VIVALDI CAPITAL MANAGEMENT, LLC

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Vivaldi Capital Management is based out of Chicago. Vivaldi Capital Management is a large advisory firm with 770 clients and discretionary assets under management (AUM) of $1,158,340,498 (Form ADV from 2019-07-01). Their last reported 13F filing for Q2 2019 included $382,856,000 in managed 13F securities and a top 10 holdings concentration of 35.94%. Vivaldi Capital Management's largest holding is Vivaldi Opportunities Fund with shares held of 4,282,326. Whalewisdom has at least 11 13F filings

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06/30/2019

13F Sector Allocation Over Time

06/30/2019

13F Activity

  • Market Value $382.856 Million
  • Prior Market Value $359.713 Million
  • New Purchases34 stocks
  • Additional Purchases86 stocks
  • Sold out of24 stocks
  • Reduced holdings in88 stocks
  • Top 10 Holdings % 35.94 %
  • Turnover % [1]:24.68%
  • Turnover Alt % [2]: 18.14 %
  • Time Held Top20:3.00 quarters
  • Time Held Top10:2.30 quarters
  • Time Held All:4.01 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-08-14

Performance for Q2 2019: -1.21%
Performance Last 4 Quarters: -1.57%
Performance Metrics
Stats are not available for the latest quarter

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13F Filings Available:
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR/A (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

VIVALDI CAPITAL MANAGEMENT, LLC
Classified as Hedge Fund
225 WEST WACKER SUITE 2100
CHICAGO IL    60606
Country: United States

Business Phone: 312.248.8300
Fax: 847.386.2910
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 36
Other Business Activities: commodity pool operator or commodity trading advisor
Advisor Fees/Compensation: Percentage of assets under management,Fixed fees,Performance-based fees
Amount of client funds and securities: 742,206,000
Total Number of Clients: 770
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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VIVALDI CAPITAL MANAGEMENT, LLC

ownership team - last updated 2019-04-29
Name Title Start Date Direct/Indirect % Ownership
GOLDEN, RANDAL, LAWRENCE CO-FOUNDER / CFO 12/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
PRESERVATION CAPITAL PARTNERS, LTD. PRESIDENT direct 2004-12-01
FGMK/PRESERVATON CAPITAL PARTNERS, LLC MANAGER AND CHIEF COMPLIANCE OFFICER direct 2004-12-01
PRESERVATION CAPITAL PARTNERS, LTD. PRESIDENT AND CCO direct 2004-12-01
FGMK/PRESERVATON CAPITAL PARTNERS, LLC MANAGING DIRECTOR AND CHIEF COMPLIANCE OFFICER direct 2004-12-01
PRESERVATION CAPITAL PARTNERS, LTD. PRESIDENT AND CHIEF COMPLIANCE OFFICER direct 2004-12-01
VIVALDI CAPITAL MANAGEMENT, LLC ELECTED MANAGER/CCO direct 2011-12-01
VIVALDI CAPITAL MANAGEMENT, LLC CO-FOUNDER / CFO/ CCO direct 2011-12-01
VIVALDI CAPITAL MANAGEMENT, LLC OWNER indirect 2011-12-01
VIVALDI CAPITAL MANAGEMENT, LLC CEO/ CIO/ CCO direct 2011-12-01
VIVALDI CAPITAL MANAGEMENT, LLC CO-FOUNDER / CFO direct 2011-12-01
GOLDEN, RANDAL LAWRENCE CCO direct 2011-12-01
VIVALDI ASSET MANAGEMENT, LLC OWNER indirect 2011-12-01
VIVALDI ASSET MANAGEMENT LLC CO-FOUNDER/CHIEF FINANCIAL OFFICER direct 2013-08-01
VIVALDI ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER / CHIEF EXECUTIVE OFFICER direct 2013-08-01
VIVALDI ASSET MANAGEMENT, LLC CO-FOUNDER/CHIEF FINANCIAL OFFICER/CHIEF COMPLIANCE OFFICER direct 2013-08-01
STERNBERG, DAVID, ALAN CO-FOUNDER / CEO 12/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
IRON PARTNERS LLC GENERAL PARTNER/PORTFOLIO MANAGER direct 1998-06-01
IRON PARTNERS LLC MEMBER direct 1998-06-01
VIVALDI CAPITAL MANAGEMENT, LLC PRINCIPAL direct 2011-12-01
VIVALDI CAPITAL MANAGEMENT, LLC OWNER indirect 2011-12-01
VIVALDI CAPITAL MANAGEMENT, LLC CO-FOUNDER AND CEO direct 2011-12-01
VIVALDI CAPITAL MANAGEMENT, LLC CO-FOUNDER / CEO direct 2011-12-01
GOLDEN, RANDAL LAWRENCE OWNER indirect 2011-12-01
VIVALDI CAPITAL MANAGEMENT, LLC ELECTED MANAGER direct 2011-12-01
VIVALDI ASSET MANAGEMENT, LLC OWNER indirect 2011-12-01
VIVALDI ASSET MANAGEMENT, LLC CO-FOUNDER/CEO direct 2014-01-01
PECK, MICHAEL, DILLON CO-CIO / PRESIDENT 01/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
VIVALDI CAPITAL MANAGEMENT, LLC CO-CIO / PRESIDENT direct 2013-01-01
VIVALDI CAPITAL MANAGEMENT, LLC CO-CIO AND PRESIDENT direct 2013-01-01
VIVALDI ASSET MANAGEMENT, LLC PRESIDENT direct 2013-08-01
VIVALDI ASSET MANAGEMENT LLC PRESIDENT/CO-CIO direct 2013-08-01
HERGOTT, SCOTT, LEE CO-CIO / DIRECTOR OF RESEARCH 01/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
VIVALDI CAPITAL MANAGEMENT, LLC CO-CIO / DIRECTOR OF RESEARCH direct 2013-01-01
VIVALDI CAPITAL MANAGEMENT, LLC CO-CIO AND DIRECTOR OF RESEARCH direct 2013-01-01
VIVALDI ASSET MANAGEMENT, LLC HEAD OF RESEARCH/CO/CIO direct 2014-01-01
VIVALDI ASSET MANAGEMENT, LLC HEAD OF RESEARCH/CO-CIO direct 2014-01-01
EISENBERG, CHAD, SAMUAL CHIEF OPERATING OFFICER 01/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
VIVALDI CAPITAL MANAGEMENT, LLC CHIEF OPERATING OFFICER direct 2014-01-01
VIVALDI ASSET MANAGEMENT, LLC CHIEF OPERATING OFFICER direct 2014-01-01
VIVALDI HOLDINGS, LLC MEMBER 12/01/2014 Direct 75% or more
Fund Name Position direct/indirect start date end date
VIVALDI CAPITAL MANAGEMENT, LLC MEMBER direct 2014-12-01
VIVALDI ASSET MANAGEMENT, LLC MEMBER direct 2014-12-01
VCM EQUITY HOLDINGS LLC MEMBER 10/01/2017 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
VIVALDI CAPITAL MANAGEMENT, LLC MEMBER direct 2017-10-01
BASSEWITZ, MARC, D CHIEF COMPLIANCE OFFICER/GENERAL COUNSEL 01/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
WILLIAM HARRIS INVESTORS, INC. GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2009-09-01
WILLIAM HARRIS INVESTORS, INC. VICE PRESIDENT, GENERAL COUNSEL, SECRETARY/CHIEF COMPLIANCE OFFICER direct 2009-09-01
WILLIAM HARRIS INVESTORS, INC. VICE PRESIDENT AND GENERAL COUNSEL/CHIEF COMPLIANCE OFFICER direct 2009-09-01
STERNBERG, DAVID, ALAN OWNER AAJ VENTURES INC 12/01/2011 Indirect 75% or more
Fund Name Position direct/indirect start date end date
IRON PARTNERS LLC GENERAL PARTNER/PORTFOLIO MANAGER direct 1998-06-01
IRON PARTNERS LLC MEMBER direct 1998-06-01
VIVALDI CAPITAL MANAGEMENT, LLC PRINCIPAL direct 2011-12-01
VIVALDI CAPITAL MANAGEMENT, LLC OWNER indirect 2011-12-01
VIVALDI CAPITAL MANAGEMENT, LLC CO-FOUNDER AND CEO direct 2011-12-01
VIVALDI CAPITAL MANAGEMENT, LLC CO-FOUNDER / CEO direct 2011-12-01
GOLDEN, RANDAL LAWRENCE OWNER indirect 2011-12-01
VIVALDI CAPITAL MANAGEMENT, LLC ELECTED MANAGER direct 2011-12-01
VIVALDI ASSET MANAGEMENT, LLC OWNER indirect 2011-12-01
VIVALDI ASSET MANAGEMENT, LLC CO-FOUNDER/CEO direct 2014-01-01
AAJ VENTURES INC MEMBER VIVALDI HOLDINGS, LLC 12/01/2014 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
GOLDEN, RANDAL LAWRENCE MEMBER direct 2011-12-01
VIVALDI CAPITAL MANAGEMENT, LLC MEMBER indirect 2014-12-01
VIVALDI ASSET MANAGEMENT, LLC MEMBER direct 2013-08-01
VIVALDI ASSET MANAGEMENT, LLC MEMBER indirect 2014-12-01
VIVALDI ASSET MANAGEMENT, LLC OWNER indirect 2014-12-01
VIVALDI HOLDINGS LLC MANAGING MEMBER VCM EQUITY HOLDINGS LLC 10/01/2017 Indirect Other
Fund Name Position direct/indirect start date end date
VIVALDI CAPITAL MANAGEMENT, LLC MEMBER direct 2014-12-01
VIVALDI ASSET MANAGEMENT, LLC MEMBER direct 2014-12-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
VCM CORE OPPORTUNITIES FUND LLC - ADVISOR SERIES United States 805-6659018415 Private Equity Fund 4,004,773 10,000 Fund of Funds
VCM CORE ALTERNATIVE FUND LLC - LONG/SHORT United States 805-4243329997 Hedge Fund 49,270,106 100,000 Master Fund Fund of Funds
VCM CORE ALTERNATIVE FUND LLC - EVENT United States 805-4056889573 Hedge Fund 31,959,044 100,000 Master Fund Fund of Funds
VCM CORE ALTERNATIVE FUND LLC - MORTGAGES United States 805-4623230810 Hedge Fund 0 100,000 Master Fund Fund of Funds
VCM CORE ALTERNATIVE FUND LLC - ARBITRAGE United States 805-5557381004 Hedge Fund 22,792,387 100,000 Master Fund Fund of Funds
VIVALDI PRIVATE INVESTMENT PLATFORM LLC - PRIVATE EQUITY United States 805-9083287289 Private Equity Fund 4,632,927 1,000,000 Fund of Funds
VIVALDI PRIVATE INVESTMENT PLATFORM LLC - REAL ESTATE United States 805-3933967988 Private Equity Fund 62,398,191 1,000,000 Fund of Funds
VCM CORE OPPORTUNITIES FUND LLC - REAL ESTATE United States 805-5646461588 Private Equity Fund 11,137,860 100,000 Fund of Funds
VCM CORE ALTERNATIVE FUND LLC - MULTI-STRATEGY United States 805-4255372535 Hedge Fund 39,250,748 100,000 Master Fund Fund of Funds
VCM CORE ALTERNATIVE FUND LLC - CREDIT United States 805-4644250977 Hedge Fund 21,481,429 100,000 Master Fund Fund of Funds
VCM CORE OPPORTUNITIES FUND LLC - PRIVATE EQUITY United States 805-4216298546 Private Equity Fund 190,097,575 100,000 Master Fund Fund of Funds
HIGHLAND CAPITAL MANAGEMENT INSTITUTIONAL FUND II LLC United States 805-1089194331 Hedge Fund 19,523,550 250,000 Master Fund

VIVALDI CAPITAL MANAGEMENT, LLC

ownership team - last updated 2019-03-01
Name Title Start Date Direct/Indirect % Ownership
GOLDEN, RANDAL, LAWRENCE CO-FOUNDER / CFO 12/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
PRESERVATION CAPITAL PARTNERS, LTD. PRESIDENT direct 2004-12-01
FGMK/PRESERVATON CAPITAL PARTNERS, LLC MANAGER AND CHIEF COMPLIANCE OFFICER direct 2004-12-01
PRESERVATION CAPITAL PARTNERS, LTD. PRESIDENT AND CCO direct 2004-12-01
FGMK/PRESERVATON CAPITAL PARTNERS, LLC MANAGING DIRECTOR AND CHIEF COMPLIANCE OFFICER direct 2004-12-01
PRESERVATION CAPITAL PARTNERS, LTD. PRESIDENT AND CHIEF COMPLIANCE OFFICER direct 2004-12-01
VIVALDI CAPITAL MANAGEMENT, LLC ELECTED MANAGER/CCO direct 2011-12-01
VIVALDI CAPITAL MANAGEMENT, LLC CO-FOUNDER / CFO/ CCO direct 2011-12-01
VIVALDI CAPITAL MANAGEMENT, LLC OWNER indirect 2011-12-01
VIVALDI CAPITAL MANAGEMENT, LLC CEO/ CIO/ CCO direct 2011-12-01
VIVALDI CAPITAL MANAGEMENT, LLC CO-FOUNDER / CFO direct 2011-12-01
GOLDEN, RANDAL LAWRENCE CCO direct 2011-12-01
VIVALDI ASSET MANAGEMENT, LLC OWNER indirect 2011-12-01
VIVALDI ASSET MANAGEMENT LLC CO-FOUNDER/CHIEF FINANCIAL OFFICER direct 2013-08-01
VIVALDI ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER / CHIEF EXECUTIVE OFFICER direct 2013-08-01
VIVALDI ASSET MANAGEMENT, LLC CO-FOUNDER/CHIEF FINANCIAL OFFICER/CHIEF COMPLIANCE OFFICER direct 2013-08-01
STERNBERG, DAVID, ALAN CO-FOUNDER / CEO 12/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
IRON PARTNERS LLC GENERAL PARTNER/PORTFOLIO MANAGER direct 1998-06-01
IRON PARTNERS LLC MEMBER direct 1998-06-01
VIVALDI CAPITAL MANAGEMENT, LLC PRINCIPAL direct 2011-12-01
VIVALDI CAPITAL MANAGEMENT, LLC OWNER indirect 2011-12-01
VIVALDI CAPITAL MANAGEMENT, LLC CO-FOUNDER AND CEO direct 2011-12-01
VIVALDI CAPITAL MANAGEMENT, LLC CO-FOUNDER / CEO direct 2011-12-01
GOLDEN, RANDAL LAWRENCE OWNER indirect 2011-12-01
VIVALDI CAPITAL MANAGEMENT, LLC ELECTED MANAGER direct 2011-12-01
VIVALDI ASSET MANAGEMENT, LLC OWNER indirect 2011-12-01
VIVALDI ASSET MANAGEMENT, LLC CO-FOUNDER/CEO direct 2014-01-01
PECK, MICHAEL, DILLON CO-CIO / PRESIDENT 01/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
VIVALDI CAPITAL MANAGEMENT, LLC CO-CIO / PRESIDENT direct 2013-01-01
VIVALDI CAPITAL MANAGEMENT, LLC CO-CIO AND PRESIDENT direct 2013-01-01
VIVALDI ASSET MANAGEMENT, LLC PRESIDENT direct 2013-08-01
VIVALDI ASSET MANAGEMENT LLC PRESIDENT/CO-CIO direct 2013-08-01
HERGOTT, SCOTT, LEE CO-CIO / DIRECTOR OF RESEARCH 01/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
VIVALDI CAPITAL MANAGEMENT, LLC CO-CIO / DIRECTOR OF RESEARCH direct 2013-01-01
VIVALDI CAPITAL MANAGEMENT, LLC CO-CIO AND DIRECTOR OF RESEARCH direct 2013-01-01
VIVALDI ASSET MANAGEMENT, LLC HEAD OF RESEARCH/CO/CIO direct 2014-01-01
VIVALDI ASSET MANAGEMENT, LLC HEAD OF RESEARCH/CO-CIO direct 2014-01-01
EISENBERG, CHAD, SAMUAL CHIEF OPERATING OFFICER 01/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
VIVALDI CAPITAL MANAGEMENT, LLC CHIEF OPERATING OFFICER direct 2014-01-01
VIVALDI ASSET MANAGEMENT, LLC CHIEF OPERATING OFFICER direct 2014-01-01
VIVALDI HOLDINGS, LLC MEMBER 12/01/2014 Direct 75% or more
Fund Name Position direct/indirect start date end date
VIVALDI CAPITAL MANAGEMENT, LLC MEMBER direct 2014-12-01
VIVALDI ASSET MANAGEMENT, LLC MEMBER direct 2014-12-01
VCM EQUITY HOLDINGS LLC MEMBER 10/01/2017 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
VIVALDI CAPITAL MANAGEMENT, LLC MEMBER direct 2017-10-01
BASSEWITZ, MARC, D CHIEF COMPLIANCE OFFICER/GENERAL COUNSEL 01/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
WILLIAM HARRIS INVESTORS, INC. GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER direct 2009-09-01
WILLIAM HARRIS INVESTORS, INC. VICE PRESIDENT, GENERAL COUNSEL, SECRETARY/CHIEF COMPLIANCE OFFICER direct 2009-09-01
WILLIAM HARRIS INVESTORS, INC. VICE PRESIDENT AND GENERAL COUNSEL/CHIEF COMPLIANCE OFFICER direct 2009-09-01
STERNBERG, DAVID, ALAN OWNER AAJ VENTURES INC 12/01/2011 Indirect 75% or more
Fund Name Position direct/indirect start date end date
IRON PARTNERS LLC GENERAL PARTNER/PORTFOLIO MANAGER direct 1998-06-01
IRON PARTNERS LLC MEMBER direct 1998-06-01
VIVALDI CAPITAL MANAGEMENT, LLC PRINCIPAL direct 2011-12-01
VIVALDI CAPITAL MANAGEMENT, LLC OWNER indirect 2011-12-01
VIVALDI CAPITAL MANAGEMENT, LLC CO-FOUNDER AND CEO direct 2011-12-01
VIVALDI CAPITAL MANAGEMENT, LLC CO-FOUNDER / CEO direct 2011-12-01
GOLDEN, RANDAL LAWRENCE OWNER indirect 2011-12-01
VIVALDI CAPITAL MANAGEMENT, LLC ELECTED MANAGER direct 2011-12-01
VIVALDI ASSET MANAGEMENT, LLC OWNER indirect 2011-12-01
VIVALDI ASSET MANAGEMENT, LLC CO-FOUNDER/CEO direct 2014-01-01
AAJ VENTURES INC MEMBER VIVALDI HOLDINGS, LLC 12/01/2014 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
GOLDEN, RANDAL LAWRENCE MEMBER direct 2011-12-01
VIVALDI CAPITAL MANAGEMENT, LLC MEMBER indirect 2014-12-01
VIVALDI ASSET MANAGEMENT, LLC MEMBER direct 2013-08-01
VIVALDI ASSET MANAGEMENT, LLC MEMBER indirect 2014-12-01
VIVALDI ASSET MANAGEMENT, LLC OWNER indirect 2014-12-01
VIVALDI HOLDINGS LLC MANAGING MEMBER VCM EQUITY HOLDINGS LLC 10/01/2017 Indirect Other
Fund Name Position direct/indirect start date end date
VIVALDI CAPITAL MANAGEMENT, LLC MEMBER direct 2014-12-01
VIVALDI ASSET MANAGEMENT, LLC MEMBER direct 2014-12-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
VCM CORE OPPORTUNITIES FUND LLC - PRIVATE EQUITY United States 805-4216298546 Private Equity Fund 191,553,142 100,000 Master Fund Fund of Funds
HIGHLAND CAPITAL MANAGEMENT INSTITUTIONAL FUND II LLC United States 805-1089194331 Hedge Fund 35,426,431 250,000 Master Fund
VCM CORE OPPORTUNITIES FUND LLC - ADVISOR SERIES United States 805-6659018415 Private Equity Fund 4,017,373 10,000 Fund of Funds
VCM CORE ALTERNATIVE FUND LLC - LONG/SHORT United States 805-4243329997 Hedge Fund 50,692,685 100,000 Master Fund Fund of Funds
VCM CORE ALTERNATIVE FUND LLC - EVENT United States 805-4056889573 Hedge Fund 32,517,971 100,000 Master Fund Fund of Funds
VCM CORE ALTERNATIVE FUND LLC - MORTGAGES United States 805-4623230810 Hedge Fund 0 100,000 Master Fund Fund of Funds
VCM CORE ALTERNATIVE FUND LLC - ARBITRAGE United States 805-5557381004 Hedge Fund 23,364,392 100,000 Master Fund Fund of Funds
VIVALDI PRIVATE INVESTMENT PLATFORM LLC - PRIVATE EQUITY United States 805-9083287289 Private Equity Fund 61,659,455 1,000,000 Fund of Funds
VIVALDI PRIVATE INVESTMENT PLATFORM LLC - REAL ESTATE United States 805-3933967988 Private Equity Fund 1,957,280 1,000,000 Fund of Funds
VCM CORE OPPORTUNITIES FUND LLC - REAL ESTATE United States 805-5646461588 Private Equity Fund 10,859,238 100,000 Fund of Funds
VCM CORE ALTERNATIVE FUND LLC - MULTI-STRATEGY United States 805-4255372535 Hedge Fund 43,962,458 100,000 Master Fund Fund of Funds
VCM CORE ALTERNATIVE FUND LLC - CREDIT United States 805-4644250977 Hedge Fund 22,518,131 100,000 Master Fund Fund of Funds

VIVALDI CAPITAL MANAGEMENT, LLC

ownership team - last updated 2018-12-20
Name Title Start Date Direct/Indirect % Ownership
GOLDEN, RANDAL, LAWRENCE CO-FOUNDER / CFO 12/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
PRESERVATION CAPITAL PARTNERS, LTD. PRESIDENT direct 2004-12-01
FGMK/PRESERVATON CAPITAL PARTNERS, LLC MANAGER AND CHIEF COMPLIANCE OFFICER direct 2004-12-01
PRESERVATION CAPITAL PARTNERS, LTD. PRESIDENT AND CCO direct 2004-12-01
FGMK/PRESERVATON CAPITAL PARTNERS, LLC MANAGING DIRECTOR AND CHIEF COMPLIANCE OFFICER direct 2004-12-01
PRESERVATION CAPITAL PARTNERS, LTD. PRESIDENT AND CHIEF COMPLIANCE OFFICER direct 2004-12-01
VIVALDI CAPITAL MANAGEMENT, LLC ELECTED MANAGER/CCO direct 2011-12-01
VIVALDI CAPITAL MANAGEMENT, LLC CO-FOUNDER / CFO/ CCO direct 2011-12-01
VIVALDI CAPITAL MANAGEMENT, LLC OWNER indirect 2011-12-01
VIVALDI CAPITAL MANAGEMENT, LLC CEO/ CIO/ CCO direct 2011-12-01
VIVALDI CAPITAL MANAGEMENT, LLC CO-FOUNDER / CFO direct 2011-12-01
GOLDEN, RANDAL LAWRENCE CCO direct 2011-12-01
VIVALDI ASSET MANAGEMENT, LLC OWNER indirect 2011-12-01
VIVALDI ASSET MANAGEMENT LLC CO-FOUNDER/CHIEF FINANCIAL OFFICER direct 2013-08-01
VIVALDI ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER / CHIEF EXECUTIVE OFFICER direct 2013-08-01
VIVALDI ASSET MANAGEMENT, LLC CO-FOUNDER/CHIEF FINANCIAL OFFICER/CHIEF COMPLIANCE OFFICER direct 2013-08-01
STERNBERG, DAVID, ALAN CO-FOUNDER / CEO 12/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
IRON PARTNERS LLC GENERAL PARTNER/PORTFOLIO MANAGER direct 1998-06-01
IRON PARTNERS LLC MEMBER direct 1998-06-01
VIVALDI CAPITAL MANAGEMENT, LLC PRINCIPAL direct 2011-12-01
VIVALDI CAPITAL MANAGEMENT, LLC OWNER indirect 2011-12-01
VIVALDI CAPITAL MANAGEMENT, LLC CO-FOUNDER AND CEO direct 2011-12-01
VIVALDI CAPITAL MANAGEMENT, LLC CO-FOUNDER / CEO direct 2011-12-01
GOLDEN, RANDAL LAWRENCE OWNER indirect 2011-12-01
VIVALDI CAPITAL MANAGEMENT, LLC ELECTED MANAGER direct 2011-12-01
VIVALDI ASSET MANAGEMENT, LLC OWNER indirect 2011-12-01
VIVALDI ASSET MANAGEMENT, LLC CO-FOUNDER/CEO direct 2014-01-01
PECK, MICHAEL, DILLON CO-CIO / PRESIDENT 01/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
VIVALDI CAPITAL MANAGEMENT, LLC CO-CIO / PRESIDENT direct 2013-01-01
VIVALDI CAPITAL MANAGEMENT, LLC CO-CIO AND PRESIDENT direct 2013-01-01
VIVALDI ASSET MANAGEMENT, LLC PRESIDENT direct 2013-08-01
VIVALDI ASSET MANAGEMENT LLC PRESIDENT/CO-CIO direct 2013-08-01
HERGOTT, SCOTT, LEE CO-CIO / DIRECTOR OF RESEARCH 01/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
VIVALDI CAPITAL MANAGEMENT, LLC CO-CIO / DIRECTOR OF RESEARCH direct 2013-01-01
VIVALDI CAPITAL MANAGEMENT, LLC CO-CIO AND DIRECTOR OF RESEARCH direct 2013-01-01
VIVALDI ASSET MANAGEMENT, LLC HEAD OF RESEARCH/CO/CIO direct 2014-01-01
VIVALDI ASSET MANAGEMENT, LLC HEAD OF RESEARCH/CO-CIO direct 2014-01-01
EISENBERG, CHAD, SAMUAL CHIEF OPERATING OFFICER 01/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
VIVALDI CAPITAL MANAGEMENT, LLC CHIEF OPERATING OFFICER direct 2014-01-01
VIVALDI ASSET MANAGEMENT, LLC CHIEF OPERATING OFFICER direct 2014-01-01
VIVALDI HOLDINGS, LLC MEMBER 12/01/2014 Direct 75% or more
Fund Name Position direct/indirect start date end date
VIVALDI CAPITAL MANAGEMENT, LLC MEMBER direct 2014-12-01
VIVALDI ASSET MANAGEMENT, LLC MEMBER direct 2014-12-01
COMELLA, MICHELLE, MARIE CHIEF COMPLIANCE OFFICER / GENERAL COUNSEL 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
INTEROCEAN WEALTH MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2007-09-01
VIVALDI CAPITAL MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER / GENERAL COUNSEL direct 2016-01-01
VIVALDI ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER/GENERAL COUNSEL direct 2016-01-01
VCM EQUITY HOLDINGS LLC MEMBER 10/01/2017 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
VIVALDI CAPITAL MANAGEMENT, LLC MEMBER direct 2017-10-01
STERNBERG, DAVID, ALAN OWNER AAJ VENTURES INC 12/01/2011 Indirect 75% or more
Fund Name Position direct/indirect start date end date
IRON PARTNERS LLC GENERAL PARTNER/PORTFOLIO MANAGER direct 1998-06-01
IRON PARTNERS LLC MEMBER direct 1998-06-01
VIVALDI CAPITAL MANAGEMENT, LLC PRINCIPAL direct 2011-12-01
VIVALDI CAPITAL MANAGEMENT, LLC OWNER indirect 2011-12-01
VIVALDI CAPITAL MANAGEMENT, LLC CO-FOUNDER AND CEO direct 2011-12-01
VIVALDI CAPITAL MANAGEMENT, LLC CO-FOUNDER / CEO direct 2011-12-01
GOLDEN, RANDAL LAWRENCE OWNER indirect 2011-12-01
VIVALDI CAPITAL MANAGEMENT, LLC ELECTED MANAGER direct 2011-12-01
VIVALDI ASSET MANAGEMENT, LLC OWNER indirect 2011-12-01
VIVALDI ASSET MANAGEMENT, LLC CO-FOUNDER/CEO direct 2014-01-01
AAJ VENTURES INC MEMBER VIVALDI HOLDINGS, LLC 12/01/2014 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
GOLDEN, RANDAL LAWRENCE MEMBER direct 2011-12-01
VIVALDI CAPITAL MANAGEMENT, LLC MEMBER indirect 2014-12-01
VIVALDI ASSET MANAGEMENT, LLC MEMBER direct 2013-08-01
VIVALDI ASSET MANAGEMENT, LLC MEMBER indirect 2014-12-01
VIVALDI ASSET MANAGEMENT, LLC OWNER indirect 2014-12-01
VIVALDI HOLDINGS LLC MANAGING MEMBER VCM EQUITY HOLDINGS LLC 10/01/2017 Indirect Other
Fund Name Position direct/indirect start date end date
VIVALDI CAPITAL MANAGEMENT, LLC MEMBER direct 2014-12-01
VIVALDI ASSET MANAGEMENT, LLC MEMBER direct 2014-12-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
VCM CORE ALTERNATIVE FUND - MULTI-STRATEGY United States 805-4255372535 Hedge Fund 6,545,332 100,000 Fund of Funds
VCM CORE ALTERNATIVE FUND LLC - CREDIT United States 805-4644250977 Hedge Fund 12,352,415 100,000 Fund of Funds
VCM CORE OPPORTUNITIES FUND LLC - PRIVATE EQUITY United States 805-4216298546 Private Equity Fund 158,470,016 100,000 Master Fund Fund of Funds
HIGHLAND CAPITAL MANAGEMENT FUND II LLC United States 805-1089194331 Hedge Fund 23,072,742 250,000 Master Fund
HIGHLAND CAPITAL MANAGEMENT, L.P. United States 805-8567595396 Hedge Fund 18,847,928 250,000 Feeder Fund
VCM CORE OPPORTUNITIES FUND - ADVISOR SERIES United States 805-6659018415 Private Equity Fund 2,913,225 100,000 Fund of Funds
VCM CORE ALTERNATIVE FUND - LONG/SHORT United States 805-4243329997 Hedge Fund 49,871,932 100,000 Fund of Funds
VCM CORE OPPORTUNITIES FUND LLC - REAL ESTATE United States 805-5646461588 Private Equity Fund 13,098,000 100,000 Fund of Funds
VCM CORE ALTERNATIVE FUND LLC - EVENT United States 805-4056889573 Hedge Fund 44,111,042 100,000 Fund of Funds
VCM CORE ALTERNATIVE FUND LLC - MORTGAGES United States 805-4623230810 Hedge Fund 6,823,733 100,000 Fund of Funds
VCM CORE ALTERNATIVE FUND LLC - ARBITRAGE United States 805-5557381004 Hedge Fund 16,825,954 100,000 Fund of Funds
VCM OFFSHORE FUND II LP - PRIVATE EQUITY Cayman Islands 805-9600766922 Private Equity Fund 5,693,000 100,000 Feeder Fund Fund of Funds

VIVALDI CAPITAL MANAGEMENT, LLC

ownership team - last updated 2017-04-03
Name Title Start Date Direct/Indirect % Ownership
GOLDEN, RANDAL, LAWRENCE CO-FOUNDER / CFO 12/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
PRESERVATION CAPITAL PARTNERS, LTD. PRESIDENT direct 2004-12-01
FGMK/PRESERVATON CAPITAL PARTNERS, LLC MANAGER AND CHIEF COMPLIANCE OFFICER direct 2004-12-01
PRESERVATION CAPITAL PARTNERS, LTD. PRESIDENT AND CCO direct 2004-12-01
FGMK/PRESERVATON CAPITAL PARTNERS, LLC MANAGING DIRECTOR AND CHIEF COMPLIANCE OFFICER direct 2004-12-01
PRESERVATION CAPITAL PARTNERS, LTD. PRESIDENT AND CHIEF COMPLIANCE OFFICER direct 2004-12-01
VIVALDI CAPITAL MANAGEMENT, LLC ELECTED MANAGER/CCO direct 2011-12-01
VIVALDI CAPITAL MANAGEMENT, LLC CO-FOUNDER / CFO/ CCO direct 2011-12-01
VIVALDI CAPITAL MANAGEMENT, LLC OWNER indirect 2011-12-01
VIVALDI CAPITAL MANAGEMENT, LLC CEO/ CIO/ CCO direct 2011-12-01
VIVALDI CAPITAL MANAGEMENT, LLC CO-FOUNDER / CFO direct 2011-12-01
GOLDEN, RANDAL LAWRENCE CCO direct 2011-12-01
VIVALDI ASSET MANAGEMENT, LLC OWNER indirect 2011-12-01
VIVALDI ASSET MANAGEMENT LLC CO-FOUNDER/CHIEF FINANCIAL OFFICER direct 2013-08-01
VIVALDI ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER / CHIEF EXECUTIVE OFFICER direct 2013-08-01
VIVALDI ASSET MANAGEMENT, LLC CO-FOUNDER/CHIEF FINANCIAL OFFICER/CHIEF COMPLIANCE OFFICER direct 2013-08-01
STERNBERG, DAVID, ALAN CO-FOUNDER / CEO 12/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
IRON PARTNERS LLC GENERAL PARTNER/PORTFOLIO MANAGER direct 1998-06-01
IRON PARTNERS LLC MEMBER direct 1998-06-01
VIVALDI CAPITAL MANAGEMENT, LLC PRINCIPAL direct 2011-12-01
VIVALDI CAPITAL MANAGEMENT, LLC OWNER indirect 2011-12-01
VIVALDI CAPITAL MANAGEMENT, LLC CO-FOUNDER AND CEO direct 2011-12-01
VIVALDI CAPITAL MANAGEMENT, LLC CO-FOUNDER / CEO direct 2011-12-01
GOLDEN, RANDAL LAWRENCE OWNER indirect 2011-12-01
VIVALDI CAPITAL MANAGEMENT, LLC ELECTED MANAGER direct 2011-12-01
VIVALDI ASSET MANAGEMENT, LLC OWNER indirect 2011-12-01
VIVALDI ASSET MANAGEMENT, LLC CO-FOUNDER/CEO direct 2014-01-01
PECK, MICHAEL, DILLON CO-CIO / PRESIDENT 01/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
VIVALDI CAPITAL MANAGEMENT, LLC CO-CIO / PRESIDENT direct 2013-01-01
VIVALDI CAPITAL MANAGEMENT, LLC CO-CIO AND PRESIDENT direct 2013-01-01
VIVALDI ASSET MANAGEMENT, LLC PRESIDENT direct 2013-08-01
VIVALDI ASSET MANAGEMENT LLC PRESIDENT/CO-CIO direct 2013-08-01
HERGOTT, SCOTT, LEE CO-CIO / DIRECTOR OF RESEARCH 01/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
VIVALDI CAPITAL MANAGEMENT, LLC CO-CIO / DIRECTOR OF RESEARCH direct 2013-01-01
VIVALDI CAPITAL MANAGEMENT, LLC CO-CIO AND DIRECTOR OF RESEARCH direct 2013-01-01
VIVALDI ASSET MANAGEMENT, LLC HEAD OF RESEARCH/CO/CIO direct 2014-01-01
VIVALDI ASSET MANAGEMENT, LLC HEAD OF RESEARCH/CO-CIO direct 2014-01-01
EISENBERG, CHAD, SAMUAL CHIEF OPERATING OFFICER 01/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
VIVALDI CAPITAL MANAGEMENT, LLC CHIEF OPERATING OFFICER direct 2014-01-01
VIVALDI ASSET MANAGEMENT, LLC CHIEF OPERATING OFFICER direct 2014-01-01
VIVALDI HOLDINGS, LLC MEMBER 12/01/2014 Direct 75% or more
Fund Name Position direct/indirect start date end date
VIVALDI CAPITAL MANAGEMENT, LLC MEMBER direct 2014-12-01
VIVALDI ASSET MANAGEMENT, LLC MEMBER direct 2014-12-01
COMELLA, MICHELLE, MARIE CHIEF COMPLIANCE OFFICER / GENERAL COUNSEL 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
INTEROCEAN WEALTH MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2007-09-01
VIVALDI CAPITAL MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER / GENERAL COUNSEL direct 2016-01-01
VIVALDI ASSET MANAGEMENT, LLC CHIEF COMPLIANCE OFFICER/GENERAL COUNSEL direct 2016-01-01
STERNBERG, DAVID, ALAN OWNER AAJ VENTURES INC 12/01/2011 Indirect 75% or more
Fund Name Position direct/indirect start date end date
IRON PARTNERS LLC GENERAL PARTNER/PORTFOLIO MANAGER direct 1998-06-01
IRON PARTNERS LLC MEMBER direct 1998-06-01
VIVALDI CAPITAL MANAGEMENT, LLC PRINCIPAL direct 2011-12-01
VIVALDI CAPITAL MANAGEMENT, LLC OWNER indirect 2011-12-01
VIVALDI CAPITAL MANAGEMENT, LLC CO-FOUNDER AND CEO direct 2011-12-01
VIVALDI CAPITAL MANAGEMENT, LLC CO-FOUNDER / CEO direct 2011-12-01
GOLDEN, RANDAL LAWRENCE OWNER indirect 2011-12-01
VIVALDI CAPITAL MANAGEMENT, LLC ELECTED MANAGER direct 2011-12-01
VIVALDI ASSET MANAGEMENT, LLC OWNER indirect 2011-12-01
VIVALDI ASSET MANAGEMENT, LLC CO-FOUNDER/CEO direct 2014-01-01
AAJ VENTURES INC MEMBER VIVALDI HOLDINGS 12/01/2014 Indirect 25 - 50%
Fund Name Position direct/indirect start date end date
GOLDEN, RANDAL LAWRENCE MEMBER direct 2011-12-01
VIVALDI CAPITAL MANAGEMENT, LLC MEMBER indirect 2014-12-01
VIVALDI ASSET MANAGEMENT, LLC MEMBER direct 2013-08-01
VIVALDI ASSET MANAGEMENT, LLC MEMBER indirect 2014-12-01
VIVALDI ASSET MANAGEMENT, LLC OWNER indirect 2014-12-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
VCM CORE ALTERNATIVE FUND LLC - CREDIT United States 805-4644250977 Hedge Fund 11,908,160 100,000 Fund of Funds
VCM CORE OPPORTUNITIES FUND LLC - PRIVATE EQUITY United States 805-4216298546 Private Equity Fund 89,599,516 100,000 Fund of Funds
HIGHLAND CAPITAL MANAGEMENT FUND II LLC United States 805-1089194331 Hedge Fund 24,361,277 250,000 Master Fund
HIGHLAND CAPITAL MANAGEMENT, L.P. United States 805-8567595396 Hedge Fund 21,397,910 250,000 Feeder Fund
VCM CORE OPPORTUNITIES FUND - ADVISOR SERIES United States 805-6659018415 Private Equity Fund 2,359,353 100,000 Fund of Funds
VCM CORE ALTERNATIVE FUND - LONG/SHORT United States 805-4243329997 Hedge Fund 59,359,811 100,000 Fund of Funds
VCM CORE OPPORTUNITIES FUND LLC - REAL ESTATE United States 805-5646461588 Private Equity Fund 13,098,000 100,000 Fund of Funds
VCM CORE ALTERNATIVE FUND LLC - EVENT United States 805-4056889573 Hedge Fund 41,156,755 100,000 Fund of Funds
VCM CORE ALTERNATIVE FUND LLC - MORTGAGES United States 805-4623230810 Hedge Fund 5,931,691 100,000 Fund of Funds
VCM CORE ALTERNATIVE FUND LLC - ARBITRAGE United States 805-5557381004 Hedge Fund 11,430,992 100,000 Fund of Funds

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