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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
BND icon
176
Vanguard Total Bond Market
BND
$158B
$209K 0.07%
+2,989
New +$213K
FLAX icon
177
Franklin FTSE Asia ex Japan ETF
FLAX
$57.2M
$207K 0.07%
10,172
– –
VFH icon
178
Vanguard Financials ETF
VFH
$13.6B
$207K 0.07%
+2,574
New +$215K
PH icon
179
Parker-Hannifin
PH
$135B
$203K 0.07%
521
+8
+2% +$3.21K
TGT icon
180
Target
TGT
$68B
$203K 0.07%
1,832
+17
+0.9% +$2.16K
SGOV icon
181
iShares 0-3 Month Treasury Bond ETF
SGOV
$100B
$201K 0.07%
+1,996
New +$200K
NEA icon
182
Nuveen AMT-Free Quality Municipal Income Fund
NEA
$3.42B
$185K 0.06%
19,097
+1,975
+12% +$20.7K
ICLN icon
183
iShares Global Clean Energy ETF
ICLN
$2.4B
$177K 0.06%
12,074
-45
-0.4% -$755
LYFT icon
184
Lyft
LYFT
$6.63B
$170K 0.06%
16,120
– –
PAAS icon
185
Pan American Silver
PAAS
$21.6B
$162K 0.05%
11,186
– –
NAD icon
186
Nuveen Quality Municipal Income Fund
NAD
$2.78B
$162K 0.05%
15,930
+1,675
+12% +$18.2K
MYI icon
187
BlackRock MuniYield Quality Fund III
MYI
$721M
$150K 0.05%
15,701
– –
SOFI icon
188
SoFi Technologies
SOFI
$23.7B
$126K 0.04%
15,822
+34
+0.2% +$299
DSL
189
DoubleLine Income Solutions Fund
DSL
$1.24B
$118K 0.04%
10,100
– –
KYN icon
190
Kayne Anderson Energy Infrastructure Fund
KYN
$2.4B
$107K 0.04%
12,730
– –
INDP icon
191
Indaptus Therapeutics
INDP
$157M
$66.1K 0.02%
857
– –
VVR icon
192
Invesco Senior Income Trust
VVR
$454M
$41.6K 0.01%
10,607
– –
GALT icon
193
Galectin Therapeutics
GALT
$348M
$37K 0.01%
19,261
– –
AWF
194
AllianceBernstein Global High Income Fund
AWF
$872M
– –
-363,040
Closed -$3.62M
BRK.A icon
195
Berkshire Hathaway Class A
BRK.A
$1.12T
– –
-1
Closed -$518K
CAG icon
196
Conagra Brands
CAG
$7.23B
– –
-7,292
Closed -$246K
EZU icon
197
iShare MSCI Eurozone ETF
EZU
$9.91B
– –
-4,651
Closed -$213K
FDX icon
198
FedEx
FDX
$75.4B
– –
-847
Closed -$210K
FPA icon
199
First Trust Asia Pacific ex-Japan AlphaDEX Fund
FPA
$109M
– –
-10,185
Closed -$270K
GDX icon
200
VanEck Gold Miners ETF
GDX
$27.4B
– –
-6,931
Closed -$209K
5 6 7
8
9

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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.