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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
LMBS icon
1
First Trust Exchange-Traded Fund IV First Trust Low Duration Opportunities ETF
LMBS
$6.35B
$24.1M 4.77%
+472,157
New +$24.3M
SPDW icon
2
State Street SPDR Portfolio Developed World ex-US ETF
SPDW
$40.2B
$22.4M 4.42%
603,977
+39,151
+7% +$1.37M
FINS
3
Angel Oak Financial Strategies Income Term Trust
FINS
$418M
$19.9M 3.93%
1,097,118
-41,159
-4% -$714K
SPYM
4
State Street SPDR Portfolio S&P 500 ETF
SPYM
$161B
$19.4M 3.84%
396,898
+15,583
+4% +$707K
SCHO icon
5
Schwab Short-Term US Treasury ETF
SCHO
$12.8B
$19.3M 3.81%
750,974
-244,376
-25% -$6.27M
SHY icon
6
iShares 1-3 Year Treasury Bond ETF
SHY
$25.5B
$18.4M 3.64%
213,076
-70,741
-25% -$6.11M
SPY icon
7
State Street SPDR S&P 500 ETF Trust
SPY
$790B
$18M 3.56%
43,173
-6,161
-12% -$2.38M
SUB icon
8
iShares Short-Term National Muni Bond ETF
SUB
$11.4B
$13.9M 2.76%
129,365
+54,344
+72% +$5.86M
MINT icon
9
PIMCO Enhanced Short Maturity Active Exchange-Traded Fund
MINT
$16.9B
$12.9M 2.54%
126,163
+123,071
+3,980% +$12.6M
MUI
10
DELISTED
BlackRock Municipal Income Fund, Inc.
MUI
$8.69M 1.72%
572,382
-5,595
-1% -$83.3K
AAPL icon
11
Apple
AAPL
$4.54T
$8.29M 1.64%
65,018
-7,851
-11% -$1.01M
SPSM icon
12
State Street SPDR Portfolio S&P 600 Small Cap ETF
SPSM
$17.1B
$8.17M 1.62%
188,469
+3,558
+2% +$145K
IVV icon
13
iShares Core S&P 500 ETF
IVV
$878B
$8.02M 1.59%
19,178
-1,759
-8% -$681K
MYI icon
14
BlackRock MuniYield Quality Fund III
MYI
$709M
$7.97M 1.58%
555,875
-8,801
-2% -$125K
SPMD icon
15
State Street SPDR Portfolio S&P 400 Mid Cap ETF
SPMD
$18.2B
$7.39M 1.46%
154,798
+4,574
+3% +$201K
SPEM icon
16
State Street SPDR Portfolio Emerging Markets ETF
SPEM
$17.2B
$6.89M 1.36%
157,983
+5,491
+4% +$245K
VTI icon
17
Vanguard Morningstar Total Stock Market ETF
VTI
$660B
$6.53M 1.29%
30,316
-1,976
-6% -$400K
EFA icon
18
iShares MSCI EAFE ETF
EFA
$78B
$6.12M 1.21%
76,893
-13,926
-15% -$1.05M
KTF
19
DWS Municipal Income Trust
KTF
$346M
$6.06M 1.2%
514,203
+13,189
+3% +$152K
NAD icon
20
Nuveen Quality Municipal Income Fund
NAD
$2.74B
$5.41M 1.07%
354,102
+23,640
+7% +$357K
FPA icon
21
First Trust Asia Pacific ex-Japan AlphaDEX Fund
FPA
$100M
$5.33M 1.05%
148,022
-725
-0.5% -$24.5K
TSLA icon
22
Tesla
TSLA
$1.23T
$5.26M 1.04%
26,754
-3,717
-12% -$933K
NEA icon
23
Nuveen AMT-Free Quality Municipal Income Fund
NEA
$3.37B
$5.26M 1.04%
351,165
+21,160
+6% +$313K
VEA icon
24
Vanguard FTSE Developed Markets ETF
VEA
$229B
$5.25M 1.04%
101,923
-5,063
-5% -$247K
ISD
25
PGIM High Yield Bond Fund
ISD
$415M
$4.91M 0.97%
311,499
-29,989
-9% -$461K
1
2 3 4 5

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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.