Registered Funds

Our solutions are available to retail investors through independent advisors, broker-dealers, and self-directed accounts.

Daily Liquidity

Fund Name Ticker Strategy Structure PDF Materials
Vivaldi Merger Arbitrage Fund VARBX (I SHARE)
VARAX (A SHARE)
Merger Arbitrage 1933 & 1940 Act
Open-End Fund

FACT SHEET
PROSPECTUS

Vivaldi Multi-Strategy Fund OMOIX (I share)
OMOAX (A share)
Multi-Manager
Absolute Return
1933 & 1940 Act
Open-End Fund

FACT SHEET
PROSPECTUS

WV Concentrated Equities Fund WVCIX (I share)
WVCAX (A share)
Concentrated Equities 1933 & 1940 Act
Open-End Fund

PROSPECTUS

Quarterly Liquidity

Fund Name Ticker Strategy Structure PDF Materials
Infinity Core Alternative Fund ZVAMIX Multi-Strategy, Concentrated
Fund of Hedge Funds
1933 & 1940 Act
Closed-End Fund

FACT SHEET
PROSPECTUS

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David Sternberg Chief Executive Officer

David is a founding principal of Vivaldi Asset Management and leads the research process for selecting and approving new alternative investments for Vivaldi’s platform. He has over 31 years of experience in the financial markets and plays a lead role in the identification and selection of new alternative investment strategies. Prior to founding Vivaldi, David was a principal with FGMK Preservation Capital, where he specialized in analyzing and selecting Alternative Investments for high net worth clients.

In September 1999, he co-founded the Iron Partners LLC, a registered investment advisor with assets over $250 million, managing it until its sale in 2007. During the previous 15 years, David was a floor trader on the Chicago Board Options Exchange where he both traded and backed/trained over 20 traders employing his hedging strategies. David holds a BA degree in Business Administration from the University of Iowa.

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Michael Peck, CFA President, Co-Chief Investment Officer

Michael oversees all Portfolio Management for Vivaldi. Prior to joining Vivaldi, Michael was a Portfolio Manager for Coe Capital Management, an asset management firm based in Deerfield, IL where he oversaw the Wealth Management division of the firm and managed the portfolios of their high net worth client base. His prior work experience includes Senior Financial Analyst and Risk Manager for the Bond Companies, a national real estate private equity firm where he was responsible for sourcing, underwriting, structuring and due diligence on multifamily and mixed use assets.

Michael also worked for Wells Fargo’s Technical International Risk Unit where he was responsible for reviewing controls and financing techniques used to address risk exposures for clients,and implemented hedging techniques to optimize the operations and reduce the volatility of risk exposures. Michael received a BS degree in Accounting from Lehigh University and holds two graduate degrees from DePaul University: an MBA in Real Estate Investments and Financial Analysis and a Master’s Degree in Finance.

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Randal Golden Chief Financial Officer

Randal is a founding principal of Vivaldi Asset Management. Since 1993, he has provided clients asset management services and solutions. Prior to forming Vivaldi, Randal served as Managing Director for FGMK/Preservation Capital Partners and Mesirow Financial where his investment philosophy centered on capital preservation and delivering absolute returns through custom portfolios of both alternative investments and fixed income securities.

Randal received a BA degree in Liberal Arts and Sciences from the University of Illinois – Urbana Champaign and is a CPWA©, a certified private wealth adviser. Randal is a Veteran of the United States Army (1987-1989) where he served as an Infantryman in the 5th Infantry Division (Mechanized).

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Chad Eisenberg, CPA Chief Operating Officer

As the firm’s first outside hire, Chad is responsible for designing the operational and reporting frameworks currently in place. He began his career within the alternative investment space working for some of the largest issuers of commercial mortgage backed securities before focusing exclusively on alternative investment strategies within the public arena. His specialties include portfolio reporting, operational due-diligence on hedge funds and constructing multi-manager portfolios.

Chad Eisenberg is a Certified Public Accountant who graduated from the University of Illinois – Urbana Champaign with an undergraduate and Master’s degree in Accountancy (Specialization Taxation). He is a candidate for the Chartered Alternative Investment Analyst (CAIA) designation.

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Scott Hergott Co-CIO, Director of Research

Scott joined Vivaldi from Citadel in New York where he worked as a Derivatives Analyst focused on Risk Management inside their Surveyor group, a multi-manager long/short equity platform that managed $13 Billion. Scott is a seasoned investment professional with 25-years of experience analyzing and managing Fund of Hedge Fund portfolios and trading equity options on the floor of the Chicago Board Options Exchange.

At Vivaldi, Scott is the quarterback behind the due-diligence process and assessing whether a new strategy is suitable for Vivaldi’s Alternative Investment Platform and, ultimately, presenting to Vivaldi’s investment committee.

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Brian Murphy Portfolio Manager

Brian joined Vivaldi as a Senior Research Analyst on the investment team with a particular focus on Vivaldi’s alternatives portfolios. Brian is responsible for all aspects of the investment process, including investment sourcing, evaluation, and monitoring. He is also a member of the firm’s investment committee. Brian has eight years of alternatives investment experience at both multi-manager and single strategy hedge funds, with a particularly deep background in long/short equity and derivatives trading strategies.

Prior to joining Vivaldi, Brian was a Director for Voyager Management, LLC, a fund of hedge funds firm. He received his B.S. in Finance from Miami University in Oxford, OH.

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Michelle Comella Chief Compliance Officer & General Counsel

Michelle is an attorney, compliance officer and risk manager with over 25 years’ experience working for diverse financial institutions including Charles Schwab & Co., Inc., Goldman Sachs & Co., and Ernst & Young Corporate Finance LLC and its successor entities.  Just prior to joining Vivaldi, Michelle was a partner at Ziliak Law, LLC, a boutique law firm at which she provided a wide range of legal services to financial industry participants.  At Vivaldi, Michelle is primarily responsible for ensuring the firm and its activities comply with all relevant rules and regulations, advising the management team on legal matters, and assisting with the firm’s due diligence processes.

Michelle received her B.A. in Humanistic Studies and Sociology from Saint Mary’s College in Notre Dame, Indiana, and her J.D. from Loyola University Chicago School of Law.  Through her years in the financial services industry, she has procured ten (10) FINRA licenses.  Michelle has also completed a training program in arbitration and mediation offered by the Illinois State Bar Association.

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Julie Kraff Treasurer

Julie Kraff serves as Treasurer to Vivaldi Asset Management and its affiliates.   In addition to her role as Treasurer, Julie has experience managing assets for family offices and helping individuals and couples navigate the economic aspects of divorce.  Julie holds a BS Degree in Management from Tulane University, an MBA with a concentration in Finance from the University of Chicago, and received her Certified Public Accountant License in 1985. Julie is also a Certified Divorce Financial Analyst (CDFA).  Her prior work experience includes Public accounting with Alexander Grant & Company (Now Grant Thornton), Vice President of Asset management with Balcor/American Express and numerous years of experience in all aspects of Real Estate as a consultant to home builders, developers, and investors.

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Alissa Levy Director of Client Services

As the Director of Client Services for Vivaldi Asset Management, Alissa is actively involved with clients, investment managers and fund service providers. During her prior work experience, she has held positions in customer service, leadership of an election fundraising campaign, and as a legal assistant. Alissa received her BA in Political Science and a Certificate in Business from the University of Wisconsin – Madison. She graduated with multiple honors including distinction in the major.

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Andrew Sternberg Analyst
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Michael Grayson Analyst

Michael Grayson holds a B.A. from Colgate University where he studied Political Science and Economics. Michael was a member of the Men’s Division I Varsity Golf Team and was nominated to the Colgate University Athletic Leadership Academy. During his time, Michael helped coordinate the Sherburne-Earlville Adoption Program which sponsored a class of third grade students at the local elementary school. He was also active in Colgate’s Volunteer Income Tax Assistance program, in which the group filed over 700 collective income tax returns for low-income families. In his spare time, Michael enjoys spending time with his family and playing in recreational sports leagues with his friends.

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Evan Stoff Research Analyst

Evan sits on Vivaldi’s investment research team and works on the underwriting, monitoring and assessment of the firm’s investment opportunities. After graduating Cum Laude with a B.A. in Finance and Banking from the University of Missouri in 2013, Evan spent two years as an M&A Valuation Consultant with CBIZ in St. Louis before moving to Chicago and joining Vivaldi in October 2015. While at CBIZ, he valued equity interests through a range of financial models and facilitated efforts as project leader. Evan previously interned at Clayton Capital Partners as an Investment Banking Analyst Intern. Evan is currently a CFA Level 3 Candidate sitting in June 2016.

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Elizabeth Asher Analyst
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David Schneider Accountant