Vivaldi Capital Management, LLC is a large advisory firm based in Chicago. It manages $1.53 billion of regulatory assets for 2,812 client accounts. It has been registered with the SEC as an adviser since 2012 and has operated in the jurisdictions of Alaska, Arizona, California, and 25 other states.
Vivaldi Capital Management provides financial planning services, portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, portfolio management for businesses and institutional clients, selection of other advisers, and educational seminars and workshops. It prepares financial plans for more than 100 clients. On top of advisory services, the firm doesn't engage in other business activities.
The assets under management (AUM) of Vivaldi Capital Management, LLC is $1.53 billion. The firm's AUM has grown by 743% since the beginning of its operation, and $2.09 million of the total AUM is attributable to clients outside of the United States.
The advisory firm has several streams of revenue. Clients pay Vivaldi Capital Management, LLC for their services and products based on a percentage of assets under management, fixed fees, and performance-based fees. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.
The firm provides services to individuals, high net worth individuals, pooled investment vehicles, and pension and profit sharing plans. The largest group of clients of Vivaldi Capital Management is high net worth individuals with 391 clients and $756.91 million of assets under management. Among the 11 most similar advisory firms, Vivaldi Capital Management has the 4th highest percentage of high net worth individuals out of all clients.
The amount of regulatory assets under management is $1.53 billion for 770 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.
Vivaldi Capital Management also advises several private funds. Namely, seven hedge funds and five private equity funds. The minimum investment commitment required of non-related persons ranges from $10,000 to $1,000,000.
The company employs 36 people that are either part- or full-time employees. 14 percent of the employees work as investment advisers or researchers. 14 employees are registered as investment adviser representatives with the state securities authorities.
There are 2 people with the role of looking for and bringing in new clients on behalf of the firm. The firm compensates employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.
The principal office where Vivaldi Capital Management, LLC performs its advisory services is located at 225 West Wacker, Chicago, IL 60606, which is also the mailing address of the firm. An additional office of the firm is in Fort Wayne, IN. It doesn’t run an office outside of the United States.
You can reach the main office by calling the phone number 312.248.8300 or by fax 847.386.2910. The normal business hours are 8 am - 5 pm on Monday - Friday. You can find more information about the New York firm at vivaldicap.com.