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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
-0.83%
1 Year Est. Return
+30.89%
3 Year Est. Return
+69.18%
5 Year Est. Return
+67.82%
10 Year Est. Return
–
AUM
$462M
AUM Growth
-$36.5M
Cap. Flow
-$24.9M
Cap. Flow %
-5.39%
Top 10 Hldgs %
36.74%
Holding
401
New
56
Increased
41
Reduced
76
Closed
66

Top Buys

Rank Stock Value
1
GE icon
GE Aerospace
GE
+$1.62M
2
ALTA
Altabancorp
ALTA
+$976K
3
CMF icon
iShares California Muni Bond ETF
CMF
+$732K
4
FBC
Flagstar Bancorp, Inc. New
FBC
+$587K
5
CSOD
Cornerstone OnDemand, Inc.
CSOD
+$582K

Top Sells

Rank Stock Value
1
FINS
Angel Oak Financial Strategies Income Term Trust
FINS
+$10.4M
2
MYI icon
BlackRock MuniYield Quality Fund III
MYI
+$2.06M
3
NAD icon
Nuveen Quality Municipal Income Fund
NAD
+$1.9M
4
NEA icon
Nuveen AMT-Free Quality Municipal Income Fund
NEA
+$1.89M
5
MINT icon
PIMCO Enhanced Short Maturity Active Exchange-Traded Fund
MINT
+$1.46M

Sector Composition

Rank Sector Weight
1 Financials 5.34%
2 Technology 4.16%
3 Consumer Discretionary 3.39%
4 Healthcare 2.28%
5 Communication Services 1.54%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
SPDW icon
1
State Street SPDR Portfolio Developed World ex-US ETF
SPDW
$40.2B
$22.4M 4.86%
619,307
+7,187
+1% +$267K
SUB icon
2
iShares Short-Term National Muni Bond ETF
SUB
$11.4B
$21.6M 4.68%
200,650
-11,991
-6% -$1.29M
LMBS icon
3
First Trust Exchange-Traded Fund IV First Trust Low Duration Opportunities ETF
LMBS
$6.35B
$21M 4.55%
414,969
-17,005
-4% -$863K
SPYM
4
State Street SPDR Portfolio S&P 500 ETF
SPYM
$161B
$20.4M 4.42%
404,448
+4,706
+1% +$244K
SPY icon
5
State Street SPDR S&P 500 ETF Trust
SPY
$790B
$18.9M 4.1%
44,135
+249
+0.6% +$110K
SCHO icon
6
Schwab Short-Term US Treasury ETF
SCHO
$12.8B
$17.9M 3.87%
698,328
+12,006
+2% +$308K
SHY icon
7
iShares 1-3 Year Treasury Bond ETF
SHY
$25.5B
$17M 3.68%
197,060
+3,950
+2% +$341K
MINT icon
8
PIMCO Enhanced Short Maturity Active Exchange-Traded Fund
MINT
$16.9B
$13.3M 2.88%
130,238
-14,309
-10% -$1.46M
AAPL icon
9
Apple
AAPL
$4.54T
$8.86M 1.92%
62,627
-103
-0.2% -$15.2K
IVV icon
10
iShares Core S&P 500 ETF
IVV
$878B
$8.25M 1.79%
19,159
-74
-0.4% -$32.8K
SPSM icon
11
State Street SPDR Portfolio S&P 600 Small Cap ETF
SPSM
$17.1B
$8.2M 1.78%
192,468
+2,017
+1% +$86.4K
SPMD icon
12
State Street SPDR Portfolio S&P 400 Mid Cap ETF
SPMD
$18.2B
$7.28M 1.58%
157,747
+2,103
+1% +$99.3K
VTI icon
13
Vanguard Morningstar Total Stock Market ETF
VTI
$660B
$6.81M 1.47%
30,654
+18
+0.1% +$4.11K
SPEM icon
14
State Street SPDR Portfolio Emerging Markets ETF
SPEM
$17.2B
$6.76M 1.46%
158,913
+1,564
+1% +$67.9K
MUI
15
DELISTED
BlackRock Municipal Income Fund, Inc.
MUI
$6.76M 1.46%
444,313
-43,242
-9% -$683K
TSLA icon
16
Tesla
TSLA
$1.23T
$6.68M 1.45%
25,845
-846
-3% -$199K
EFA icon
17
iShares MSCI EAFE ETF
EFA
$78B
$5.84M 1.27%
74,888
-1,514
-2% -$121K
MYI icon
18
BlackRock MuniYield Quality Fund III
MYI
$709M
$5.57M 1.21%
379,686
-137,588
-27% -$2.06M
KTF
19
DWS Municipal Income Trust
KTF
$346M
$5.55M 1.2%
466,076
-14,072
-3% -$173K
FINS
20
Angel Oak Financial Strategies Income Term Trust
FINS
$418M
$5.49M 1.19%
322,350
-575,731
-64% -$10.4M
VEA icon
21
Vanguard FTSE Developed Markets ETF
VEA
$229B
$5.07M 1.1%
100,425
+246
+0.2% +$12.8K
FPA icon
22
First Trust Asia Pacific ex-Japan AlphaDEX Fund
FPA
$100M
$4.96M 1.07%
153,355
+1,471
+1% +$50.6K
SCHX icon
23
Schwab US Large- Cap ETF
SCHX
$71.8B
$4.66M 1.01%
268,788
+15,174
+6% +$271K
SCHB icon
24
Schwab US Broad Market ETF
SCHB
$43.2B
$4.33M 0.94%
250,410
-8,202
-3% -$146K
VOO icon
25
Vanguard S&P 500 ETF
VOO
$979B
$4.24M 0.92%
10,741
-64
-0.6% -$26K
1
2 3 4 5

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TFHU
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FAN
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ZDA
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Vivaldi Capital Management's Q3 2021 Portfolio in Review

As of Q3 2021, Vivaldi Capital Management held 401 positions worth $462M, down 7.3% from $498M the previous quarter. Its ten largest holdings account for 37% of the portfolio.

Vivaldi Capital Management withdrew a net $24.9M in Q3 2021, closing 66 positions and reducing 76 holdings. Its most notable exit was PRA Health Sciences, Inc., an estimated $1.17M position sold in full.

By sector, the portfolio is most concentrated in Financials at 5.3% of assets, up from 4.2% a quarter earlier, followed by Technology and Consumer Discretionary.

Against the trend, Vivaldi Capital Management opened a new position in Altabancorp worth $1.04M.

  • Vivaldi Capital Management's largest Q3 2021 buy was Altabancorp: 23,547 shares worth $1.04M.
  • Vivaldi Capital Management added most to GE Aerospace in Q3 2021, an estimated $1.62M increase.
  • Vivaldi Capital Management's biggest Q3 2021 reduction was Angel Oak Financial Strategies Income Term Trust, cutting an estimated $10.4M.
  • Vivaldi Capital Management fully exited PRA Health Sciences, Inc. in Q3 2021, selling an estimated $1.17M.
  • Vivaldi Capital Management's ten largest holdings make up 37% of its $462M portfolio in Q3 2021.
  • Vivaldi Capital Management opened 56 new positions and closed 66 in Q3 2021.
  • Vivaldi Capital Management's portfolio value fell 7.3% quarter-over-quarter to $462M.

Based on Vivaldi Capital Management's 13F filing for Q3 2021, filed 16 Nov 2021.