13F HOLDINGS REPORT

Vivaldi Capital Management LP

Quarter ended Q1 2023 · Filed February 14, 2023 · Accession 0001604488-23-000078

Total Value

$403.1M

Positions

242

Other Managers

Confidential Omitted

View on SEC.gov

Holdings (242)

#	Issuer	Ticker / CUSIP	Shares	Value	% of Filing
1	SPDR S&P 500 ETF TR	SPY	41,916	$16.3M	4.03%
2	SPDR SER TR	78464A854	348,020	$15.9M	3.94%
3	SPDR INDEX SHS FDS	78463X889	449,169	$13.9M	3.45%
4	ANGEL OAK MTG INC	AOMN	1,592,301	$10.7M	2.66%
5	FIRST TR EXCHANGE-TRADED FD	33739Q200	208,876	$10.0M	2.48%
6	APPLE INC	AAPL	62,510	$8.1M	2.02%
7	ISHARES TR	464287200	20,633	$8.0M	1.99%
8	FIRST TR EXCH TRADED FD III	33740J203	310,798	$6.3M	1.55%
9	SPDR SER TR	78468R101	211,802	$6.1M	1.53%
10	ISHARES GOLD TR	IAU	171,973	$6.1M	1.52%
11	SPDR SER TR	78468R853	158,703	$6.1M	1.51%
12	PGIM HIGH YIELD BOND FUND IN	ISD	485,371	$6.0M	1.48%
13	ISHARES TR	464287168	48,329	$6.0M	1.48%
14	ISHARES TR	46436E882	236,509	$5.8M	1.45%
15	SPDR SER TR	78464A847	130,035	$5.7M	1.42%
16	INVESCO SR INCOME TR	IVZ	1,492,341	$5.7M	1.41%
17	GAMING & LEISURE PPTYS INC	36467J108	110,724	$5.6M	1.40%
18	MICROSOFT CORP	MSFT	24,495	$5.6M	1.38%
19	VANGUARD SCOTTSDALE FDS	92206C102	94,911	$5.5M	1.37%
20	VANGUARD INDEX FDS	922908769	28,379	$5.5M	1.37%
21	SCHWAB STRATEGIC TR	808524201	108,063	$4.9M	1.23%
22	ISHARES TR	464287465	70,087	$4.8M	1.19%
23	BLACKROCK MUNICIPAL INCOME	BLK	393,366	$4.6M	1.14%
24	BLACKSTONE STRATEGIC CREDIT	BX	403,819	$4.3M	1.07%
25	SPDR GOLD TR	GLD	24,393	$4.2M	1.05%
26	SCHWAB STRATEGIC TR	808524805	126,316	$4.2M	1.05%
27	BLACKROCK MUNIYIELD FD INC	BLK	371,020	$4.0M	0.98%
28	ARES DYNAMIC CR ALLOCATION F	04014F102	332,300	$4.0M	0.98%
29	INVESCO QUALITY MUN INCOME T	IVZ	396,042	$3.9M	0.98%
30	FIRST TR EXCH TRD ALPHDX FD	33737J109	145,988	$3.9M	0.97%
31	VANGUARD TAX-MANAGED FDS	921943858	89,037	$3.9M	0.97%
32	ALLIANCEBERNSTEIN NATL MUN I	01864U106	360,567	$3.9M	0.96%
33	DWS MUN INCOME TR	233368109	423,437	$3.8M	0.93%
34	VANGUARD INDEX FDS	922908363	10,476	$3.8M	0.93%
35	SCHWAB STRATEGIC TR	808524102	79,590	$3.6M	0.90%
36	ALLIANCEBERNSTEIN GLOBAL HIG	AWF	366,690	$3.6M	0.88%
37	SPDR SER TR	78464A375	108,129	$3.5M	0.87%
38	J P MORGAN EXCHANGE TRADED F	46641Q241	73,366	$3.4M	0.85%
39	ISHARES TR	464287457	42,107	$3.4M	0.85%
40	WESTERN ASSET MANAGED MUNS F	95766M105	329,318	$3.4M	0.85%
41	SCHWAB STRATEGIC TR	808524862	70,181	$3.4M	0.84%
42	BARINGS GLOBAL SHORT DURATIO	BGH	257,614	$3.4M	0.84%
43	PUTNAM PREMIER INCOME TR	PPT	907,463	$3.4M	0.84%
44	ISHARES TR	464288257	38,612	$3.4M	0.84%
45	TESLA INC	TSLA	25,677	$3.1M	0.76%
46	ISHARES TR	464287507	12,175	$3.0M	0.75%
47	ISHARES TR	464288158	28,637	$3.0M	0.74%
48	PROCTER AND GAMBLE CO	742718109	19,049	$2.9M	0.72%
49	JPMORGAN CHASE & CO	VYLD	20,653	$2.8M	0.70%
50	FIRST TR EXCH TRADED FD III	33739N108	52,553	$2.7M	0.66%
51	DNP SELECT INCOME FD INC	23325P104	214,831	$2.5M	0.61%
52	VANGUARD INDEX FDS	922908744	17,233	$2.5M	0.61%
53	ISHARES TR	464287150	27,114	$2.3M	0.58%
54	VANGUARD INDEX FDS	922908629	10,696	$2.2M	0.55%
55	ISHARES TR	464287499	32,242	$2.2M	0.55%
56	VANGUARD INDEX FDS	922908751	11,571	$2.2M	0.54%
57	VANGUARD INTL EQUITY INDEX F	922042858	52,709	$2.2M	0.54%
58	ISHARES TR	464287598	13,949	$2.2M	0.54%
59	PFIZER INC	PFE	44,374	$2.1M	0.53%
60	GLOBAL X FDS	37954Y343	50,653	$2.1M	0.53%
61	ALPHABET INC	GOOG	23,701	$2.1M	0.52%
62	BERKSHIRE HATHAWAY INC DEL	BRK-A	6,528	$2.1M	0.51%
63	PRA GROUP INC	PRAA	58,636	$2.0M	0.51%
64	ISHARES TR	464287655	11,243	$2.0M	0.50%
65	VANGUARD INDEX FDS	922908553	23,425	$2.0M	0.49%
66	HALOZYME THERAPEUTICS INC	HALO	34,478	$1.9M	0.47%
67	SPDR INDEX SHS FDS	78463X509	54,192	$1.9M	0.47%
68	INVESTMENT MANAGERS SER TR	46143U849	50,439	$1.9M	0.46%
69	BOEING CO	BA-PA	8,936	$1.9M	0.46%
70	ISHARES TR	464287564	32,543	$1.8M	0.45%
71	SCHWAB STRATEGIC TR	808524607	41,456	$1.7M	0.43%
72	ABBVIE INC	ABBV	10,136	$1.6M	0.41%
73	SCHWAB STRATEGIC TR	808524706	64,325	$1.6M	0.40%
74	SCHWAB STRATEGIC TR	808524508	22,073	$1.5M	0.37%
75	SCHWAB STRATEGIC TR	808524755	48,486	$1.5M	0.36%
76	ISHARES TR	464287614	6,710	$1.4M	0.36%
77	ISHARES TR	464288356	25,455	$1.4M	0.36%
78	SELECT SECTOR SPDR TR	81369Y506	16,497	$1.4M	0.36%
79	ISHARES TR	46432F842	22,126	$1.4M	0.35%
80	VANGUARD INTL EQUITY INDEX F	922042742	15,018	$1.3M	0.33%
81	THERMO FISHER SCIENTIFIC INC	TMO	2,341	$1.3M	0.32%
82	UNITEDHEALTH GROUP INC	UNH	2,592	$1.3M	0.32%
83	JOHNSON & JOHNSON	JNJ	6,960	$1.2M	0.30%
84	VANGUARD SPECIALIZED FUNDS	921908844	7,770	$1.2M	0.30%
85	FIRST TR EXCH TRADED FD III	33739E108	67,972	$1.2M	0.29%
86	SCHWAB STRATEGIC TR	808524730	43,538	$1.1M	0.28%
87	DIMENSIONAL ETF TRUST	25434V807	35,197	$1.1M	0.28%
88	EXXON MOBIL CORP	XOM	10,053	$1.1M	0.27%
89	ISHARES TR	46435G326	18,582	$1.1M	0.27%
90	LUMINAR TECHNOLOGIES INC	LAZRQ	250,000	$1.1M	0.27%
91	LISTED FD TR	53656F623	34,398	$1.1M	0.27%
92	ALPHABET INC	GOOG	11,842	$1.0M	0.26%
93	ISHARES TR	464288406	15,684	$1.0M	0.25%
94	ABBOTT LABS	ABLZF	8,606	$965,154	0.24%
95	ISHARES TR	464287804	9,896	$960,187	0.24%
96	ISHARES TR	464288182	13,834	$958,558	0.24%
97	VANECK ETF TRUST	92189F700	10,700	$945,559	0.23%
98	ISHARES TR	464287762	3,370	$939,051	0.23%
99	ACCENTURE PLC IRELAND	ACN	3,373	$923,359	0.23%
100	SCHWAB STRATEGIC TR	808524771	16,539	$909,810	0.23%
101	AMAZON COM INC	AMZN	10,207	$891,684	0.22%
102	ALPS ETF TR	00162Q452	22,469	$882,357	0.22%
103	PEPSICO INC	PEP	4,899	$878,538	0.22%
104	SELECT SECTOR SPDR TR	81369Y803	6,765	$853,562	0.21%
105	3M CO	MMM	6,425	$814,626	0.20%
106	DIMENSIONAL ETF TRUST	25434V666	32,305	$810,532	0.20%
107	ISHARES TR	464287721	10,550	$796,298	0.20%
108	MERCK & CO INC	MRK	7,085	$782,042	0.19%
109	LILLY ELI & CO	LLY	2,221	$776,972	0.19%
110	ISHARES TR	464287101	4,448	$765,857	0.19%
111	CISCO SYS INC	CSCO	15,525	$754,205	0.19%
112	MCDONALDS CORP	MCD	2,696	$720,626	0.18%
113	HOME DEPOT INC	HD	2,244	$713,166	0.18%
114	AMERICAN CENTY ETF TR	025072802	12,284	$700,335	0.17%
115	AMERICAN CENTY ETF TR	025072877	9,084	$694,097	0.17%
116	CHEVRON CORP NEW	CVX	3,959	$693,538	0.17%
117	VANGUARD INTL EQUITY INDEX F	922042874	11,662	$683,040	0.17%
118	ORACLE CORP	ORCL-PD	7,890	$681,854	0.17%
119	ISHARES TR	464287556	5,176	$674,378	0.17%
120	VANGUARD INTL EQUITY INDEX F	922042775	12,573	$659,454	0.16%
121	VERIZON COMMUNICATIONS INC	VZ	15,677	$648,557	0.16%
122	TARGET CORP	TGT	3,981	$622,429	0.15%
123	COCA COLA CO	KO	9,912	$620,590	0.15%
124	WALMART INC	WMT	4,220	$611,688	0.15%
125	DIMENSIONAL ETF TRUST	25434V740	25,838	$610,552	0.15%
126	VISA INC	V	2,759	$603,117	0.15%
127	BLACKROCK MUNIYIELD QUALITY	BLK	52,724	$593,672	0.15%
128	US BANCORP DEL	USB-PS	12,657	$589,943	0.15%
129	DIMENSIONAL ETF TRUST	25434V773	26,089	$584,926	0.15%
130	ISHARES TR	464287234	14,107	$569,482	0.14%
131	VANGUARD MUN BD FDS	922907746	11,208	$562,978	0.14%
132	SELECT SECTOR SPDR TR	81369Y605	15,475	$545,494	0.14%
133	NVIDIA CORPORATION	NVDA	3,436	$536,978	0.13%
134	ISHARES TR	464287226	5,264	$522,926	0.13%
135	APOLLO GLOBAL MGMT INC	03769M106	7,769	$507,471	0.13%
136	BROOKFIELD INFRAST PARTNERS	G16252101	15,000	$504,300	0.13%
137	DISNEY WALT CO	254687106	5,187	$491,572	0.12%
138	NORTHERN TR CORP	NTRSO	5,206	$490,457	0.12%
139	GENERAL ELECTRIC CO	369604301	6,748	$490,377	0.12%
140	CME GROUP INC	CME	2,787	$489,955	0.12%
141	VANGUARD INDEX FDS	922908611	2,973	$484,240	0.12%
142	BERKSHIRE HATHAWAY INC DEL	BRK-A	1	$478,385	0.12%
143	NEXTERA ENERGY INC	NEE-PW	5,676	$477,181	0.12%
144	AMGEN INC	AMGN	1,747	$471,900	0.12%
145	MOTOROLA SOLUTIONS INC	MSI	1,809	$471,443	0.12%
146	NEUBERGER BRMAN CLIFRN MUNI	64123C101	40,789	$464,176	0.12%
147	MASTERCARD INCORPORATED	MA	1,240	$460,003	0.11%
148	VANGUARD ADMIRAL FDS INC	921932505	2,150	$453,779	0.11%
149	WILLIS TOWERS WATSON PLC LTD	WTW	1,771	$451,711	0.11%
150	MORGAN STANLEY	MS-PQ	4,881	$427,771	0.11%
151	SELECT SECTOR SPDR TR	81369Y209	3,157	$421,144	0.10%
152	CBRE GROUP INC	CBRE	5,046	$412,561	0.10%
153	HONEYWELL INTL INC	438516106	1,892	$398,588	0.10%
154	ALTRIA GROUP INC	MO	8,624	$396,532	0.10%
155	ISHARES TR	46434VAX8	15,798	$396,045	0.10%
156	INVESCO QQQ TR	IVZ	1,447	$394,785	0.10%
157	SPDR SER TR	78468R739	8,330	$394,509	0.10%
158	SPDR DOW JONES INDL AVERAGE	78467X109	1,165	$390,613	0.10%
159	INTERNATIONAL BUSINESS MACHS	INTR	2,693	$386,580	0.10%
160	DOUBLELINE INCOME SOLUTIONS	DSL	31,200	$376,584	0.09%
161	PROSHARES TR	74347B425	23,751	$372,655	0.09%
162	D R HORTON INC	23331A109	3,983	$369,503	0.09%
163	ISHARES TR	464288646	7,300	$366,606	0.09%
164	PRUDENTIAL FINL INC	PUKPF	3,659	$359,533	0.09%
165	SPDR SER TR	78464A508	8,726	$352,181	0.09%
166	VANGUARD WORLD FDS	92204A702	1,085	$351,594	0.09%
167	BLACKROCK INC	BLK	459	$345,622	0.09%
168	PHILLIPS EDISON & CO INC	PECO	10,790	$344,525	0.09%
169	BRISTOL-MYERS SQUIBB CO	CELG-RI	4,813	$341,771	0.08%
170	SELECT SECTOR SPDR TR	81369Y704	3,342	$335,737	0.08%
171	DIMENSIONAL ETF TRUST	25434V500	6,312	$331,443	0.08%
172	UNION PAC CORP	UNP	1,563	$330,512	0.08%
173	ARK ETF TR	00214Q104	9,670	$325,112	0.08%
174	INVESCO CALIF VALUE MUN INCO	IVZ	32,802	$321,131	0.08%
175	SPDR INDEX SHS FDS	78463X202	7,537	$313,162	0.08%
176	NIKE INC	NKE	2,455	$306,507	0.08%
177	COMCAST CORP NEW	CCZ	8,088	$303,714	0.08%
178	BANK AMERICA CORP	060505104	8,956	$303,531	0.08%
179	ROBINHOOD MKTS INC	770700102	35,185	$300,832	0.07%
180	META PLATFORMS INC	META	2,264	$293,120	0.07%
181	FIRST TR EXCHANGE TRADED FD	33737A108	3,234	$291,574	0.07%
182	DIMENSIONAL ETF TRUST	25434V724	8,531	$290,738	0.07%
183	COSTCO WHSL CORP NEW	22160K105	606	$290,123	0.07%
184	ISHARES TR	46435G672	5,988	$288,454	0.07%
185	CONAGRA BRANDS INC	CAG	7,043	$284,678	0.07%
186	ISHARES TR	464288679	2,568	$282,466	0.07%
187	SCHWAB STRATEGIC TR	808524839	5,973	$278,302	0.07%
188	BANK NEW YORK MELLON CORP	064058100	5,727	$275,698	0.07%
189	TREEHOUSE FOODS INC	89469A104	5,500	$273,570	0.07%
190	BOOKING HOLDINGS INC	BKNG	123	$271,634	0.07%
191	VANGUARD WORLD FDS	92204A504	1,107	$270,163	0.07%
192	ISHARES TR	464288513	3,546	$268,787	0.07%
193	EXCHANGE TRADED CONCEPTS TR	301505707	5,485	$267,981	0.07%
194	INDEPENDENCE RLTY TR INC	45378A106	16,160	$265,670	0.07%
195	CUMMINS INC	CMI	1,082	$264,322	0.07%
196	DIMENSIONAL ETF TRUST	25434V815	10,262	$262,502	0.07%
197	NUVEEN CALIFORNIA AMT QLT MU	NU	20,421	$262,206	0.07%
198	ISHARES TR	464287473	2,414	$261,726	0.06%
199	DIMENSIONAL ETF TRUST	25434V609	5,754	$260,142	0.06%
200	ISHARES TR	464288414	2,410	$257,557	0.06%
201	NUVEEN CA QUALTY MUN INCOME	NU	22,764	$257,006	0.06%
202	INTEL CORP	INTC	8,743	$256,264	0.06%
203	DANAHER CORPORATION	235851102	991	$252,755	0.06%
204	ISHARES TR	464287879	2,650	$249,922	0.06%
205	AT&T INC	T-PC	13,126	$249,919	0.06%
206	DIMENSIONAL ETF TRUST	25434V880	10,896	$246,250	0.06%
207	DEERE & CO	DE	575	$246,215	0.06%
208	BROOKFIELD CORP	11271J107	7,275	$246,186	0.06%
209	VANECK ETF TRUST	92189F643	3,588	$244,379	0.06%
210	ISHARES TR	464288224	11,948	$239,557	0.06%
211	INVESCO EXCHANGE TRADED FD T	IVZ	4,882	$238,376	0.06%
212	PAYCHEX INC	PAYX	2,025	$237,755	0.06%
213	RPM INTL INC	749685103	2,730	$237,537	0.06%
214	ISHARES TR	464288273	4,046	$235,639	0.06%
215	SELECT SECTOR SPDR TR	81369Y886	3,288	$235,026	0.06%
216	BROADRIDGE FINL SOLUTIONS IN	11133T103	1,694	$234,890	0.06%
217	VANGUARD INTL EQUITY INDEX F	922042718	2,172	$232,035	0.06%
218	VANGUARD WORLD FDS	92204A306	1,912	$230,262	0.06%
219	AMERICAN EXPRESS CO	AXP	1,526	$229,510	0.06%
220	ISHARES TR	46435G425	2,647	$227,377	0.06%
221	FRANKLIN TEMPLETON ETF TR	FGDL	10,172	$221,851	0.06%
222	VANECK ETF TRUST	92189F106	6,906	$219,887	0.05%
223	DIMENSIONAL ETF TRUST	25434V708	8,710	$217,315	0.05%
224	EATON VANCE CALIF MUN INCOM	ETN	21,034	$213,074	0.05%
225	SCHWAB STRATEGIC TR	808524888	6,464	$211,308	0.05%
226	NETFLIX INC	NFLX	665	$209,588	0.05%
227	ARK ETF TR	00214Q302	6,829	$206,379	0.05%
228	BECTON DICKINSON & CO	BDX	816	$205,999	0.05%
229	LYFT INC	LYFT	16,120	$204,724	0.05%
230	EATON VANCE CALIF MUN BD FD	ETN	23,104	$204,473	0.05%
231	METLIFE INC	MET-PF	2,828	$201,750	0.05%
232	INVESCO EXCH TRADED FD TR II	IVZ	8,567	$201,325	0.05%
233	EXCHANGE LISTED FDS TR	30151E806	10,675	$191,510	0.05%
234	STARWOOD PPTY TR INC	STHO	10,000	$190,300	0.05%
235	NUVEEN QUALITY MUNCP INCOME	NU	12,930	$152,186	0.04%
236	NUVEEN AMT FREE QLTY MUN INC	NU	12,997	$146,866	0.04%
237	KAYNE ANDERSON ENERGY INFRST	486606106	14,645	$126,386	0.03%
238	SOFI TECHNOLOGIES INC	SOFI	15,859	$76,440	0.02%
239	REUNION NEUROSCIENCE INC	76134G103	30,000	$40,122	0.01%
240	INDAPTUS THERAPEUTICS INC	INDP	24,000	$38,400	0.01%
241	GALECTIN THERAPEUTICS INC	GALT	19,261	$22,535	0.01%
242	BIRD GLOBAL INC	BBIO	25,000	$5,563	0.00%