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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
+4.95%
1 Year Est. Return
+30.89%
3 Year Est. Return
+69.18%
5 Year Est. Return
+67.82%
10 Year Est. Return
–
AUM
$414M
AUM Growth
-$8.6M
Cap. Flow
-$27.6M
Cap. Flow %
-6.67%
Top 10 Hldgs %
41.83%
Holding
249
New
23
Increased
63
Reduced
108
Closed
31

Top Buys

Rank Stock Value
1
FTSM icon
First Trust Enhanced Short Maturity ETF
FTSM
+$19.3M
2
ICSH icon
iShares Ultra Short Duration Bond Active ETF
ICSH
+$14.2M
3
MINT icon
PIMCO Enhanced Short Maturity Active Exchange-Traded Fund
MINT
+$5.29M
4
JFR icon
Nuveen Floating Rate Income Fund
JFR
+$3.5M
5
MLPA icon
Global X MLP ETF
MLPA
+$3.37M

Top Sells

Rank Stock Value
1
RILY icon
BRC Group Holdings
RILY
+$25.4M
2
ULST icon
State Street Ultra Short Term Bond ETF
ULST
+$12.9M
3
META icon
Meta Platforms (Facebook)
META
+$8.2M
4
FINS
Angel Oak Financial Strategies Income Term Trust
FINS
+$3.36M
5
HYT icon
BlackRock Corporate High Yield Fund
HYT
+$3.32M

Sector Composition

Rank Sector Weight
1 Communication Services 4.49%
2 Financials 4.03%
3 Technology 3.27%
4 Healthcare 2.7%
5 Consumer Staples 1.26%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
ADBE icon
201
Adobe
ADBE
$99.9B
$207K 0.05%
629
-207
-25% -$60.9K
DHR icon
202
Danaher
DHR
$139B
$207K 0.05%
1,521
-165
-10% -$20.9K
TECD
203
DELISTED
Tech Data Corp
TECD
$207K 0.05%
+1,439
New +$185K
NWL icon
204
Newell Brands
NWL
$2.7B
$199K 0.05%
10,358
-7,797
-43% -$150K
GE icon
205
GE Aerospace
GE
$383B
$151K 0.04%
2,712
-49
-2% -$2.53K
DNP icon
206
DNP Select Income Fund
DNP
$4.06B
$133K 0.03%
10,400
– –
AMLP icon
207
Alerian MLP ETF
AMLP
$13B
$86K 0.02%
2,024
-3,688
-65% -$155K
MIN
208
Aberdeen Intermediate Income Fund
MIN
$274M
$60K 0.01%
+15,693
New +$59.2K
GALT icon
209
Galectin Therapeutics
GALT
$200M
$31K 0.01%
10,668
– –
MUX icon
210
McEwen Inc
MUX
$1.07B
$13K ﹤0.01%
1,000
– –
NAK
211
Northern Dynasty Minerals
NAK
$818M
$4K ﹤0.01%
10,000
– –
BA icon
212
Boeing
BA
$185B
– –
-617
Closed -$235K
BND icon
213
Vanguard Total Bond Market
BND
$157B
– –
-6,341
Closed -$535K
BSV icon
214
Vanguard Short-Term Bond ETF
BSV
$44.6B
– –
-4,352
Closed -$352K
EMR icon
215
Emerson Electric
EMR
$86.7B
– –
-3,049
Closed -$204K
EOG icon
216
EOG Resources
EOG
$77.6B
– –
-3,635
Closed -$270K
HIO
217
Western Asset High Income Opportunity Fund
HIO
$336M
– –
-620,541
Closed -$3.13M
HYT icon
218
BlackRock Corporate High Yield Fund
HYT
$1.36B
– –
-309,145
Closed -$3.32M
KRE icon
219
State Street SPDR S&P Regional Banking ETF
KRE
$4.69B
– –
-4,179
Closed -$221K
LDUR icon
220
PIMCO Enhanced Low Duration Active Exchange-Traded Fund
LDUR
$1.37B
– –
-2,195
Closed -$220K
MHF
221
Western Asset Municipal High Income Fund
MHF
$152M
– –
-62,714
Closed -$475K
QQQ icon
222
Invesco QQQ Trust
QQQ
$469B
– –
-1,070
Closed -$202K
RILY icon
223
BRC Group Holdings
RILY
$301M
– –
-1,075,000
Closed -$25.4M
SBUX icon
224
Starbucks
SBUX
$118B
– –
-2,561
Closed -$226K
TYG
225
Tortoise Energy Infrastructure Corp
TYG
$1.08B
– –
-4,271
Closed -$349K
6 7 8
9
10

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Vivaldi Capital Management's Q4 2019 Portfolio in Review

As of Q4 2019, Vivaldi Capital Management held 249 positions worth $414M, down 2% from $422M the previous quarter. Its ten largest holdings account for 42% of the portfolio.

Vivaldi Capital Management withdrew a net $27.6M in Q4 2019, closing 31 positions and reducing 108 holdings. Its most notable exit was BRC Group Holdings, an estimated $25.4M position sold in full.

By sector, the portfolio is most concentrated in Communication Services at 4.5% of assets, down from 6.3% a quarter earlier, followed by Financials and Technology.

Against the trend, Vivaldi Capital Management opened a new position in First Trust Enhanced Short Maturity ETF worth $19.2M.

  • Vivaldi Capital Management's largest Q4 2019 buy was First Trust Enhanced Short Maturity ETF: 320,292 shares worth $19.2M.
  • Vivaldi Capital Management added most to iShares Ultra Short Duration Bond Active ETF in Q4 2019, an estimated $14.2M increase.
  • Vivaldi Capital Management's biggest Q4 2019 reduction was Meta Platforms (Facebook), cutting an estimated $8.2M.
  • Vivaldi Capital Management fully exited BRC Group Holdings in Q4 2019, selling an estimated $25.4M.
  • Vivaldi Capital Management's ten largest holdings make up 42% of its $414M portfolio in Q4 2019.
  • Vivaldi Capital Management opened 23 new positions and closed 31 in Q4 2019.
  • Vivaldi Capital Management's portfolio value fell 2% quarter-over-quarter to $414M.

Based on Vivaldi Capital Management's 13F filing for Q4 2019, filed 11 Feb 2020.