VIVALDI CAPITAL MANAGEMENT LP
Latest filing: Nov 15, 2024 (156 days ago)
AUM
$3,727,839,086
0% change vs. 1 year ago
12% change vs. 3 years ago
79% change vs. 5 years ago
601% change vs. 10 years ago
Employee Count
57
0% change vs. 1 year ago
14% change vs. 3 years ago
27% change vs. 5 years ago
470% change vs. 10 years ago
Main Office
CHICAGO, IL
225 WEST WACKER, CHICAGO, IL, UNITED STATES, 60606
Client AUM
| Discretion | AUM |
|---|---|
| Discretionary | $1.5 |
| Non-Discretionary | $2.3 |
| Total | $3.7 |
| Client | AUM |
|---|---|
| Retail | $3.6 |
| Pooled | $0.0 |
| Institutional | $0.1 |
| Total | $3.7 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 720 | $0.5 |
| Average Individual AUM | $725,119 | |
| HNW | 847 | $3.1 |
| Average HNW AUM | $3,648,067 | |
| Retail Total | 1,567 | $3.6 |
| Average Retail AUM | $2,305,041 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
SMA Custodians
| Custodian | Location | AUM |
|---|---|---|
| CHARLES SCHWAB & CO., INC. | SAN FRANCISCO-CA-USA | $1.7 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Separately Managed Assets
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $3.7 |
| Retail SMA AUM | $3.6 |
| Institutional SMA AUM | $0.1 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 8% | $0.3 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 7% | $0.3 |
| Municipal | 1% | $0.0 |
| Sovereign | 0% | $0.0 |
| IG Credit | 0% | $0.0 |
| HY Credit | 0% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 23% | $0.8 |
| Other Pools | 55% | $2.0 |
| Cash | 7% | $0.3 |
| Other | 0% | $0.0 |
| Total | 101% | $3.7 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
Affiliates
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| FIRST TRUST CAPITAL MANAGEMENT L.P. | $6.4 | 317825 | |
| VCM GP LLC | $0.0 | - | |
| FIRST TRUST INNOVATIVE TECHNOLOGIES L.P. | $0.0 | 307985 | |
| FTCS OFFSHORE FUND GP LLC | $0.0 | - |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Control Persons
17 active
| Name | Title |
|---|---|
| STERNBERG, DAVID, ALAN | CO-FOUNDER / CEO, OWNER, MANAGER |
| HERGOTT, SCOTT, LEE | CIO |
| BASSEWITZ, MARC, D | CHIEF COMPLIANCE OFFICER/GENERAL COUNSEL |
| PECK, MICHAEL, DILLON | MEMBER, LIMITED PARTNER |
| GUZMAN, YADIRA | CFO |
| PELLICORI, FRANK, DOMENIC | PRESIDENT & DIRECTOR OF WEALTH MANAGEMENT |
ADVDB.CO • SOURCE: SEC
Representatives
24 active representatives found, showing 20 random
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| ABIGAIL PHILLIPS | CHICAGO | IL | CERTIFIED FINANCIAL PLANNER | ||||||
| LILIAN LO | CHICAGO | IL | S66|2005-06-10 | CERTIFIED FINANCIAL PLANNER | |||||
| TED BREITER | CHICAGO | IL | S63|1981-04-27|S65|2018-01-31 | ||||||
| RANDAL GOLDEN | CHICAGO | IL | S63|1993-08-06|S65|2018-01-29 | ||||||
| ASHA GOLDSTEIN | CHICAGO | IL | S63|2004-01-16|S66|2006-09-06 | CERTIFIED FINANCIAL PLANNER | |||||
| ZACKARY MEUSER | CHICAGO | IL | S63|2011-12-05|S65|2016-03-22 | CERTIFIED FINANCIAL PLANNER | |||||
| RYAN MEACHAM | CHICAGO | IL | S63|2006-05-11|S65|2008-05-06 | ||||||
| ANDREW STERNBERG | CHICAGO | IL | CERTIFIED FINANCIAL PLANNER | ||||||
| DANIEL JONES | CHICAGO | IL | S63|1992-10-23|S65|1992-10-16 | ||||||
| WILLIAM PROPER | CHICAGO | IL | |||||||
| GREG GOLDFEDER | CHICAGO | IL | CHARTERED FINANCIAL ANALYST | ||||||
| MICHAEL PECK | CHICAGO | IL | CHARTERED FINANCIAL ANALYST | ||||||
| MEREDITH WEEKS | CHICAGO | IL | S65|2018-06-06 | ||||||
| DAVID STERNBERG | CHICAGO | IL | S65|2018-02-05 | ||||||
| ILYA ZLOTNIK | CHICAGO | IL | S66|2006-12-18 | ||||||
| BRANDON INTRATER | CHICAGO | IL | S65|2008-11-11 | ||||||
| BRIAN QUINN | CHICAGO | IL | S66|2007-04-25 | ||||||
| FRANK PELLICORI | CHICAGO | IL | S66|2009-05-26 | ||||||
| DAVID SNYDER | CHICAGO | IL | S65|2020-06-08 | ||||||
| RICHARD INTRATER | CHICAGO | IL | S63|1980-09-05|S65|2019-09-06 | ||||||
ADVDB.CO • SOURCE: SEC
History
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-03-06 | $3.7 | $0.0 | 0% | 57 | 0 | 0% |
| 2024-04-02 | $3.7 | $0.0 | 0% | 57 | 0 | 0% |
| 2023-04-04 | $3.3 | $0.4 | 12% | 53 | 4 | 8% |
| 2022-04-01 | $3.3 | $0.4 | 12% | 50 | 7 | 14% |
| 2021-04-05 | $3.1 | $0.6 | 19% | 56 | 1 | 2% |
| 2020-04-01 | $2.1 | $1.6 | 79% | 45 | 12 | 27% |
| 2019-04-01 | $1.5 | $2.2 | 144% | 36 | 21 | 58% |
| 2018-04-02 | $1.2 | $2.5 | 210% | 33 | 24 | 73% |
| 2017-04-01 | $0.9 | $2.9 | 338% | 20 | 37 | 185% |
| 2016-04-01 | $0.7 | $3.0 | 422% | 18 | 39 | 217% |
| 2015-04-01 | $0.5 | $3.2 | 601% | 10 | 47 | 470% |
| 2014-04-01 | $0.4 | $3.3 | 785% | 7 | 50 | 714% |
| 2013-04-01 | $0.3 | $3.4 | 1226% | 6 | 51 | 850% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Other
| STATE REGISTRATIONS |
| IL, AK-02/22/2019, AZ-02/08/2016, CA-04/09/2012, CO-02/08/2016, CT-02/08/2016, DC-03/27/2020, DE-03/29/2024, FL-10/09/2012, GA-02/08/2016, HI-03/29/2021, IA-03/27/2020, IL-02/13/2012, IN-10/17/2016, KS-03/31/2017, KY-03/31/2017, MA-07/29/2016, MD-02/22/2019, MI-11/14/2013, MN-03/31/2017, MO-03/29/2021, MT-12/04/2018, NC-03/27/2020, NE-03/30/2023, NJ-08/05/2016, NM-02/08/2016, NV-07/29/2016, NY-04/09/2012, OH-01/13/2020, OK-03/30/2023, OR-02/22/2019, PA-02/08/2016, SC-07/29/2016, SD-03/29/2021, TN-02/08/2016, TX-07/11/2012, UT-03/27/2020, VA-02/22/2019, VT-03/21/2022, WA-03/29/2018, WI-04/12/2013, WY-02/22/2019 |
| ADVISER ACTIVITIES |
|
FINANCIAL PLANNING PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (POOLS) PORTFOLIO MANAGEMENT (SMB) PENSION CONSULTING MANAGER SELECTION EDUCATIONAL WORKSHOPS |
| OTHER ACTIVITIES |
|
COMMODITY TRADING ADVISOR |
ADVDB.CO • SOURCE: SEC FORM ADV