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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
+0.42%
1 Year Est. Return
+30.89%
3 Year Est. Return
+69.18%
5 Year Est. Return
+67.82%
10 Year Est. Return
–
AUM
$422M
AUM Growth
+$39.4M
Cap. Flow
+$39.7M
Cap. Flow %
9.4%
Top 10 Hldgs %
41.16%
Holding
263
New
25
Increased
99
Reduced
69
Closed
37

Top Buys

Rank Stock Value
1
META icon
Meta Platforms (Facebook)
META
+$19.3M
2
RILY icon
BRC Group Holdings
RILY
+$17.5M
3
FPE icon
First Trust Preferred Securities and Income ETF
FPE
+$10.9M
4
MYI icon
BlackRock MuniYield Quality Fund III
MYI
+$5.67M
5
LYFT icon
Lyft
LYFT
+$4.31M

Top Sells

Rank Stock Value
1
RSF
RiverNorth Capital and Income Fund
RSF
+$3.62M
2
IIM icon
Invesco Value Municipal Income Trust
IIM
+$2.99M
3
NHS
Neuberger High Yield Strategies Fund Inc
NHS
+$2.9M
4
HIX
Western Asset High Income Fund II
HIX
+$2.81M
5
LEXEA
Liberty Expedia Holdings, Inc. Class A Common Stock
LEXEA
+$2.36M

Sector Composition

Rank Sector Weight
1 Financials 10.48%
2 Communication Services 6.29%
3 Technology 3.69%
4 Healthcare 3.06%
5 Consumer Staples 1.52%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
VAM
1
DELISTED
Vivaldi Opportunities Fund
VAM
$58M 13.74%
4,220,772
-61,554
-1% -$854K
RILY icon
2
BRC Group Holdings
RILY
$288M
$25.4M 6.01%
1,075,000
+825,000
+330% +$17.5M
META icon
3
Meta Platforms (Facebook)
META
$1.42T
$18.7M 4.43%
105,132
+101,654
+2,923% +$19.3M
ULST icon
4
State Street Ultra Short Term Bond ETF
ULST
$527M
$12.9M 3.06%
319,216
+456
+0.1% +$18.4K
SPY icon
5
State Street SPDR S&P 500 ETF Trust
SPY
$790B
$12.4M 2.93%
41,717
-31
-0.1% -$9.16K
SPYM
6
State Street SPDR Portfolio S&P 500 ETF
SPYM
$161B
$11.8M 2.81%
339,956
+57,980
+21% +$2.02M
FPE icon
7
First Trust Preferred Securities and Income ETF
FPE
$6.32B
$11.3M 2.67%
570,578
+558,078
+4,465% +$10.9M
SPDW icon
8
State Street SPDR Portfolio Developed World ex-US ETF
SPDW
$40.2B
$9.13M 2.16%
310,875
+42,561
+16% +$1.23M
IVV icon
9
iShares Core S&P 500 ETF
IVV
$878B
$7.22M 1.71%
24,178
-2,436
-9% -$724K
EFA icon
10
iShares MSCI EAFE ETF
EFA
$78B
$6.91M 1.64%
105,907
-11,469
-10% -$739K
FINS
11
Angel Oak Financial Strategies Income Term Trust
FINS
$418M
$6.55M 1.55%
325,000
– –
VTI icon
12
Vanguard Morningstar Total Stock Market ETF
VTI
$660B
$6.38M 1.51%
42,277
-1,593
-4% -$240K
VVR icon
13
Invesco Senior Income Trust
VVR
$457M
$6.26M 1.48%
1,490,585
+112,910
+8% +$474K
NEA icon
14
Nuveen AMT-Free Quality Municipal Income Fund
NEA
$3.37B
$5.75M 1.36%
401,640
+27,915
+7% +$396K
MYI icon
15
BlackRock MuniYield Quality Fund III
MYI
$709M
$5.73M 1.36%
+422,043
New +$5.67M
ISD
16
PGIM High Yield Bond Fund
ISD
$415M
$5.49M 1.3%
366,884
+25,566
+7% +$374K
FPA icon
17
First Trust Asia Pacific ex-Japan AlphaDEX Fund
FPA
$100M
$5.33M 1.26%
193,967
-10,045
-5% -$282K
ICSH icon
18
iShares Ultra Short Duration Bond Active ETF
ICSH
$8.07B
$5.11M 1.21%
101,320
+10,895
+12% +$549K
AAPL icon
19
Apple
AAPL
$4.54T
$4.96M 1.17%
88,508
+15,780
+22% +$825K
AFB
20
AllianceBernstein National Municipal Income Fund
AFB
$313M
$4.87M 1.15%
353,713
+24,871
+8% +$340K
VEA icon
21
Vanguard FTSE Developed Markets ETF
VEA
$229B
$4.53M 1.07%
110,258
-1,303
-1% -$53.2K
JPM icon
22
JPMorgan Chase
JPM
$935B
$4.28M 1.01%
36,377
+2,273
+7% +$257K
SPSM icon
23
State Street SPDR Portfolio S&P 600 Small Cap ETF
SPSM
$17.1B
$4.08M 0.97%
136,057
-1,626
-1% -$49K
SPMD icon
24
State Street SPDR Portfolio S&P 400 Mid Cap ETF
SPMD
$18.2B
$3.99M 0.95%
117,757
-1,305
-1% -$44K
VWO icon
25
Vanguard FTSE Emerging Markets ETF
VWO
$121B
$3.88M 0.92%
96,503
-6,906
-7% -$285K
1
2 3 4 5

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Vivaldi Capital Management's Q3 2019 Portfolio in Review

As of Q3 2019, Vivaldi Capital Management held 263 positions worth $422M, up 10% from $383M the previous quarter. Its ten largest holdings account for 41% of the portfolio.

Vivaldi Capital Management deployed $39.7M of net new capital in Q3 2019, opening 25 new positions and adding to 99 existing holdings. Its largest new stake was BlackRock MuniYield Quality Fund III: 422,043 shares worth $5.73M.

By sector, the portfolio is most concentrated in Financials at 10% of assets, up from 5.7% a quarter earlier, followed by Communication Services and Technology.

On the sell side, the largest reduction was RiverNorth Capital and Income Fund, an estimated $3.62M trimmed.

  • Vivaldi Capital Management's largest Q3 2019 buy was BlackRock MuniYield Quality Fund III: 422,043 shares worth $5.73M.
  • Vivaldi Capital Management added most to Meta Platforms (Facebook) in Q3 2019, an estimated $19.3M increase.
  • Vivaldi Capital Management's biggest Q3 2019 reduction was RiverNorth Capital and Income Fund, cutting an estimated $3.62M.
  • Vivaldi Capital Management fully exited Neuberger High Yield Strategies Fund Inc in Q3 2019, selling an estimated $2.9M.
  • Vivaldi Capital Management's ten largest holdings make up 41% of its $422M portfolio in Q3 2019.
  • Vivaldi Capital Management opened 25 new positions and closed 37 in Q3 2019.
  • Vivaldi Capital Management's portfolio value rose 10% quarter-over-quarter to $422M.

Based on Vivaldi Capital Management's 13F filing for Q3 2019, filed 14 Nov 2019.