Loading...
Docoh

Vivaldi Capital Management

Filed: 16 May 22, 11:57am

The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete.
The reader should not assume that the information is accurate and complete.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F

FORM 13F INFORMATION TABLE

OMB APPROVAL
OMB Number:3235-0006
Expires:Oct 31, 2018
Estimated average burden
hours per response:23.8

COLUMN 1COLUMN 2COLUMN 3COLUMN 4COLUMN 5COLUMN 6COLUMN 7COLUMN 8
VALUESHRS ORSH/PUT/INVESTMENTOTHERVOTING AUTHORITY
NAME OF ISSUERTITLE OF CLASSCUSIP(x$1000)PRN AMTPRNCALLDISCRETIONMANAGERSOLESHAREDNONE
3M COCOM88579Y1018315,569SH SOLE 5,56900
ABBOTT LABSCOM0028241009128,304SH SOLE 8,30400
ABBVIE INCCOM00287Y1091,60610,460SH SOLE 10,46000
ACCENTURE PLC IRELANDSHS CLASS AG1151C1017772,711SH SOLE 2,71100
ALLIANCEBERNSTEIN GLOBAL HIGCOM01879R1061,826188,486SH SOLE 188,48600
ALLIANCEBERNSTEIN NATL MUN ICOM01864U1062,019176,326SH SOLE 176,32600
ALPHABET INCCAP STK CL A02079K3051,010435SH SOLE 43500
ALPHABET INCCAP STK CL C02079K1071,950837SH SOLE 83700
ALPS ETF TRALERIAN MLP00162Q45297525,883SH SOLE 25,88300
ALTRIA GROUP INCCOM02209S1033546,669SH SOLE 6,66900
AMAZON COM INCCOM023135106558247SH SOLE 24700
AMERICAN CENTY ETF TRUS SML CP VALU0250728775337,167SH SOLE 7,16700
AMERICAN CENTY ETF TRINTL SMCP VLU0250728025299,256SH SOLE 9,25600
AMERICAN EXPRESS COCOM0258161092141,351SH SOLE 1,35100
AMGEN INCCOM0311621005622,310SH SOLE 2,31000
ANGEL OAK MTG INCCOM03464Y10827,5971,946,199SH SOLE 1,946,19900
APOLLO GLOBAL MGMT INCCOM03769M1064217,769SH SOLE 7,76900
APPLE INCCOM0378331008,81359,907SH SOLE 59,90700
ARES DYNAMIC CR ALLOCATION FCOM04014F10276859,234SH SOLE 59,23400
ARK ETF TRINNOVATION ETF00214Q1044339,938SH SOLE 9,93800
ARK ETF TRGENOMIC REV ETF00214Q3022327,171SH SOLE 7,17100
BANK NEW YORK MELLON CORPCOM0640581002475,693SH SOLE 5,69300
BARINGS GLOBAL SHORT DURATIOCOM06760L1001,653118,839SH SOLE 118,83900
BECTON DICKINSON & COCOM075887109202815SH SOLE 81500
BERKSHIRE HATHAWAY INC DELCL A0846701084651SH SOLE 100
BERKSHIRE HATHAWAY INC DELCL B NEW0846707021,8375,918SH SOLE 5,91800
BK OF AMERICA CORPCOM0605051042868,121SH SOLE 8,12100
BLACKROCK CALIF MUN INCOME TSH BEN INT09248E10271164,387SH SOLE 64,38700
BLACKROCK INCCOM09247X101248403SH SOLE 40300
BLACKROCK MUNICIPAL INCOMECOM09253X1022,262191,185SH SOLE 191,18500
BLACKROCK MUNIHLDNGS CALI QLCOM09254L10743336,235SH SOLE 36,23500
BLACKROCK MUNIYIELD FD INCCOM09253W1042,033183,830SH SOLE 183,83000
BLACKROCK MUNIYIELD QUALITYCOM09254E10360652,724SH SOLE 52,72400
BLACKSTONE SECD LENDING FDCOMMON STOCK09261X10229311,368SH SOLE 11,36800
BOEING COCOM0970231051,1208,805SH SOLE 8,80500
BOOKING HOLDINGS INCCOM09857L108238113SH SOLE 11300
BRISTOL-MYERS SQUIBB COCOM1101221083514,637SH SOLE 4,63700
BROADRIDGE FINL SOLUTIONS INCOM11133T1032311,660SH SOLE 1,66000
BROOKFIELD ASSET MGMT INCCL A LTD VT SH1125851043477,275SH SOLE 7,27500
BROOKFIELD INFRAST PARTNERSLP INT UNITG1625210159610,000SH SOLE 10,00000
CBRE GROUP INCCL A12504L1094055,009SH SOLE 5,00900
CHEVRON CORP NEWCOM1667641004102,440SH SOLE 2,44000
CISCO SYS INCCOM17275R10272414,615SH SOLE 14,61500
CME GROUP INCCOM12572Q1055542,771SH SOLE 2,77100
COCA COLA COCOM19121610065910,023SH SOLE 10,02300
COMCAST CORP NEWCL A20030N1013207,703SH SOLE 7,70300
CONAGRA BRANDS INCCOM2058871022486,917SH SOLE 6,91700
COSTCO WHSL CORP NEWCOM22160K105284572SH SOLE 57200
CUMMINS INCCOM2310211062121,055SH SOLE 1,05500
D R HORTON INCCOM23331A1095638,215SH SOLE 8,21500
DATADOG INCCL A COM23804L1032171,996SH SOLE 1,99600
DISNEY WALT COCOM2546871067456,938SH SOLE 6,93800
DNP SELECT INCOME FD INCCOM23325P1042,211196,183SH SOLE 196,18300
DOUBLELINE INCOME SOLUTIONSCOM25862210913010,100SH SOLE 10,10000
DWS MUN INCOME TRCOM2333681092,383261,261SH SOLE 261,26100
EATON VANCE CALIF MUN BD FDCOM27828A10029931,796SH SOLE 31,79600
EXCHANGE TRADED CONCEPTS TRROBO GLB ETF3015057072424,981SH SOLE 4,98100
EXXON MOBIL CORPCOM30231G1028139,152SH SOLE 9,15200
FIRST TR EXCH TRADED FD IIIPFD SECS INC ETF33739E10852229,180SH SOLE 29,18000
FIRST TR EXCH TRADED FD IIIMERGER ARBITRA33740J2031,07154,245SH SOLE 54,24500
FIRST TR EXCH TRD ALPHDX FDASIA EX JAPAN33737J1094,398154,476SH SOLE 154,47600
FIRST TR EXCHANGE TRADED FDNASDQ CLN EDGE33737A1082643,234SH SOLE 3,23400
FIRST TR EXCHANGE-TRADED FDFST LOW OPPT EFT33739Q20012,077248,090SH SOLE 248,09000
GALECTIN THERAPEUTICS INCCOM NEW3632252022317,078SH SOLE 17,07800
GAMING & LEISURE PPTYS INCCOM36467J1084,11791,847SH SOLE 91,84700
GENERAL ELECTRIC COCOM NEW36960430175610,073SH SOLE 10,07300
GLOBAL X FDSGLBL X MLP ETF37954Y3432,05851,841SH SOLE 51,84100
HIPPO HLDGS INCCOMMON STOCK4335391031610,000SH SOLE 10,00000
HOME DEPOT INCCOM4370761028252,788SH SOLE 2,78800
HONEYWELL INTL INCCOM4385161063441,775SH SOLE 1,77500
INDAPTUS THERAPEUTICS INCCOM45339J1056024,000SH SOLE 24,00000
INTEL CORPCOM45814010075617,335SH SOLE 17,33500
INTERNATIONAL BUSINESS MACHSCOM4592001012031,522SH SOLE 1,52200
INVESCO CALIF VALUE MUN INCOCOM46132H10613713,457SH SOLE 13,45700
INVESCO EXCHANGE TRADED FD TINVESCO MSCI46137V4072715,224SH SOLE 5,22400
INVESCO QQQ TRUNIT SER 146090E1035461,808SH SOLE 1,80800
INVESCO QUALITY MUN INCOME TCOM46133G1071,905188,585SH SOLE 188,58500
INVESCO SR INCOME TRCOM46131H1073,045792,993SH SOLE 792,99300
INVESTMENT MANAGERS SER TRKNWLDL LD ETF46143U8491,91050,498SH SOLE 50,49800
ISHARES GOLD TRISHARES NEW4642852046,710195,118SH SOLE 195,11800
ISHARES INCCORE MSCI EMKT46434G1031,05821,181SH SOLE 21,18100
ISHARES TRCORE MSCI EAFE46432F8421,73027,420SH SOLE 27,42000
ISHARES TRFLTG RATE NT ETF46429B6552715,372SH SOLE 5,37200
ISHARES TREAFE SML CP ETF4642882732404,046SH SOLE 4,04600
ISHARES TRCALIF MUN BD ETF4642883561,29623,340SH SOLE 23,34000
ISHARES TRMSCI ACWI ETF4642882572,93432,915SH SOLE 32,91500
ISHARES TRGL CLEAN ENE ETF46428822421111,948SH SOLE 11,94800
ISHARES TRSHRT NAT MUN ETF4642881589,49491,736SH SOLE 91,73600
ISHARES TRIBONDS DEC23 ETF46434VAX849119,519SH SOLE 19,51900
ISHARES TRIBONDS DEC22 ETF46434VBA745518,205SH SOLE 18,20500
ISHARES TRCORE INTL AGGR46435G6723076,014SH SOLE 6,01400
ISHARES TRCORE MSCI INTL46435G32673312,710SH SOLE 12,71000
ISHARES TRESG AWR MSCI USA46435G4252372,647SH SOLE 2,64700
ISHARES TRNATIONAL MUN ETF4642884142682,548SH SOLE 2,54800
ISHARES TRISHS 1-5YR INVS4642886463727,300SH SOLE 7,30000
ISHARES TRCORE S&P TTL STK4642871503,10034,787SH SOLE 34,78700
ISHARES TRMSCI EMG MKT ETF46428723450512,470SH SOLE 12,47000
ISHARES TRS&P 100 ETF4642871018614,708SH SOLE 4,70800
ISHARES TRSELECT DIVID ETF4642871685,80846,396SH SOLE 46,39600
ISHARES TRCORE US AGGBD ET4642872265425,291SH SOLE 5,29100
ISHARES TRMRGSTR MD CP VAL46428840680112,381SH SOLE 12,38100
ISHARES TRMSCI AC ASIA ETF4642881821,07215,743SH SOLE 15,74300
ISHARES TRCORE S&P MCP ETF4642875072,60610,743SH SOLE 10,74300
ISHARES TRCORE S&P SCP ETF4642878048538,753SH SOLE 8,75300
ISHARES TRCORE S&P500 ETF4642872007,88519,545SH SOLE 19,54500
ISHARES TRRUS 1000 ETF464287622202915SH SOLE 91500
ISHARES TRRUS 1000 VAL ETF4642875982,21614,332SH SOLE 14,33200
ISHARES TRRUS 1000 GRW ETF4642876141,4836,366SH SOLE 6,36600
ISHARES TRRUSSELL 2000 ETF4642876552,02711,386SH SOLE 11,38600
ISHARES TRMSCI EAFE ETF4642874654,74470,819SH SOLE 70,81900
ISHARES TRRUS MID CAP ETF4642874992,24732,162SH SOLE 32,16200
ISHARES TRCOHEN STEER REIT4642875641,82728,790SH SOLE 28,79000
ISHARES TRUS HLTHCARE ETF4642877627632,845SH SOLE 2,84500
ISHARES TRU.S. TECH ETF4642877215946,857SH SOLE 6,85700
ISHARES TRISHARES BIOTECH4642875565294,677SH SOLE 4,67700
ISHARES TR1 3 YR TREAS BD4642874576,14473,901SH SOLE 73,90100
JOHNSON & JOHNSONCOM4781601041,2737,200SH SOLE 7,20000
JPMORGAN CHASE & COCOM46625H1002,04217,144SH SOLE 17,14400
KAYNE ANDERSON ENERGY INFRSTCOM48660610611412,730SH SOLE 12,73000
LILLY ELI & COCOM5324571085982,052SH SOLE 2,05200
LISTED FD TRHORIZON KINETICS53656F6231,05934,917SH SOLE 34,91700
LUMINAR TECHNOLOGIES INCCOM CL A5504241052,590250,000SH SOLE 250,00000
LYFT INCCL A COM55087P10463431,714SH SOLE 31,71400
MASTERCARD INCORPORATEDCL A57636Q1043821,148SH SOLE 1,14800
MATCH GROUP INC NEWCOM57667L1072483,204SH SOLE 3,20400
MCDONALDS CORPCOM5801351015072,071SH SOLE 2,07100
MERCK & CO INCCOM58933Y1055966,592SH SOLE 6,59200
META PLATFORMS INCCL A30303M1024842,438SH SOLE 2,43800
MICROSOFT CORPCOM5949181045,36620,549SH SOLE 20,54900
MORGAN STANLEYCOM NEW6174464483564,425SH SOLE 4,42500
MOTOROLA SOLUTIONS INCCOM NEW6200763073131,456SH SOLE 1,45600
NEUBERGER BRMAN CLIFRN MUNICOM64123C10161053,063SH SOLE 53,06300
NEXTERA ENERGY INCCOM65339F1013905,590SH SOLE 5,59000
NIKE INCCL B6541061032682,371SH SOLE 2,37100
NORTHERN TR CORPCOM6658591045425,201SH SOLE 5,20100
NUVEEN AMT FREE QLTY MUN INCCOM67065710515212,997SH SOLE 12,99700
NUVEEN CA QUALTY MUN INCOMECOM67066Y10532627,499SH SOLE 27,49900
NUVEEN CALIFORNIA AMT QLT MUCOM67065110833025,891SH SOLE 25,89100
NUVEEN QUALITY MUNCP INCOMECOM67066V10116012,930SH SOLE 12,93000
NVIDIA CORPORATIONCOM67066G1043772,130SH SOLE 2,13000
OBLONG INCCOM674434105925,590SH SOLE 25,59000
OMNICELL COMCOM68213N1092001,800SH SOLE 1,80000
ORACLE CORPCOM68389X1052193,074SH SOLE 3,07400
PAYCHEX INCCOM7043261072402,002SH SOLE 2,00200
PEPSICO INCCOM7134481087104,088SH SOLE 4,08800
PFIZER INCCOM7170811031,88837,823SH SOLE 37,82300
PGIM GLOBAL HIGH YIELD FD FOCOM69346J1062,296193,127SH SOLE 193,12700
PGIM HIGH YIELD BOND FUND INCOM69346H1003,244254,230SH SOLE 254,23000
PIMCO ETF TRENHAN SHRT MA AC72201R8332,14021,455SH SOLE 21,45500
PRA GROUP INCCOM69354N1062,23758,636SH SOLE 58,63600
PROCTER AND GAMBLE COCOM7427181092,59916,917SH SOLE 16,91700
PRUDENTIAL FINL INCCOM7443201023703,652SH SOLE 3,65200
PUTNAM PREMIER INCOME TRSH BEN INT7468531001,257329,952SH SOLE 329,95200
RENOVARE ENVIRONMENTAL INCCOM09074B107418,782SH SOLE 18,78200
ROBINHOOD MKTS INCCOM CL A77070010225824,145SH SOLE 24,14500
RPM INTL INCCOM7496851032302,730SH SOLE 2,73000
SCHWAB STRATEGIC TRSCHWB FDT EMK LG8085247301,06339,987SH SOLE 39,98700
SCHWAB STRATEGIC TRSCHWB FDT INT LG8085247551,12237,149SH SOLE 37,14900
SCHWAB STRATEGIC TRUS BRD MKT ETF8085241023,59276,243SH SOLE 76,24300
SCHWAB STRATEGIC TRINTL EQTY ETF8085248053,667109,824SH SOLE 109,82400
SCHWAB STRATEGIC TRUS LRG CAP ETF8085242014,48694,313SH SOLE 94,31300
SCHWAB STRATEGIC TRUS SML CAP ETF8085246071,58538,175SH SOLE 38,17500
SCHWAB STRATEGIC TRINTL SCEQT ETF8085248882196,513SH SOLE 6,51300
SCHWAB STRATEGIC TREMRG MKTEQ ETF8085247061,63565,103SH SOLE 65,10300
SCHWAB STRATEGIC TRSHT TM US TRES8085248626,706135,749SH SOLE 135,74900
SCHWAB STRATEGIC TRUS AGGREGATE B8085248393527,288SH SOLE 7,28800
SCHWAB STRATEGIC TRUS MID-CAP ETF8085245081,36520,087SH SOLE 20,08700
SELECT SECTOR SPDR TRENERGY81369Y5061,15314,271SH SOLE 14,27100
SELECT SECTOR SPDR TRFINANCIAL81369Y60536510,893SH SOLE 10,89300
SELECT SECTOR SPDR TRTECHNOLOGY81369Y8037645,620SH SOLE 5,62000
SELECT SECTOR SPDR TRSBI HEALTHCARE81369Y2093242,520SH SOLE 2,52000
SERVICESOURCE INTL INCCOM81763U100180125,000SH SOLE 125,00000
SOFI TECHNOLOGIES INCCOM83406F10211416,859SH SOLE 16,85900
SPDR GOLD TRGOLD SHS78463V1073,65421,651SH SOLE 21,65100
SPDR INDEX SHS FDSPORTFOLIO EMG MK78463X5093,11589,911SH SOLE 89,91100
SPDR INDEX SHS FDSPORTFOLIO DEVLPD78463X88915,552500,695SH SOLE 500,69500
SPDR S&P 500 ETF TRTR UNIT78462F10316,96742,237SH SOLE 42,23700
SPDR SER TRPRTFLO S&P500 VL78464A5083428,726SH SOLE 8,72600
SPDR SER TRBLOOMBERG HIGH Y78468R6222152,258SH SOLE 2,25800
SPDR SER TRPORTFOLIO S&P40078464A8475,811136,304SH SOLE 136,30400
SPDR SER TRNUVEEN BLMBRG SH78468R7394549,750SH SOLE 9,75000
SPDR SER TRPORTFOLIO S&P50078464A85418,713396,293SH SOLE 396,29300
SPDR SER TRPORTFOLIO SH TSR78468R10113,033440,594SH SOLE 440,59400
SPDR SER TRPORTFOLIO S&P60078468R8536,399168,120SH SOLE 168,12000
SPROTT PHYSICAL GOLD & SILVETR UNIT85208R10118810,966SH SOLE 10,96600
TARGET CORPCOM87612E1068223,739SH SOLE 3,73900
TESLA INCCOM88160R1015,6637,358SH SOLE 7,35800
THERMO FISHER SCIENTIFIC INCCOM8835561021,2612,329SH SOLE 2,32900
TREEHOUSE FOODS INCCOM89469A1042135,500SH SOLE 5,50000
TWO RDS SHARED TRANFIELD DIVERSIF90213U11520421,808SH SOLE 21,80800
UNION PAC CORPCOM9078181083341,448SH SOLE 1,44800
UNITEDHEALTH GROUP INCCOM91324P1021,2502,576SH SOLE 2,57600
US BANCORP DELCOM NEW90297330457911,921SH SOLE 11,92100
VANECK ETF TRUSTAGRIBUSINESS ETF92189F7001,04110,925SH SOLE 10,92500
VANGUARD ADMIRAL FDS INC500 GRTH IDX F9219325054401,900SH SOLE 1,90000
VANGUARD INDEX FDSS&P 500 ETF SHS9229083634,05510,984SH SOLE 10,98400
VANGUARD INDEX FDSSMALL CP ETF9229087512,21911,798SH SOLE 11,79800
VANGUARD INDEX FDSVALUE ETF9229087441,77112,640SH SOLE 12,64000
VANGUARD INDEX FDSMID CAP ETF9229086292,80313,222SH SOLE 13,22200
VANGUARD INDEX FDSSM CP VAL ETF9229086115253,263SH SOLE 3,26300
VANGUARD INDEX FDSREAL ESTATE ETF9229085535295,464SH SOLE 5,46400
VANGUARD INDEX FDSTOTAL STK MKT9229087695,44727,111SH SOLE 27,11100
VANGUARD INTL EQUITY INDEX FFTSE EMR MKT ETF9220428582,89169,690SH SOLE 69,69000
VANGUARD INTL EQUITY INDEX FFTSE SMCAP ETF9220427183052,790SH SOLE 2,79000
VANGUARD INTL EQUITY INDEX FFTSE EUROPE ETF92204287465911,649SH SOLE 11,64900
VANGUARD INTL EQUITY INDEX FTT WRLD ST ETF9220427421,37115,168SH SOLE 15,16800
VANGUARD MUN BD FDSTAX EXEMPT BD9229077463426,935SH SOLE 6,93500
VANGUARD SCOTTSDALE FDSSHORT TERM TREAS92206C1021,45224,559SH SOLE 24,55900
VANGUARD SPECIALIZED FUNDSDIV APP ETF9219088441,3538,978SH SOLE 8,97800
VANGUARD TAX-MANAGED INTL FDFTSE DEV MKT ETF9219438584,13094,838SH SOLE 94,83800
VERIZON COMMUNICATIONS INCCOM92343V10499420,635SH SOLE 20,63500
VISA INCCOM CL A92826C8394192,102SH SOLE 2,10200
WALMART INCCOM9311421035903,988SH SOLE 3,98800
WESTERN ASSET MANAGED MUNS FCOM95766M1051,686158,948SH SOLE 158,94800
WILLIS TOWERS WATSON PLC LTDSHSG966291033591,746SH SOLE 1,74600
WISDOMTREE TRJAPN HEDGE EQT97717W8512173,436SH SOLE 3,43600