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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

VIVALDI ASSET MANAGEMENT, LLC

VIVALDI ASSET MANAGEMENT LLC, CRD 168884

CHICAGO, IL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:2831d306-d44b-1b78-6f4c-2569f76803dd

Data as of Mar 29, 2021 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:16 PM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 4
On other graphs: 0
Observed: Aug 22, 2013 to Mar 29, 2021
12 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $786MItem 5.F on the latest filing (2021-03-29); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $699M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 22
Advisory employees: 10
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 5
Individual clients: 0
High net worth clients: 0
SEC number: 801-78504
CRD: 168884
Filings on the tape: 12
First filed: Aug 22, 2013
Latest filed: Mar 29, 2021
Organised: Limited Liability Company, Delaware

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
AAJ VENTURES INC	Member	C	yes	12/2014	Aug 22, 2013	Mar 29, 2021
BASSEWITZ, MARC, D	CHIEF COMPLIANCE OFFICER/GENERAL COUNSEL	Na	yes	01/2019	Feb 22, 2019	Mar 29, 2021
EISENBERG, CHAD, SAMUAL	CHIEF OPERATING OFFICER	Na	yes	08/2013	Mar 13, 2014	Mar 29, 2021
GOLDEN, RANDAL, LAWRENCE	CO-FOUNDER/CHIEF FINANCIAL OFFICER	Na	yes	08/2013	Aug 22, 2013	Mar 29, 2021
HERGOTT, SCOTT, LEE	HEAD OF RESEARCH/CO-CIO	Na	yes	08/2013	Mar 13, 2014	Mar 29, 2021
PECK, MICHAEL, DILLON	PRESIDENT/CO-CIO	Na	yes	08/2013	Aug 22, 2013	Mar 29, 2021
STERNBERG, DAVID, ALAN	CO-FOUNDER/CEO	Na	yes	08/2013	Aug 22, 2013	Mar 29, 2021
STERNBERG, DAVID, ALAN	Owner	E	yes	12/2011	Aug 22, 2013	Mar 29, 2021
VIVALDI HOLDINGS, LLC	Member	E	yes	12/2014	Mar 24, 2015	Mar 29, 2021

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
VIVALDI CAPITAL MANAGEMENT, LLC	n/a	Former SEC adviser	$5.6B	N	yes	n/a
VIVALDI INNOVATIVE TECHNOLOGIES LLC	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
FORT WAYNE	In	United States	2	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2020	Mar 29, 2021	$786M	$699M	22	10	1	n/a	n/a
2019	Mar 27, 2020	$905M	$905M	21	9	2	n/a	n/a
2018	Feb 22, 2019	$856M	$856M	21	9	2	n/a	n/a
2017	Mar 28, 2018	$1.0B	$1.0B	22	12	2	n/a	n/a
2016	Mar 31, 2017	$700M	$700M	24	14	n/a	n/a	n/a
2015	Jan 27, 2016	$177M	$177M	21	8	n/a	n/a	n/a
2014	Mar 24, 2015	$59.2M	$59.2M	10	5	n/a	n/a	n/a
2013	Mar 13, 2014	$21.0M	$21.0M	5	5	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2020	$786M	$905M	-13.2%	$1.0B	-8.3%	22	21	1	2

Relationships

Affiliated with (1)

→ VIVALDI CAPITAL MANAGEMENT LPRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV

Controls (8)

← HERGOTT, SCOTT, LEEOwnerHEAD OF RESEARCH/CO-CIO, ownership code NA, individual
Mar 13, 2014 to presentfactForm ADV
← STERNBERG, DAVID, ALANOwnerOWNER, ownership code E, individual
Aug 22, 2013 to presentfactForm ADV
← GOLDEN, RANDAL, LAWRENCEOwnerCO-FOUNDER/CHIEF FINANCIAL OFFICER, ownership code NA, individual
Aug 22, 2013 to presentfactForm ADV
← BASSEWITZ, MARC, DOwnerCHIEF COMPLIANCE OFFICER/GENERAL COUNSEL, ownership code NA, individual
Feb 22, 2019 to presentfactForm ADV
← PECK, MICHAEL, DILLONOwnerPRESIDENT/CO-CIO, ownership code NA, individual
Aug 22, 2013 to presentfactForm ADV
← EISENBERG, CHAD, SAMUALOwnerCHIEF OPERATING OFFICER, ownership code NA, individual
Mar 13, 2014 to presentfactForm ADV
← AAJ VENTURES INCOwnerMEMBER, ownership code C, domestic entity
Aug 22, 2013 to presentfactForm ADV
← VIVALDI HOLDINGS, LLCOwnerMEMBER, ownership code E, domestic entity
Mar 24, 2015 to presentfactForm ADV

Dated events

Occurred
Feb 22, 2019
Control person joined
D Marc Bassewitz (Chief Compliance Officer/General Counsel) appeared on Schedule A of Vivaldi Asset Management, Llc
Form ADVobserved 6 days ago
Occurred
Feb 22, 2019
Control person left
Marie Michelle Comella (Chief Compliance Officer/General Counsel) no longer on Schedule A of Vivaldi Asset Management, Llc (listed 2018-03-29, absent 2019-02-22)
Form ADVobserved 6 days ago
Occurred
Mar 28, 2018
Regulatory AUM changed
Vivaldi Asset Management, Llc reported RAUM $1.0B, up 46% from $699.8M (2017-03-31 to 2018-03-28)
Form ADVobserved 6 days ago
$319M
Occurred
Aug 22, 2013
First Form ADV filing
Vivaldi Asset Management, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2831d306-d44b-1b78-6f4c-2569f76803dd
First observed: Aug 22, 2013
Last observed: Mar 29, 2021 66 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

VIVALDI ASSET MANAGEMENT, LLC

VIVALDI ASSET MANAGEMENT LLC, CRD 168884

CHICAGO, IL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:2831d306-d44b-1b78-6f4c-2569f76803dd

Data as of Mar 29, 2021 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:16 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

AAJ VENTURES INC

Member

yes

12/2014

Aug 22, 2013

Mar 29, 2021

BASSEWITZ, MARC, D

CHIEF COMPLIANCE OFFICER/GENERAL COUNSEL

yes

01/2019

Feb 22, 2019

Mar 29, 2021

EISENBERG, CHAD, SAMUAL

CHIEF OPERATING OFFICER

yes

08/2013

Mar 13, 2014

Mar 29, 2021

GOLDEN, RANDAL, LAWRENCE

CO-FOUNDER/CHIEF FINANCIAL OFFICER

yes

08/2013

Aug 22, 2013

Mar 29, 2021

HERGOTT, SCOTT, LEE

HEAD OF RESEARCH/CO-CIO

yes

08/2013

Mar 13, 2014

Mar 29, 2021

PECK, MICHAEL, DILLON

PRESIDENT/CO-CIO

yes

08/2013

Aug 22, 2013

Mar 29, 2021

STERNBERG, DAVID, ALAN

CO-FOUNDER/CEO

yes

08/2013

Aug 22, 2013

Mar 29, 2021

STERNBERG, DAVID, ALAN

Owner

yes

12/2011

Aug 22, 2013

Mar 29, 2021

VIVALDI HOLDINGS, LLC

Member

yes

12/2014

Mar 24, 2015

Mar 29, 2021

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

VIVALDI CAPITAL MANAGEMENT, LLC

n/a

Former SEC adviser

$5.6B

yes

n/a

VIVALDI INNOVATIVE TECHNOLOGIES LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

FORT WAYNE

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2020

Mar 29, 2021

$786M

$699M

n/a

2019

Mar 27, 2020

$905M

n/a

2018

Feb 22, 2019

$856M

n/a

2017

Mar 28, 2018

$1.0B

n/a

2016

Mar 31, 2017

$700M

n/a

2015

Jan 27, 2016

$177M

n/a

2014

Mar 24, 2015

$59.2M

n/a

2013

Mar 13, 2014

$21.0M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2020

$786M

$905M

-13.2%

$1.0B

-8.3%