Vivaldi Asset Management is a fund manager in Chicago with $2.74 bn assets under management.
Company profile
Website
Employees
Incorporated
Location
Fiscal year end
Industry
SEC CIK
IRS number
901006997
SEC advisor number
801-122924
FINRA CRD number
317825
AUM ?
$2.74 bn
(as of 15 Sep 22)
Accounts
49
(as of 15 Sep 22)
Employees
27
(15 investment advisory or research)
Address
Vivaldi Asset Management
225 W. WACKER DRIVE
SUITE #2100
CHICAGO
IL 60606
225 W. WACKER DRIVE
SUITE #2100
CHICAGO
IL 60606
Office hours
Monday - Friday, 8:00 - 5:00
Phone
312-248-8300
Ownership
Owner | Title | From | %Ownership |
---|---|---|---|
Peck, Michael, Dillon | Ceo/co-cio | 11/2021 | < 5% |
Eisenberg, Chad, Samual | Chief Operating Officer | 11/2021 | < 5% |
Bassewitz, Marc, D | Chief Compliance Officer/general Counsel | 11/2021 | < 5% |
First Trust Capital Solutions L.P. | Limited Partner | 11/2021 | > 75% |
FTCS Sub GP LLC | General Partner | 11/2021 | < 5% |
FTCS GP LLC | General Partner | 11/2021 | |
First Trust Capital Partners LLC | Limited Partner | 11/2021 | 25-50% |
VFT Holdings II LP | Limited Partner | 11/2021 | 25-50% |
Grace Partners of Dupage L.P. | Shareholder | 08/2006 | > 75% |
the Charger Corporation | General Partner | 08/1991 | |
Ajm Ventures LLC | Shareholder | 10/2010 | > 75% |
Bowen, James, Allen | Shareholder | 10/2010 | > 75% |
VFT Holdings LP | Limited Partner | 11/2021 | > 75% |
VFT & VCM GP I LLC | General Partner | 11/2021 | |
VFT Holdings GP LLC | General Partner | 11/2021 | |
Aaj Ventures Inc | Limited Partner | 12/2014 | 25-50% |
Sternberg, David, Alan | Owner | 12/2011 | > 75% |
Aaj Ventures Inc | Member | 11/2021 | 25-50% |
Sternberg, David, Alan | Manager | 11/2021 | |
Peck, Michael, Dillon | Member | 11/2021 | 25-50% |
Ownership
Fund structure | AUM | Fund type |
---|---|---|
First Trust Capital Management L.P. | $2.74 bn | |
Destiny Alternative Fund I LLC | $31.03 mm | Hedge Fund |
Destiny Alternative Fund II LLC | $39.74 mm | Hedge Fund |
Destiny Alternative Fund II LLC - Hedge Fund | ||
Destiny Alternative Fund II LLC - Private Equity | ||
Destiny Alternative Fund II LLC - Real Estate | ||
FT Alternative Platform I LLC | $329.25 mm | Hedge Fund |
FT Alternative Platform I LLC - Event | ||
FT Alternative Platform I LLC - Mortgages | ||
FT Alternative Platform I LLC - Arbitrage | ||
FT Alternative Platform I LLC - Credit | ||
FT Alternative Platform I LLC - Long/short | ||
FT Alternative Platform I LLC - Multi-strategy | ||
FT Offshore I LP | $88.34 mm | Hedge Fund |
FT Offshore I LP - Arbitrage | ||
FT Offshore I LP - Long/short | ||
FT Offshore I LP - Credit | ||
FT Offshore I LP - Event | ||
FT Offshore I LP - Mortgages | ||
FT Offshore I LP - Multi-strategy | ||
FT Private Investment Platform I LLC | $590.87 mm | Private Equity Fund |
FT Private Investment Platform I LLC - Private Equity | ||
FT Private Investment Platform I LLC - Real Estate | ||
FT Real Estate Platform I LLC | $86.13 mm | Real Estate Fund |
Highland Capital Management Institutional Fund II LLC | $17.58 mm | Hedge Fund |
Highland Capital Management, L.P. | ||
VCM Core Opportunities Fund LLC | $148.19 mm | Private Equity Fund |
VCM Core Opportunities Fund LLC - Private Equity | ||
VCM Core Opportunities Fund LLC - Advisor Series | ||
VCM Core Opportunities Fund LLC - Real Estate |
Latest filings (excl ownership)
No filings
Latest ownership filings
13F-HR
Quarterly holdings report by institutional manager
15 May 24
5
First Trust Real Assets Fund
10 May 24
5
First Trust Private Credit Fund
10 May 24
5
First Trust Hedged Strategies Fund
10 May 24
SC 13G
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7 May 24
SC 13G/A
Israel Acquisitions Corp
5 Apr 24
SC 13G/A
InFinT Acquisition Corp
5 Apr 24
SC 13G/A
Zapata Computing Holdings Inc.
5 Apr 24
SC 13G/A
Kernel Group Holdings, Inc.
7 Mar 24
SC 13G/A
Zalatoris Acquisition Corp.
7 Mar 24
Recent insider trades
Date | Owner | Security | Transaction | Code | Indirect | 10b5-1 | $Price | #Shares | $Value | #Remaining |
---|---|---|---|---|---|---|---|---|---|---|
6 Mar 24 | Vivaldi Asset Management | CLASS A COMMON SHARES | Other | Acquire J | No | No | 10.37 | 0.88 | 9.13 | 105.82 |
7 Feb 24 | Vivaldi Asset Management | CLASS A COMMON SHARES | Other | Acquire J | No | No | 10.38 | 0.87 | 9.03 | 105.82 |
8 Dec 23 | Vivaldi Asset Management | CLASS A COMMON SHARES | Other | Acquire J | No | No | 9.98 | 1.48 | 14.77 | 101.48 |
8 Dec 23 | Vivaldi Asset Management | CLASS I COMMON SHARES | Other | Acquire J | No | No | 9.98 | 503.673 | 5.03 k | 28,421.794 |
8 Dec 23 | Vivaldi Asset Management | CLASS I COMMON SHARES | Other | Acquire J | No | No | 9.39 | 22.86 | 214.66 | 10,500.87 |
11 Oct 23 | Vivaldi Asset Management | Class I Common Shares | Other | Acquire J | No | No | 10.04 | 9,960.159 | 100.00 k | 17,918.121 |
4 Oct 23 | Vivaldi Asset Management | CLASS I COMMON SHARES | Other | Acquire J | No | No | 9.4 | 130.86 | 1.23 k | 10,500.87 |
5 Jul 23 | Vivaldi Asset Management | CLASS I COMMON SHARES | Other | Acquire J | No | No | 9.48 | 129.34 | 1.23 k | 10,500.87 |
3 Jul 23 | Vivaldi Asset Management | Class I Common Shares | Other | Acquire J | No | No | 10 | 7,957.962 | 79.58 k | 17,957.962 |
3 Jul 23 | Vivaldi Asset Management | Class A Common Shares | Buy | Acquire P | No | No | 10 | 100 | 1.00 k | - |