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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 Miscellaneous 80.64%
2 Communication Services 4.49%
3 Financials 4.03%
4 Technology 3.27%
5 Healthcare 2.77%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
VAM
1
DELISTED
Vivaldi Opportunities Fund
VAM
$57.4M 13.87%
4,231,241
+10,469
+0.2% +$143K
ICSH icon
2
iShares Ultra Short Duration Bond Active ETF
ICSH
$8.83B
$19.3M 4.67%
383,913
+282,593
+279% +$14.2M
FTSM icon
3
First Trust Enhanced Short Maturity ETF
FTSM
$6.54B
$19.2M 4.65%
+320,292
New +$19.3M
SPY icon
4
State Street SPDR S&P 500 ETF Trust
SPY
$799B
$14.2M 3.44%
44,173
+2,456
+6% +$756K
SPYM
5
State Street SPDR Portfolio S&P 500 ETF
SPYM
$161B
$13.1M 3.16%
345,766
+5,810
+2% +$210K
META icon
6
Meta Platforms (Facebook)
META
$1.71T
$12.9M 3.12%
62,793
-42,339
-40% -$8.2M
FPE icon
7
First Trust Preferred Securities and Income ETF
FPE
$6.2B
$11.7M 2.82%
580,573
+9,995
+2% +$199K
SPDW icon
8
State Street SPDR Portfolio Developed World ex-US ETF
SPDW
$41.4B
$10M 2.42%
319,553
+8,678
+3% +$264K
IVV icon
9
iShares Core S&P 500 ETF
IVV
$837B
$7.71M 1.86%
23,861
-317
-1% -$98.1K
VTI icon
10
Vanguard Morningstar Total Stock Market ETF
VTI
$681B
$7.51M 1.82%
45,918
+3,641
+9% +$570K
EFA icon
11
iShares MSCI EAFE ETF
EFA
$77.9B
$7.51M 1.82%
108,171
+2,264
+2% +$153K
MYI icon
12
BlackRock MuniYield Quality Fund III
MYI
$669M
$5.85M 1.41%
433,456
+11,413
+3% +$154K
ISD
13
PGIM High Yield Bond Fund
ISD
$397M
$5.72M 1.38%
371,666
+4,782
+1% +$71.5K
FPA icon
14
First Trust Asia Pacific ex-Japan AlphaDEX Fund
FPA
$110M
$5.38M 1.3%
188,863
-5,104
-3% -$142K
MINT icon
15
PIMCO Enhanced Short Maturity Active Exchange-Traded Fund
MINT
$17.6B
$5.29M 1.28%
+52,044
New +$5.29M
VEA icon
16
Vanguard FTSE Developed Markets ETF
VEA
$234B
$5.1M 1.23%
115,808
+5,550
+5% +$237K
AFB
17
AllianceBernstein National Municipal Income Fund
AFB
$294M
$5M 1.21%
357,778
+4,065
+1% +$55.7K
VVR icon
18
Invesco Senior Income Trust
VVR
$446M
$4.94M 1.19%
1,152,001
-338,584
-23% -$1.41M
AAPL icon
19
Apple
AAPL
$4.84T
$4.59M 1.11%
62,548
-25,960
-29% -$1.67M
MUI
20
DELISTED
BlackRock Municipal Income Fund, Inc.
MUI
$4.39M 1.06%
307,993
+40,984
+15% +$579K
SPSM icon
21
State Street SPDR Portfolio S&P 600 Small Cap ETF
SPSM
$16.1B
$4.29M 1.04%
131,552
-4,505
-3% -$141K
VWO icon
22
Vanguard FTSE Emerging Markets ETF
VWO
$125B
$4.17M 1.01%
93,880
-2,623
-3% -$111K
SPMD icon
23
State Street SPDR Portfolio S&P 400 Mid Cap ETF
SPMD
$18.2B
$4.16M 1.01%
114,910
-2,847
-2% -$99.2K
MLPA icon
24
Global X MLP ETF
MLPA
$2.37B
$3.82M 0.92%
80,781
+72,356
+859% +$3.37M
JFR icon
25
Nuveen Floating Rate Income Fund
JFR
$1.2B
$3.73M 0.9%
+363,938
New +$3.5M
1
2 3 4 5

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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 Miscellaneous at 81% of assets, up from 71% a quarter earlier, followed by Communication Services and Financials.

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.