VIVALDI ASSET MANAGEMENT LLC
Legal name: VIVALDI ASSET MANAGEMENT, LLC
CRD #168884 SEC #801-78504 CHICAGO, IL 312.248.8300
SEC Registered
Total AUM
$786.1M
Discretionary
$698.9M
Employees
22
Clients
0
Accounts
5
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Delaware
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 29, 2021
- Branch Offices
- 1
- LEI
- 254900F17D83LYP3CD32
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| BASSEWITZ, MARC, D | I | CHIEF COMPLIANCE OFFICER/GENERAL COUNSEL | NA | Control |
| BASSEWITZ, MARC, D | I | CHIEF COMPLIANCE OFFICER/GENERAL COUNSEL | NA | Control |
| BASSEWITZ, MARC, D | I | CHIEF COMPLIANCE OFFICER/GENERAL COUNSEL | NA | Control |
| COMELLA, MICHELLE, MARIE | I | CHIEF COMPLIANCE OFFICER/GENERAL COUNSEL | NA | Control |
| COMELLA, MICHELLE, MARIE | I | CHIEF COMPLIANCE OFFICER/GENERAL COUNSEL | NA | Control |
| COMELLA, MICHELLE, MARIE | I | CHIEF COMPLIANCE OFFICER/GENERAL COUNSEL | NA | Control |
| COMELLA, MICHELLE, MARIE | I | CHIEF COMPLIANCE OFFICER/GENERAL COUNSEL | NA | Control |
| DJ FUND INVESTMENTS LLC - SERIES I | DE | CLASS C MEMBER | NA | |
| DJ FUND INVESTMENTS LLC - SERIES I | DE | CLASS C MEMBER | NA | |
| EISENBERG, CHAD | I | CHIEF OPERATING OFFICER | NA | Control |
| EISENBERG, CHAD | I | CHIEF OPERATING OFFICER | NA | Control |
| EISENBERG, CHAD | I | CHIEF OPERATING OFFICER | NA | Control |
| EISENBERG, CHAD | I | CHIEF OPERATING OFFICER | NA | Control |
| EISENBERG, CHAD | I | CHIEF OPERATING OFFICER | NA | Control |
| EISENBERG, CHAD | I | CHIEF OPERATING OFFICER | NA | Control |
| EISENBERG, CHAD, SAMUAL | I | CHIEF OPERATING OFFICER | NA | Control |
| EISENBERG, CHAD, SAMUAL | I | CHIEF OPERATING OFFICER | NA | Control |
| EISENBERG, CHAD, SAMUAL | I | CHIEF OPERATING OFFICER | NA | Control |
| GOLDEN, RANDAL, LAWRENCE | I | CHIEF COMPLIANCE OFFICER / CHIEF EXECUTIVE OFFICER | NA | Control |
| GOLDEN, RANDAL, LAWRENCE | I | CO-FOUNDER/CHIEF FINANCIAL OFFICER/CHIEF COMPLIANCE OFFICER | NA | Control |
| GOLDEN, RANDAL, LAWRENCE | I | CHIEF COMPLIANCE OFFICER / CHIEF EXECUTIVE OFFICER | NA | Control |
| GOLDEN, RANDAL, LAWRENCE | I | CO-FOUNDER/CHIEF FINANCIAL OFFICER/CHIEF COMPLIANCE OFFICER | NA | Control |
| GOLDEN, RANDAL, LAWRENCE | I | CO-FOUNDER/CHIEF FINANCIAL OFFICER/CHIEF COMPLIANCE OFFICER | NA | Control |
| GOLDEN, RANDAL, LAWRENCE | I | CO-FOUNDER/CHIEF FINANCIAL OFFICER | NA | Control |
| GOLDEN, RANDAL, LAWRENCE | I | CO-FOUNDER/CHIEF FINANCIAL OFFICER | NA | Control |
| GOLDEN, RANDAL, LAWRENCE | I | CO-FOUNDER/CHIEF FINANCIAL OFFICER | NA | Control |
| GOLDEN, RANDAL, LAWRENCE | I | CO-FOUNDER/CHIEF FINANCIAL OFFICER | NA | Control |
| GOLDEN, RANDAL, LAWRENCE | I | CO-FOUNDER/CHIEF FINANCIAL OFFICER | NA | Control |
| GOLDEN, RANDAL, LAWRENCE | I | CO-FOUNDER/CHIEF FINANCIAL OFFICER | NA | Control |
| GOLDEN, RANDAL, LAWRENCE | I | CO-FOUNDER/CHIEF FINANCIAL OFFICER | NA | Control |
| HERGOTT, SCOTT, LEE | I | HEAD OF RESEARCH/CO/CIO | NA | Control |
| HERGOTT, SCOTT, LEE | I | HEAD OF RESEARCH/CO/CIO | NA | Control |
| HERGOTT, SCOTT, LEE | I | HEAD OF RESEARCH/CO-CIO | NA | Control |
| HERGOTT, SCOTT, LEE | I | HEAD OF RESEARCH/CO-CIO | NA | Control |
| HERGOTT, SCOTT, LEE | I | HEAD OF RESEARCH/CO-CIO | NA | Control |
| HERGOTT, SCOTT, LEE | I | HEAD OF RESEARCH/CO-CIO | NA | Control |
| HERGOTT, SCOTT, LEE | I | HEAD OF RESEARCH/CO-CIO | NA | Control |
| HERGOTT, SCOTT, LEE | I | HEAD OF RESEARCH/CO-CIO | NA | Control |
| HERGOTT, SCOTT, LEE | I | HEAD OF RESEARCH/CO-CIO | NA | Control |
| PECK, MICHAEL | I | PRESIDENT | NA | Control |
| PECK, MICHAEL | I | PRESIDENT | NA | Control |
| PECK, MICHAEL | I | PRESIDENT | NA | Control |
| PECK, MICHAEL | I | PRESIDENT | NA | Control |
| PECK, MICHAEL | I | PRESIDENT/CO-CIO | NA | Control |
| PECK, MICHAEL | I | PRESIDENT/CO-CIO | NA | Control |
| PECK, MICHAEL | I | PRESIDENT/CO-CIO | NA | Control |
| PECK, MICHAEL | I | PRESIDENT/CO-CIO | NA | Control |
| PECK, MICHAEL, DILLON | I | PRESIDENT/CO-CIO | NA | Control |
| PECK, MICHAEL, DILLON | I | PRESIDENT/CO-CIO | NA | Control |
| PECK, MICHAEL, DILLON | I | PRESIDENT/CO-CIO | NA | Control |
| STERNBERG, DAVID, ALAN | I | CO-FOUNDER/CEO | NA | Control |
| STERNBERG, DAVID, ALAN | I | CO-FOUNDER/CEO | NA | Control |
| STERNBERG, DAVID, ALAN | I | CO-FOUNDER/CEO | NA | Control |
| STERNBERG, DAVID, ALAN | I | CO-FOUNDER/CEO | NA | Control |
| STERNBERG, DAVID, ALAN | I | CO-FOUNDER/CEO | NA | Control |
| STERNBERG, DAVID, ALAN | I | CO-FOUNDER/CEO | NA | Control |
| STERNBERG, DAVID, ALAN | I | CO-FOUNDER/CEO | NA | Control |
| STERNBERG, DAVID, ALAN | I | CO-FOUNDER/CEO | NA | Control |
| STERNBERG, DAVID, ALAN | I | CO-FOUNDER/CEO | NA | Control |
| STERNBERG, DAVID, ALAN | I | CO-FOUNDER/CEO | NA | Control |
| VIVALDI HOLDINGS, LLC | DE | MEMBER | E | Control |
| VIVALDI HOLDINGS, LLC | DE | MEMBER | E | Control |
| VIVALDI HOLDINGS, LLC | DE | MEMBER | E | Control |
| VIVALDI HOLDINGS, LLC | DE | MEMBER | E | Control |
| VIVALDI HOLDINGS, LLC | DE | MEMBER | E | Control |
| VIVALDI HOLDINGS, LLC | DE | MEMBER | E | Control |
| VIVALDI HOLDINGS, LLC | DE | MEMBER | E | Control |
| VIVALDI HOLDINGS, LLC | DE | MEMBER | E | Control |
| VIVALDI HOLDINGS, LLC | DE | MEMBER | E | Control |
| AAJ VENTURES INC | DE | MEMBER | D | Control |
| AAJ VENTURES INC | DE | MEMBER | D | Control |
| H/E VENTURES INC | DE | MEMBER | D | Control |
| H/E VENTURES INC | DE | MEMBER | D | Control |
| AAJ VENTURES INC | DE | MEMBER | C | Control |
| H/E VENTURES INC | DE | MEMBER | C | Control |
| EISENBERG, CHAD | I | CHIEF OPERATING OFFICER | B | Control |
| HERGOTT, SCOTT, LEE | I | HEAD OF RESEARCH/CO/CIO | B | Control |
| PECK, MICHAEL | I | PRESIDENT | B | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| ASHER, DANIEL, BRUCE | I | DJ FUND INVESTMENTS LLC -SERIES I | E | |
| ASHER, DANIEL, BRUCE | I | DJ FUND INVESTMENTS LLC -SERIES I | E | |
| GOLDEN, RANDAL, LAWRENCE | I | H/E VENTURES INC | E | Control |
| GOLDEN, RANDAL, LAWRENCE | I | H/E VENTURES INC | E | Control |
| GOLDEN, RANDAL, LAWRENCE | I | H/E VENTURES INC | E | Control |
| GOLDEN, RANDAL, LAWRENCE | I | H/E VENTURES INC | E | Control |
| GOLDEN, RANDAL, LAWRENCE | I | H/E VENTURES INC | E | Control |
| GOLDEN, RANDAL, LAWRENCE | I | H/E VENTURES INC | E | Control |
| STERNBERG, DAVID, ALAN | I | AAJ VENTURES INC | E | Control |
| STERNBERG, DAVID, ALAN | I | AAJ VENTURES INC | E | Control |
| STERNBERG, DAVID, ALAN | I | AAJ VENTURES INC | E | Control |
| STERNBERG, DAVID, ALAN | I | AAJ VENTURES INC | E | Control |
| STERNBERG, DAVID, ALAN | I | AAJ VENTURES INC | E | Control |
| STERNBERG, DAVID, ALAN | I | AAJ VENTURES INC | E | Control |
| STERNBERG, DAVID, ALAN | I | AAJ VENTURES INC | E | Control |
| STERNBERG, DAVID, ALAN | I | AAJ VENTURES INC | E | Control |
| STERNBERG, DAVID, ALAN | I | AAJ VENTURES INC | E | Control |
| STERNBERG, DAVID, ALAN | I | AAJ VENTURES INC | E | Control |
| STERNBERG, DAVID, ALAN | I | AAJ VENTURES INC | E | Control |
| STERNBERG, DAVID, ALAN | I | AAJ VENTURES INC | E | Control |
| AAJ VENTURES INC | DE | VIVALDI HOLDINGS, LLC | C | Control |
| AAJ VENTURES INC | DE | VIVALDI HOLDINGS, LLC | C | Control |
| AAJ VENTURES INC | DE | VIVALDI HOLDINGS, LLC | C | Control |
| AAJ VENTURES INC | DE | VIVALDI HOLDINGS, LLC | C | Control |
| AAJ VENTURES INC | DE | VIVALDI HOLDINGS, LLC | C | Control |
| AAJ VENTURES INC | DE | VIVALDI HOLDINGS, LLC | C | Control |
| AAJ VENTURES INC | DE | VIVALDI HOLDINGS, LLC | C | Control |
| AAJ VENTURES INC | DE | VIVALDI HOLDINGS, LLC | C | Control |
| AAJ VENTURES INC | DE | VIVALDI HOLDINGS, LLC | C | Control |
| H/E VENTURES INC | DE | VIVALDI HOLDINGS, LLC | C | Control |
| H/E VENTURES INC | DE | VIVALDI HOLDINGS, LLC | C | Control |
| H/E VENTURES INC | DE | VIVALDI HOLDINGS, LLC | C | Control |
Registrations
Federal
IA
Mar 29, 2021 REGISTERED
Notice Filings (3)
CA IL IN
Address
225 WEST WACKERSUITE 2100
CHICAGO, IL 60606
United States
Phone: 312.248.8300