Vivaldi Capital Management LP
Firm details
- Headquarters
- Chicago, Illinois
- CRD number
- 160150
- Registered since
- February 13, 2012
- Website
- www.vivaldicap.com
- Custodians
- CHARLES SCHWAB & CO., INC.
- Fee structure
- Percentage of AUM, Fixed Fees, Performance Based Fees
- Client types
- HNWI80.21%
- Individuals14.19%
- Other Investment Advisers2.66%
- Pension & Profit Sharing Plans2.4%
- Pooled Investment Vehicles0.54%
- Services
- Financial PlanningPortfolio Management for IndividualsPortfolio Management for Pooled Investment VehiclesPortfolio Management for Institutional ClientsPension ConsultingSelection of Other AdvisersEducational Seminars / Workshops
Firm profile
FINTRXOverview
Vivaldi Capital Management LP is an independent registered investment adviser organized as a limited partnership and active as a capital allocator to both high-net-worth individuals/families and institutional clients. Registered with the SEC since 2012, the firm provides portfolio management across individual, pooled and institutional mandates and offers financial planning, pension consulting, adviser selection and educational programs. It also acts in commodity pool/CTA capacities and sponsors or serves as GP/managing member of pooled investment vehicles. Fee arrangements include asset-based fees, fixed fees and performance-linked compensation. The firm has been recognized in industry rankings, appearing on the Financial Times’ Top 300 RIA Firms list in 2020.
Assets & Accounts
Public Holdings
Investments & Alternatives
Location & Offices
Investment profile
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient base
Client personas
Asset composition
- Private Funds51%
- Public Funds/Mutual Funds26%
- Exchange Traded Equities13%
- Cash & Cash Equivalents7%
- US Government Bonds2%
Owners & executives
3 of 4
David Sternberg
Chief Executive OfficerCRD 2352273
Marc Bassewitz
Chief Compliance Officer & General CounselCRD 5715569
Scott Hergott
Chief Investment OfficerCRD 2336468
Contacts
2 of 2
Frank Pellicori
Managing PartnerCRD 4233111
Meredith Weeks
Compliance ManagerCRD 7097939
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXETF holdings
1 of 168Active vs passive
$439M in ETFs
82%
$359M
4%
$80M
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| STATE STREET(R) SPDR(R) PORTFOLIO S&P 500(R) ETF (SPYM) | State Street | $27.8M | 362,979 | 6.32% |
Location
Chicago, IL
Cook
Location
Chicago, IL
Headquartered in Chicago, IL, anchoring the Chicago-Naperville, IL-IN-WI metro in the Midwest.
- Metro area
- Chicago-Naperville, IL-IN-WI
- Region
- Midwest
- County
- Cook
- Address
- 225 W Wacker Dr
- Time zone
- CT (UTC-6)
- Office locations
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