0001682021-18-000021.txt : 20181114 0001682021-18-000021.hdr.sgml : 20181114 20181114103809 ACCESSION NUMBER: 0001682021-18-000021 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180930 FILED AS OF DATE: 20181114 DATE AS OF CHANGE: 20181114 EFFECTIVENESS DATE: 20181114 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Vivaldi Capital Management, LLC CENTRAL INDEX KEY: 0001682021 IRS NUMBER: 453825664 STATE OF INCORPORATION: IL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-18047 FILM NUMBER: 181181239 BUSINESS ADDRESS: STREET 1: 225 W. WACKER DRIVE - SUITE 2100 CITY: CHICAGO STATE: IL ZIP: 60606 BUSINESS PHONE: 312-248-8300 MAIL ADDRESS: STREET 1: 225 W. WACKER DRIVE - SUITE 2100 CITY: CHICAGO STATE: IL ZIP: 60606 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001682021 XXXXXXXX 09-30-2018 09-30-2018 false Vivaldi Capital Management, LLC

225 W. Wacker Drive - Suite 2100 Chicago IL 60606

13F HOLDINGS REPORT 028-18047 N Michelle M. Comella 312-248-8292 /s Michelle M. Comella Chicago IL 11-13-2018 0 146 190208 INFORMATION TABLE 2 infotable.xml ALLIANCE CALIF MUN INCOME FD Equity 018546101 190 14011 SH SOLE 14011 0 0 AMAZON COM INC Equity 023135106 589 294 SH SOLE 294 0 0 APPLE INC Equity 037833100 1944 8610 SH SOLE 8610 0 0 BERKSHIRE HATHAWAY INC DEL Equity 084670108 320 1 SH SOLE 1 0 0 BERKSHIRE HATHAWAY INC DEL Equity 084670702 895 4179 SH SOLE 4179 0 0 CHEVRON CORP NEW Equity 166764100 508 4158 SH SOLE 4157 0 0 COBIZ FINANCIAL INC Equity 190897108 238 10729 SH SOLE 10729 0 0 CONVERGYS CORP Equity 212485106 299 12588 SH SOLE 12588 0 0 DBX ETF TR Equity 233051200 308 9525 SH SOLE 9525 0 0 DISNEY WALT CO Equity 254687106 306 2615 SH SOLE 2615 0 0 FOREST CITY RLTY TR INC Equity 345605109 1036 41274 SH SOLE 41274 0 0 GENERAL ELECTRIC CO Equity 369604103 332 29439 SH SOLE 29439 0 0 GILEAD SCIENCES INC Equity 375558103 218 2826 SH SOLE 2826 0 0 GRAMERCY PPTY TR Equity 385002308 824 30043 SH SOLE 30043 0 0 HOME DEPOT INC Equity 437076102 387 1869 SH SOLE 1868 0 0 HONEYWELL INTL INC Equity 438516106 223 1342 SH SOLE 1342 0 0 INTEL CORP Equity 458140100 430 9091 SH SOLE 9091 0 0 ISHARES TR Equity 464287168 2463 24694 SH SOLE 24694 0 0 ISHARES TR Equity 464287200 5761 19681 SH SOLE 19680 0 0 ISHARES TR Equity 464287226 578 5475 SH SOLE 5474 0 0 ISHARES TR Equity 464287465 970 14274 SH SOLE 14273 0 0 ISHARES TR Equity 464287499 651 2952 SH SOLE 2952 0 0 ISHARES TR Equity 464287507 290 1442 SH SOLE 1442 0 0 ISHARES TR Equity 464287598 244 1929 SH SOLE 1929 0 0 ISHARES TR Equity 464287622 212 1314 SH SOLE 1313 0 0 ISHARES TR Equity 464287655 2578 15293 SH SOLE 15293 0 0 ISHARES TR Equity 464287721 369 1902 SH SOLE 1902 0 0 ISHARES TR Equity 464287804 518 5934 SH SOLE 5934 0 0 ISHARES TR Equity 464288448 559 17133 SH SOLE 17133 0 0 ISHARES TR Equity 464288570 321 3007 SH SOLE 3007 0 0 JOHNSON & JOHNSON Equity 478160104 490 3547 SH SOLE 3547 0 0 KMG CHEMICALS INC Equity 482564101 113 1499 SH SOLE 1499 0 0 LASALLE HOTEL PPTYS Equity 517942108 942 27235 SH SOLE 27235 0 0 MICROSOFT CORP Equity 594918104 397 3468 SH SOLE 3468 0 0 NUVEEN AMT FREE QLTY MUN INC Equity 670657105 2471 195187 SH SOLE 195186 0 0 PEPSICO INC Equity 713448108 304 2719 SH SOLE 2719 0 0 PFIZER INC Equity 717081103 322 7310 SH SOLE 7310 0 0 PHILIP MORRIS INTL INC Equity 718172109 208 2550 SH SOLE 2550 0 0 PIONEER MUN HIGH INCOME TR Equity 723763108 1446 130010 SH SOLE 130009 0 0 RAYTHEON CO Equity 755111507 227 1099 SH SOLE 1099 0 0 ROCKWELL COLLINS INC Equity 774341101 2233 15895 SH SOLE 15895 0 0 SCHWAB STRATEGIC TR Equity 808524201 1545 22208 SH SOLE 22207 0 0 SCHWAB STRATEGIC TR Equity 808524508 921 15921 SH SOLE 15921 0 0 SCHWAB STRATEGIC TR Equity 808524607 1127 14800 SH SOLE 14800 0 0 SCHWAB STRATEGIC TR Equity 808524706 1077 41874 SH SOLE 41874 0 0 SCHWAB STRATEGIC TR Equity 808524805 896 26731 SH SOLE 26730 0 0 TEMPLETON GLOBAL INCOME FD Equity 880198106 1238 202334 SH SOLE 202334 0 0 US BANCORP DEL Equity 902973304 400 7566 SH SOLE 7566 0 0 VANGUARD GROUP Equity 921908844 213 1927 SH SOLE 1926 0 0 VANGUARD BD INDEX FD INC Equity 921937835 263 3345 SH SOLE 3344 0 0 VANGUARD TAX MANAGED INTL FD Equity 921943858 4488 103723 SH SOLE 103723 0 0 VANGUARD WHITEHALL FDS INC Equity 921946406 292 3351 SH SOLE 3351 0 0 VANGUARD INTL EQUITY INDEX F Equity 922042858 3064 74731 SH SOLE 74730 0 0 VANGUARD INTL EQUITY INDEX F Equity 922042866 498 6998 SH SOLE 6997 0 0 VANGUARD INTL EQUITY INDEX F Equity 922042874 368 6553 SH SOLE 6553 0 0 VANGUARD INDEX FDS Equity 922908363 1211 4536 SH SOLE 4536 0 0 VANGUARD INDEX FDS Equity 922908629 4509 27461 SH SOLE 27461 0 0 VANGUARD INDEX FDS Equity 922908751 3896 23964 SH SOLE 23964 0 0 VANGUARD INDEX FDS Equity 922908769 8250 55128 SH SOLE 55127 0 0 DUN & BRADSTREET CORP DEL NE Equity 26483E100 267 1875 SH SOLE 1875 0 0 BLACKROCK CALIF MUN INCOME T Equity 09248E102 323 26132 SH SOLE 26131 0 0 EVENTBRITE INC Equity 29975E109 256 6750 SH SOLE 6750 0 0 AT&T INC Equity 00206R102 442 13167 SH SOLE 13167 0 0 ACORDA THERAPEUTICS INC Equity 00484MAA4 13 15000 SH SOLE 15000 0 0 AETNA INC NEW Equity 00817Y108 2021 9965 SH SOLE 9965 0 0 ALLIANCEBERNSTEIN NATL MUNI Equity 01864U106 2682 216470 SH SOLE 216469 0 0 ALLIANCEBERNSTEIN GBL HGH IN Equity 01879R106 1252 107435 SH SOLE 107434 0 0 ALPHABET INC Equity 02079K305 320 265 SH SOLE 265 0 0 AMTRUST FINL SVCS INC Equity 032359AG6 14 15000 SH SOLE 15000 0 0 B RILEY FINL INC Equity 05580M108 5663 250000 SH OTR 0 0 250000 BLACKROCK MUNI INTER DR FD I Equity 09253X102 749 57281 SH SOLE 57281 0 0 BLACKROCK MUNIHLDNGS CALI QL Equity 09254L107 334 26603 SH SOLE 26603 0 0 CBOE GLOBAL MARKETS INC Equity 12503M108 1247 13000 SH SOLE 13000 0 0 CA INC Equity 12673P105 1035 23452 SH SOLE 23452 0 0 CISCO SYS INC Equity 17275R102 387 7949 SH SOLE 7949 0 0 COMCAST CORP NEW Equity 20030N101 286 8068 SH SOLE 8068 0 0 DTF TAX-FREE INCOME INC Equity 23334J107 1657 128951 SH SOLE 128951 0 0 DELL TECHNOLOGIES INC Equity 24703L103 226 2323 SH SOLE 2323 0 0 DREYFUS MUN BD INFRSTRCTR FD Equity 26203D101 774 62311 SH SOLE 62310 0 0 EATON VANCE CA MUNI INCOME T Equity 27826F101 171 15188 SH SOLE 15187 0 0 EATON VANCE MUN BD FD Equity 27827X101 979 84890 SH SOLE 84890 0 0 EATON VANCE CALIF MUN BD FD Equity 27828A100 314 31571 SH SOLE 31571 0 0 EATON VANCE CALIF MUN BD FD Equity 27828C106 110 10777 SH SOLE 10776 0 0 EATON VANCE TAX ADV BD OPT S Equity 27829M103 155 17591 SH SOLE 17590 0 0 ECHO GLOBAL LOGISTICS INC Equity 27875TAA9 21 20000 SH SOLE 20000 0 0 EDITAS MEDICINE INC Equity 28106W103 336 10570 SH SOLE 10570 0 0 ENERGEN CORP Equity 29265N108 1354 15715 SH SOLE 15715 0 0 EXANTAS CAP CORP Equity 30068N105 185 16807 SH SOLE 16807 0 0 EXPRESS SCRIPTS HLDG CO Equity 30219G108 217 2288 SH SOLE 2288 0 0 EXXON MOBIL CORP Equity 30231G102 236 2772 SH SOLE 2771 0 0 FACEBOOK INC Equity 30303M102 440 2673 SH SOLE 2673 0 0 GAMING & LEISURE PPTYS INC Equity 36467J108 571 16195 SH SOLE 16195 0 0 GOGO INC Equity 38046CAB5 14 15000 SH SOLE 15000 0 0 HOUGHTON MIFFLIN HARCOURT CO Equity 44157R109 98 14064 SH SOLE 14064 0 0 INVESCO SR INCOME TR Equity 46131H107 2674 621848 SH SOLE 621848 0 0 INVESCO MUN TR Equity 46131J103 988 85652 SH SOLE 85651 0 0 INVESCO CALIF VALUE MUN INC Equity 46132H106 358 30582 SH SOLE 30581 0 0 INVESCO VALUE MUN INCOME TR Equity 46132P108 2115 152783 SH SOLE 152783 0 0 INVESCO QUALITY MUNI INC TRS Equity 46133G107 740 63946 SH SOLE 63946 0 0 ISHARES S&P GSCI COMMODITY I Equity 46428R107 453 25000 SH SOLE 25000 0 0 ISHARES INC Equity 46434G103 351 6769 SH SOLE 6769 0 0 ISHARES TR Equity 46435G672 461 8810 SH SOLE 8810 0 0 JPMORGAN CHASE & CO Equity 46625H100 243 2155 SH SOLE 2155 0 0 K2M GROUP HLDGS INC Equity 48273J107 443 16170 SH SOLE 16170 0 0 KB HOME Equity 48666KAS8 20 20000 SH SOLE 20000 0 0 MACQUARIE INFRASTRUCTURE COR Equity 55608BAA3 15 15000 SH SOLE 15000 0 0 MERCK & CO INC Equity 58933Y105 273 3854 SH SOLE 3854 0 0 NATIONAL HEALTH INVS INC Equity 63633DAE4 23 20000 SH SOLE 20000 0 0 NEUBERGER BERMAN HGH YLD FD Equity 64128C106 1230 112366 SH SOLE 112365 0 0 NUVEEN SELECT TAX FREE INCM Equity 67062F100 506 36387 SH SOLE 36386 0 0 NUVEEN SELECT TAX FREE INCM Equity 67063C106 255 19123 SH SOLE 19123 0 0 NUVEEN SELECT TAX FREE INCM Equity 67063X100 458 32730 SH SOLE 32730 0 0 NVIDIA CORP Equity 67066G104 573 2040 SH SOLE 2040 0 0 NUVEEN QUALITY MUNCP INCOME Equity 67066V101 1161 90764 SH SOLE 90764 0 0 PGIM SHORT DURATION HIGH YIE Equity 69346H100 2402 169906 SH SOLE 169905 0 0 PGIM GLOBAL SHORT DURATION H Equity 69346J106 1294 93298 SH SOLE 93297 0 0 PINNACLE FOODS INC DEL Equity 72348P104 2061 31805 SH SOLE 31805 0 0 PINNACLE ENTMT INC NEW Equity 72348Y105 757 22461 SH SOLE 22461 0 0 POTBELLY CORP Equity 73754Y100 183 14841 SH SOLE 14841 0 0 RPM INTL INC Equity 749685AT0 18 15000 SH SOLE 15000 0 0 SPDR S&P 500 ETF TR Equity 78462F103 1489 5122 SH SOLE 5121 0 0 SPDR GOLD TRUST Equity 78463V107 610 5412 SH SOLE 5412 0 0 SPDR INDEX SHS FDS Equity 78463X509 1449 41612 SH SOLE 41612 0 0 SPDR INDEX SHS FDS Equity 78463X889 1501 48781 SH SOLE 48781 0 0 SPDR SERIES TRUST Equity 78464A417 321 8914 SH SOLE 8914 0 0 SPDR SERIES TRUST Equity 78464A847 2499 69132 SH SOLE 69132 0 0 SPDR SERIES TRUST Equity 78464A854 3672 107772 SH SOLE 107772 0 0 SPDR DOW JONES INDL AVRG ETF Equity 78467X109 338 1280 SH SOLE 1279 0 0 SPDR SER TR Equity 78468R853 2780 83635 SH SOLE 83635 0 0 SEACOR HOLDINGS INC Equity 811904AM3 10 10000 SH SOLE 10000 0 0 SPECTRA ENERGY PARTNERS LP Equity 84756N109 865 24236 SH SOLE 24236 0 0 TWENTY FIRST CENTY FOX INC Equity 90130A101 1427 30800 SH SOLE 30800 0 0 VANGUARD SCOTTSDALE FDS Equity 92206C409 346 4428 SH SOLE 4428 0 0 VECTREN CORP Equity 92240G101 485 6784 SH SOLE 6784 0 0 VECTOR GROUP LTD Equity 92240MBC1 21 20000 SH SOLE 20000 0 0 VERIZON COMMUNICATIONS INC Equity 92343V104 363 6808 SH SOLE 6807 0 0 VERINT SYS INC Equity 92343XAA8 21 20000 SH SOLE 20000 0 0 VIVALDI OPPORTUNITIES FD Equity 92853C207 51529 3474628 SH OTR 0 0 3269957 WESTERN ASSET HIGH INCM FD I Equity 95766J102 1173 185089 SH SOLE 185089 0 0 WESTERN ASSET HIGH INCM OPP Equity 95766K109 1247 261931 SH SOLE 261930 0 0 WESTERN ASSET MUN HI INCM FD Equity 95766N103 252 35610 SH SOLE 35609 0 0 WISDOMTREE TR Equity 97717W315 306 7000 SH SOLE 7000 0 0 WILLIS TOWERS WATSON PUB LTD Equity G96629103 246 1744 SH SOLE 1744 0 0 CRISPR THERAPEUTICS AG Equity H17182108 222 5006 SH SOLE 5006 0 0 SODASTREAM INTERNATIONAL LTD Equity M9068E105 827 5779 SH SOLE 5779 0 0 VIVALDI OPPORTUNITIES FD Equity 92853C207 3035 204671 SH DFND 0 204671 0