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Investment Adviser Firm Summary

VIVALDI CAPITAL MANAGEMENT, LLC (CRD# 160150 / SEC# 801-73024)
Alternate Names: GOLDEN, RANDAL LAWRENCE , VCM RETIREMENT PLAN SOLUTIONS , VIVALDI CAPITAL MANAGEMENT, LLC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 02/13/2012

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alaska 11/14/2016
Arizona 02/08/2016
California 04/09/2012
Colorado 02/08/2016
Connecticut 02/08/2016
District of Columbia 07/29/2016
Florida 10/09/2012
Georgia 02/08/2016
Illinois 02/13/2012
Indiana 10/17/2016
Iowa 10/17/2016
Kansas 03/31/2017
Kentucky 03/31/2017
Massachusetts 07/29/2016
Michigan 11/14/2013
Minnesota 03/31/2017
Nebraska 02/08/2016
Nevada 07/29/2016
New Jersey 08/05/2016
New Mexico 02/08/2016
New York 04/09/2012
North Carolina 02/08/2016
Ohio 11/14/2016
Pennsylvania 02/08/2016
South Carolina 07/29/2016
Tennessee 02/08/2016
Texas 07/11/2012
Utah 11/14/2016
Vermont 11/14/2016
Washington 03/29/2018
Wisconsin 04/12/2013

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser