DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Former SEC-registered adviser
Vivaldi Capital Management LP
Latest filing Apr 17, 2026
First filing on the tape Jan 4, 2012 · 62 filings
SEC status approved since Feb 13, 2012
RAUM
$5.6B
reported, Item 5.F
Discretionary
42%
of RAUM
Private clients
94%
$5.3B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
68
27 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
1
reported on Schedule D
History
62 filings and snapshots on the tape
RAUM$5.6B as of Apr 17, 2026
Mar 19, 2013$281M then
HNW client RAUM$4.5B as of Apr 17, 2026
Mar 29, 2018$639M then
State-registered IARs (5.B.3)32 as of Apr 17, 2026
Mar 19, 20130 then
Employees (5.A)68 as of Apr 17, 2026
Mar 19, 20136 then
Private funds1 as of Apr 17, 2026
Mar 19, 20131 then
RAUM +21% over the last fiscal year+19% a year over threeIARs 31 to 32
Practice profile
derived from the filing of Apr 17, 2026; every figure names its basis
- RAUM per advisor
- $176MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 76derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.5MderivedHNW RAUM over HNW clients
- Average account
- $572,414derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 42%derivedof RAUM
- Institutional
- 2.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.1derivedItem 5.A over advisors
- Advisors per office
- 5.3derived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +3.2%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.5%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
- Custody
- $605M, 838 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$4.5B80%
- Individuals$800M14%
- Other investment advisers$150M2.7%
- Pension and profit-sharing plans$136M2.4%
- Pooled investment vehicles$30.4M0.5%
- Individual clients
- 1,121reported
- HNW clients
- 1,304reported
- Pension plan clients
- 34reported
- Charitable clients
- n/areported
- Accounts
- 9,855reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $605M for 838 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
28 left, 1 joined in 12 months
net -27 in 12 months0 left in 90 days0 joined in 90 days28 left over 36 months
Left, latest
- David Alan Sternberg to CorientJun 18, 2026 · RIA to RIA
- Frank Domenic Pellicori to CorientJun 17, 2026 · RIA to RIA
- Randal Lawrence Golden to CorientJun 17, 2026 · RIA to RIA
- William David Proper to CorientJun 17, 2026 · RIA to RIA
- David William Snyder to CorientJun 17, 2026 · RIA to RIA
- Asha Tangri Goldstein to CorientJun 17, 2026 · RIA to RIA
- Brian Joseph Quinn to CorientJun 17, 2026 · RIA to RIA
- Brandon Lyon Intrater to CorientJun 17, 2026 · RIA to RIA
- Greg Andrew Goldfeder to CorientJun 17, 2026 · RIA to RIA
- Zackary Graham Meuser to CorientJun 17, 2026 · RIA to RIA
- Rachel Ann Leahy to CorientJun 17, 2026 · RIA to RIA
- Nikita Praharaj to CorientJun 17, 2026 · RIA to RIA
- Andrew Jeffrey Hitchcock Schuler to CorientJun 17, 2026 · RIA to RIA
- Abigail Phillips to CorientJun 17, 2026 · RIA to RIA
- Lilian Lo to CorientJun 17, 2026 · RIA to RIA
Joined, latest
- Nikita Praharaj from J.P. Morgan Securities LLCOct 27, 2025 · Wirehouse to independent RIA
- Morgan Jewelene Pruett from Strategic Advisers LLCJun 5, 2025 · Affiliated broker-dealer or bank to independent RIA
- Jeffrey David Eisman from Voya Retirement Advisors, LLCApr 14, 2025 · Other
- Andrew Jeffrey Hitchcock Schuler from Biechele Royce Advisors, Inc.Dec 19, 2024 · RIA to RIA
- Matthew Charles Sanchez from Biechele Royce Advisors, Inc.Nov 27, 2024 · RIA to RIA
- Carlos Alberto Sanchez from Biechele Royce Advisors, Inc.Nov 26, 2024 · RIA to RIA
- Rachel Ann Leahy from Biechele Royce Advisors, Inc.Nov 26, 2024 · RIA to RIA
- Thomas Andrew Barrett from Biechele Royce Advisors, Inc.Nov 21, 2024 · RIA to RIA
- Justin B Whelan from Biechele Royce Advisors, Inc.Nov 21, 2024 · RIA to RIA
- Griffin Lau from RBC Capital Markets, LLCAug 2, 2024 · Affiliated broker-dealer or bank to independent RIA
- Zackary Graham Meuser from Mesirow Financial Investment Management, Inc.Dec 20, 2021 · Other
- Frank Domenic Pellicori from UBS Financial Services Inc.Apr 7, 2021 · Wirehouse to independent RIA
- Ryan David Meacham from Cornerstone Wealth ManagementNov 20, 2020 · RIA to RIA
- David L Allen from Cornerstone Wealth ManagementNov 20, 2020 · RIA to RIA
- William David Proper from The Proper Analysis CorporationJan 21, 2020 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 19 left for CorientJun 17, 2026 · Chicago, Il · Firm absorbed
- 3 left for CorientJun 16, 2026 · Fishers, In
- 2 joined from Biechele Royce Advisors, Inc.Feb 21, 2025 · Fishers, In
- 4 joined from Biechele Royce Advisors, Inc.Dec 16, 2024 · Fishers, In
- 2 joined from Cornerstone Wealth ManagementOct 28, 2020 · San Diego, Ca
- 2 joined from The Proper Analysis CorporationJan 30, 2020 · Beachwood, Oh
- 2 joined from Cedar Hill Associates, LLCDec 3, 2018 · Chicago, Il
Private funds
35 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Vcm Core Alternative Fund LLCno longer reported | Hedge Fund | $96.8M | 188 | May 16, 2013 |
| Vcm Core Opportunities Fund LLCno longer reported | Hedge Fund | $38.0M | 75 | Apr 30, 2015 |
| Vcm Core Alternative Fund LLC - Class Ls005no longer reported | Hedge Fund | $35.0M | 139 | Apr 30, 2015 |
| Cornerstone Diversified Portfolio, LP | Hedge Fund | $34.0M | 74 | Mar 15, 2012 |
| Highland Capital Management, L.P.no longer reported | Hedge Fund | $18.8M | 37 | May 23, 2013 |
| Vcm Core Alternative Fund LLC - Class Ed005no longer reported | Hedge Fund | $15.6M | 10 | Apr 30, 2015 |
| Vcm Core Alternative Fund LLC - Class Ed001no longer reported | Hedge Fund | $14.8M | 89 | Apr 30, 2015 |
| Vivaldi Long Short Energy Fund I LLCno longer reported | Hedge Fund | $10.0M | 38 | Apr 9, 2012 |
| Vcm Core Alternative Fund LLC - Class Ls010no longer reported | Hedge Fund | $9.4M | 89 | Apr 30, 2015 |
| Vcm Core Alternative Fund LLC - Class Ls001no longer reported | Hedge Fund | $8.4M | 84 | Apr 30, 2015 |
| Vcm Core Alternative Fund LLC - Class Ls009no longer reported | Hedge Fund | $7.7M | 28 | Apr 30, 2015 |
| Vcm Core Alternative Fund LLC - Class Cr002no longer reported | Hedge Fund | $7.2M | 58 | Apr 30, 2015 |
| Vcm Core Alternative Fund LLC - Class Arb002no longer reported | Hedge Fund | $6.3M | 57 | Apr 30, 2015 |
| Vcm Offshore Fund II LP - Private Equityno longer reported | Private Equity Fund | $5.7M | 32 | Mar 29, 2018 |
| Vcm Core Opportunities Fund LLC - Class Pe002no longer reported | Private Equity Fund | $5.1M | 29 | Feb 8, 2016 |
| Vcm Core Alternative Fund LLC - Class Cr003no longer reported | Hedge Fund | $4.2M | 37 | Apr 30, 2015 |
| Vcm Core Opportunities Fund LLC - Class Pe001no longer reported | Private Equity Fund | $4.1M | 76 | Apr 30, 2015 |
| Vcm Core Alternative Fund LLC - Class Ls002no longer reported | Hedge Fund | $4.1M | 30 | Apr 30, 2015 |
| Vcm Core Alternative Fund LLC - Class Ed002no longer reported | Hedge Fund | $3.4M | 24 | Apr 30, 2015 |
| Vcm Core Alternative Fund LLC - Class Ls006no longer reported | Hedge Fund | $3.2M | 29 | Apr 30, 2015 |
| Vcm Core Alternative Fund LLC - Class Ed003no longer reported | Hedge Fund | $3.1M | 13 | Apr 30, 2015 |
| Vcm Core Alternative Fund LLC - Class Arb003no longer reported | Hedge Fund | $3.0M | 30 | Apr 30, 2015 |
| Vcm Core Alternative Fund LLC - Class Mtg001no longer reported | Hedge Fund | $2.4M | 41 | Apr 30, 2015 |
| Vcm Core Alternative Fund LLC - Class Ls004no longer reported | Hedge Fund | $2.4M | 10 | Apr 30, 2015 |
| Vcm Core Alternative Fund LLC - Class Ls012no longer reported | Hedge Fund | $1.8M | 17 | Feb 8, 2016 |
| Vcm Core Alternative Fund LLC - Class Ms001no longer reported | Hedge Fund | $1.6M | 35 | Apr 30, 2015 |
| Vcm Core Alternative Fund LLC - Class Mtg002no longer reported | Hedge Fund | $1.6M | 21 | Apr 30, 2015 |
| Vcm Core Alternative Fund LLC - Class Ls008no longer reported | Hedge Fund | $1.4M | 5 | Apr 30, 2015 |
| Vcm Core Alternative Fund LLC - Class Ls007no longer reported | Hedge Fund | $1.4M | 6 | Apr 30, 2015 |
| Vcm Core Alternative Fund LLC - Class Ed004no longer reported | Hedge Fund | $1.4M | 5 | Apr 30, 2015 |
| Vcm Core Alternative Fund LLC - Class Ls011no longer reported | Hedge Fund | $812,859 | 1 | Apr 30, 2015 |
| Vcm Core Alternative Fund LLC - Class Arb001no longer reported | Hedge Fund | $573,045 | 15 | Apr 30, 2015 |
| Vcm Core Alternative Fund LLC - Class Cr001no longer reported | Hedge Fund | $435,944 | 15 | Apr 30, 2015 |
| Vcm Core Alternative Fund LLC - Class Ls003no longer reported | Hedge Fund | $281,566 | 1 | Apr 30, 2015 |
| Vcm Core Alternative Fund LLC - Class Ed006no longer reported | Hedge Fund | $75,300 | 1 | Feb 8, 2016 |
Owners and control persons
Schedule A and B, latest filing
- D Marc Bassewitz · Chief Compliance Officer/General Counselcontrolsince 01/2019 · owns less than 5%
- Yadira Guzman · Cfocontrolsince 01/2022 · owns less than 5%
- Lee Scott Hergott · Ciocontrolsince 01/2013 · owns less than 5%
- Domenic Frank Pellicori · President & Director Of Wealth Managementcontrolsince 04/2024 · owns less than 5%
- Alan David Sternberg · Co-Founder / Ceocontrolsince 12/2011 · owns less than 5%
- Dillon Michael Peck · Limited Partnercontrolsince 12/2022 · owns 25% to 50% of Vft Holdings LP
- Dillon Michael Peck · Membercontrolsince 11/2021 · owns 25% to 50% of Vft Holdings Gp LLC
- Alan David Sternberg · Managercontrolsince 11/2021 · owns F of Vft Holdings Gp LLC
- Alan David Sternberg · Ownercontrolsince 12/2011 · owns 75% or more of Aaj Ventures Inc
Entity owners
- Vft & Vcm Gp I LLC · General Partnerdirect · owns less than 5%
- Vft Holdings LP · Memberdirect · owns 75% or more
- Aaj Ventures Inc · Memberindirect · owns 25% to 50% of Vft Holdings Gp LLC
- Aaj Ventures Inc · Limited Partnerindirect · owns 25% to 50% of Vft Holdings LP
- Vft Holdings Gp LLC · General Partnerindirect · owns F of Vft Holdings LP
- Vft Holdings LP · Managing Memberindirect · owns F of Vcm Equity Holdings LLC
- Vft Holdings LP · Memberindirect · owns 75% or more of Vft & Vcm Gp I LLC
- Vcm Equity Holdings LLC · Memberdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- First Trust Capital Management L.P.investment adviserbankpooled vehicle sponsornRAUM $13B
- First Trust Innovative Technologies L.P.investment advisern
- Ftcs Offshore Fund Gp LLCpooled vehicle sponsorn
- Vcm Gp LLCpooled vehicle sponsory
Advisers that list Vivaldi Capital Management LP as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Los Gatos, Ca | 0 | 0 | 1 | ||
| Chicago, Il · principal | 0 | 0 | 21 | ||
| Fishers, In | 0 | 0 | 4 | 1 | |
| San Diego, Ca | 0 | 0 | 1 | ||
| Beachwood, Oh | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Fishers, IN4 employees
- San Diego, CA3 employees
- Beachwood, OH2 employees
- Los Gatos, CA1 employees
- San Ramon, CA1 employees
What changed
consecutive filings, newest first
- Accounts · 8,413 to 9,855Mar 28, 2025 to Mar 31, 2026
- Advisory employees · 30 to 27Mar 28, 2025 to Mar 31, 2026
- HNW clients · 1,214 to 1,304Mar 28, 2025 to Mar 31, 2026
- Individual clients · 1,021 to 1,121Mar 28, 2025 to Mar 31, 2026
- Assets in custody · $606M to $605MMar 28, 2025 to Mar 31, 2026
- Employees · 69 to 68Mar 28, 2025 to Mar 31, 2026
- Financial planning clients · More than 500 to 26-50Mar 28, 2025 to Mar 31, 2026
- State-registered IARs · 31 to 32Mar 28, 2025 to Mar 31, 2026
- Discretionary RAUM · $2.0B to $2.4BMar 28, 2025 to Mar 31, 2026
- HNW RAUM · $3.8B to $4.5BMar 28, 2025 to Mar 31, 2026
- Individual RAUM · $661M to $800MMar 28, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $2.7B to $3.2BMar 28, 2025 to Mar 31, 2026
- Pension RAUM · $110M to $136MMar 28, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $31.4M to $30.4MMar 28, 2025 to Mar 31, 2026
- RAUM · $4.6B to $5.6BMar 28, 2025 to Mar 31, 2026
- Accounts · 6,627 to 8,413Nov 15, 2024 to Mar 28, 2025
- Advisory employees · 22 to 30Nov 15, 2024 to Mar 28, 2025
- HNW clients · 847 to 1,214Nov 15, 2024 to Mar 28, 2025
- Individual clients · 720 to 1,021Nov 15, 2024 to Mar 28, 2025
- Pension plan clients · 33 to 34Nov 15, 2024 to Mar 28, 2025
- Assets in custody · $488M to $606MNov 15, 2024 to Mar 28, 2025
- Employees · 57 to 69Nov 15, 2024 to Mar 28, 2025
- Financial planning clients · More than 500 to More than 500Nov 15, 2024 to Mar 28, 2025
- State-registered IARs · 24 to 31Nov 15, 2024 to Mar 28, 2025
- Discretionary RAUM · $1.5B to $2.0BNov 15, 2024 to Mar 28, 2025
- HNW RAUM · $3.1B to $3.8BNov 15, 2024 to Mar 28, 2025
- Individual RAUM · $522M to $661MNov 15, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $2.3B to $2.7BNov 15, 2024 to Mar 28, 2025
- Pension RAUM · $81.8M to $110MNov 15, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $34.0M to $31.4MNov 15, 2024 to Mar 28, 2025
- RAUM · $3.7B to $4.6BNov 15, 2024 to Mar 28, 2025
- Other offices · 4 to 5Mar 29, 2024 to Nov 15, 2024
- Accounts · 5,990 to 6,627Mar 30, 2023 to Mar 29, 2024
- Advisory employees · 23 to 22Mar 30, 2023 to Mar 29, 2024
- HNW clients · 645 to 847Mar 30, 2023 to Mar 29, 2024
- Individual clients · 706 to 720Mar 30, 2023 to Mar 29, 2024
- Pension plan clients · 37 to 33Mar 30, 2023 to Mar 29, 2024
- Assets in custody · $490M to $488MMar 30, 2023 to Mar 29, 2024
- Employees · 53 to 57Mar 30, 2023 to Mar 29, 2024
- State-registered IARs · 21 to 24Mar 30, 2023 to Mar 29, 2024
Signals
49 dated events
- Vivaldi Capital Management Lp no longer on the SEC adviser roster (last listed 2026-07-01, RAUM $5.6B)Aug 3, 2026 · Left the SEC roster · derived
- David Alan Sternberg left Vivaldi Capital Management Lp for Corient (registered 2026-07-08)Jun 18, 2026 · Advisor changed firm · fact
- Rachel Ann Leahy left Vivaldi Capital Management Lp for Corient (registered 2026-06-18)Jun 17, 2026 · Advisor changed firm · fact
- Zackary Graham Meuser left Vivaldi Capital Management Lp for Corient (registered 2026-06-25)Jun 17, 2026 · Advisor changed firm · fact
- Griffin Lau left Vivaldi Capital Management Lp for Corient (registered 2026-06-22)Jun 17, 2026 · Advisor changed firm · fact
- Morgan Jewelene Pruett left Vivaldi Capital Management Lp for Corient (registered 2026-06-16)Jun 17, 2026 · Advisor changed firm · fact
- Justin B Whelan left Vivaldi Capital Management Lp for Corient (registered 2026-06-17)Jun 17, 2026 · Advisor changed firm · fact
- Nikita Praharaj left Vivaldi Capital Management Lp for Corient (registered 2026-06-29)Jun 17, 2026 · Advisor changed firm · fact
- Randal Lawrence Golden left Vivaldi Capital Management Lp for Corient (registered 2026-08-25)Jun 17, 2026 · Advisor changed firm · fact
- Benjamin Bluman left Vivaldi Capital Management Lp for Corient (registered 2026-06-23)Jun 17, 2026 · Advisor changed firm · fact
- Frank Domenic Pellicori left Vivaldi Capital Management Lp for Corient (registered 2026-06-18)Jun 17, 2026 · Advisor changed firm · fact
- William David Proper left Vivaldi Capital Management Lp for Corient (registered 2026-07-02)Jun 17, 2026 · Advisor changed firm · fact
- David William Snyder left Vivaldi Capital Management Lp for Corient (registered 2026-06-25)Jun 17, 2026 · Advisor changed firm · fact
- Andrew Jeffrey Hitchcock Schuler left Vivaldi Capital Management Lp for Corient (registered 2026-06-23)Jun 17, 2026 · Advisor changed firm · fact
- Ted Russell Breiter left Vivaldi Capital Management Lp for Corient (registered 2026-06-23)Jun 17, 2026 · Advisor changed firm · fact
- Abigail Phillips left Vivaldi Capital Management Lp for Corient (registered 2026-06-22)Jun 17, 2026 · Advisor changed firm · fact
- Greg Andrew Goldfeder left Vivaldi Capital Management Lp for Corient (registered 2026-06-26)Jun 17, 2026 · Advisor changed firm · fact
- Brian Joseph Quinn left Vivaldi Capital Management Lp for Corient (registered 2026-06-29)Jun 17, 2026 · Advisor changed firm · fact
- Lilian Lo left Vivaldi Capital Management Lp for Corient (registered 2026-06-23)Jun 17, 2026 · Advisor changed firm · fact
- Daniel Aaron Jones left Vivaldi Capital Management Lp for Corient (registered 2026-06-23)Jun 17, 2026 · Advisor changed firm · fact
- Ilya Michael Zlotnik left Vivaldi Capital Management Lp for Corient (registered 2026-06-25)Jun 17, 2026 · Advisor changed firm · fact
- Andrew Jay Sternberg left Vivaldi Capital Management Lp for Corient (registered 2026-06-17)Jun 17, 2026 · Advisor changed firm · fact
- Asha Tangri Goldstein left Vivaldi Capital Management Lp for Corient (registered 2026-06-26)Jun 17, 2026 · Advisor changed firm · fact
- Brandon Lyon Intrater left Vivaldi Capital Management Lp for Corient (registered 2026-06-29)Jun 17, 2026 · Advisor changed firm · fact
- Vivaldi Capital Management LP's advisors moved to Corient (Chicago, IL): 21 of 23 registered, a day apartJun 17, 2026 · Firm absorbed (people side) · derived
- Thomas Andrew Barrett left Vivaldi Capital Management Lp for Corient (registered 2026-06-22)Jun 16, 2026 · Advisor changed firm · fact
- 2 advisors left Vivaldi Capital Management LP (Fishers, IN) for Corient a day apartJun 16, 2026 · Team lift-out · derived
- Matthew Charles Sanchez left Vivaldi Capital Management Lp for Tritonpoint Partners, Llc (registered 2026-05-16)May 18, 2026 · Advisor changed firm · fact
- Carlos Alberto Sanchez left Vivaldi Capital Management Lp for Tritonpoint Partners, Llc (registered 2026-05-18)May 18, 2026 · Advisor changed firm · fact
- Jeffrey David Eisman left Vivaldi Capital Management Lp for Wellth Advisory Services, Llc (registered 2026-04-15)Apr 15, 2026 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
- Vivaldi Capital Management LP · Private Equityshared crd · organization
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
Vivaldi Capital Management LP is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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