Vivaldi Capital Management Lp
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Overview
Vivaldi Capital Management Lp is a financial advisor company that has its headquarters in Chicago, Illinois. Vivaldi Capital Management Lp oversees $3.3 billion in assets under management throughout 5,505 client accounts, making it one of the biggest firms in the United States by assets under management (AUM). It has an average-sized group, including 24 financial advisors. Vivaldi Capital Management Lp does not act as a registered broker-dealer, meaning the firm cannot buy and sell securities for its own accounts as well as its customers' and instead must go through a broker-dealer firm to do so. Securities are defined as exchangable fiscal investments like stocks, bonds and options.
Vivaldi Capital Management Lp administers more than half of the company's client assets on a discretionary basis. Discretionary management is a structure in which buy and sell judgments are made by a portfolio manager without needing the customer's permission. The company also manages 2,399 non-discretionary accounts totaling $1.9 billion in AUM. The company's average account size is $604,704. The typical financial advisor at Vivaldi Capital Management Lp manages about 229 client accounts.
Vivaldi Capital Management Lp’s central office is at 225 West Wacker, Chicago, Illinois 60606. The company is allowed to serve customers throughout 41 U.S. states and territories.
Assets Under Management
Number of Advisors
Disclosures
Office Location
Vivaldi Capital Management Lp by the Numbers
$3.3 billion
50
5,505
$604.7 thousand
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Products and Services
Vivaldi Capital Management Lp offers multiple services, including financial planning services, portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, portfolio management for institutional clients, pension consulting services, selection of other advisers and educational seminars. In the past financial year, Vivaldi Capital Management Lp provided 580 of its customers with financial planning services. The firm does not sell products or offer services aside from investment advice to its investment advisory accounts. The firm is also affiliated with a number of other service providers in the financial services industry, including with a commodity pool advisor.
Core Advisor Services
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Offered by 31% of firms
Financial Planning Services
This is the process of planning for your financial future, including for events such as retirement, your child's college education or estate succession.
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Offered by 47% of firms
Portfolio Management
This is the selection and management of an investment mix and portfolio strategy for individuals and small businesses.
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Market Timing Services
This is the practice of attempting to make short-term profits on investments by buying low and selling high.
Other Services
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Offered by 21% of firms
Selection of Other Advisors
This is the firm's assistance with choosing other advisors to work with who may have different specialties.
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Publication of Periodicals
This is the publication of various financial education materials.
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Offered by 7% of firms
Educational Seminars/Workshops
This is the hosting of seminars or workshops to educate investors on financial concepts.
Fee Structure
Fees for financial management usually vary depending on which services the firm provides the client. However, fee types charged by the company most likely include the following fee structures: asset-based, fixed or performance-based. Wrap fee programs, or the practice of bundling services for a single fee, are not offered by the company.
Available
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Offered by 70% of firms
Percentage of Assets
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Offered by 26% of firms
Performance-based
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Offered by 33% of firms
Fixed
Unavailable
Types of Clients
The company provides services to retail investors, high net worth investors, pooled investment vehicles and pension plans. Out of its 5,505 customers, Vivaldi Capital Management Lp's largest client is high net worth investors, although it also serves 963 high-net-worth individuals. The SEC defines a high-net-worth individual as an investor who has at least $750,000 under management or a net worth of at least $1.50 million or who is considered a "qualified purchaser" (a standard met by having at least $5 million in investments). None of its clients are non-U.S. persons.
- High-Net-Worth Individuals* - 67.63%
- Other Individuals - 29.99%
- Corporations - 2.39%
- Charitable Organizations - 0%
* The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.
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Disclosures
Vivaldi Capital Management Lp does not have any disclosures.
Please visit its Form ADV for more details.
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Financial Advisors at Vivaldi Capital Management Lp
Chicago, IL
Chicago, IL
Chicago, IL
Chicago, IL
Chicago, IL
Chicago, IL
Chicago, IL
Chicago, IL
Chicago, IL
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The content in this profile was updated by SmartAsset on 04/01/2022 using publicly available data compiled from the SEC and FINRA. To report any data inconsistencies or errors, please contact profile-compliance@smartasset.com.
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