financials at 4.3% of assets, up from 3.5% a quarter earlier, followed by Technology and Consumer Discretionary.

  • Vivaldi Capital Management's largest Q1 2021 buy was First Trust Exchange-Traded Fund IV First Trust Low Duration Opportunities ETF: 472,157 shares worth $24.1M.
  • Vivaldi Capital Management added most to PIMCO Enhanced Short Maturity Active Exchange-Traded Fund in Q1 2021, an estimated $12.6M increase.
  • Vivaldi Capital Management's biggest Q1 2021 reduction was Schwab Short-Term US Treasury ETF, cutting an estimated $6.27M.
  • Vivaldi Capital Management fully exited AllianceBernstein National Municipal Income Fund in Q1 2021, selling an estimated $6.54M.
  • Vivaldi Capital Management's ten largest holdings make up 35% of its $506M portfolio in Q1 2021.
  • Vivaldi Capital Management opened 137 new positions and closed 83 in Q1 2021.
  • Vivaldi Capital Management's portfolio value rose 8.1% quarter-over-quarter to $506M.

Based on Vivaldi Capital Management's 13F filing for Q1 2021, filed 17 May 2021.