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The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

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Asha Tangri Goldstein

Asha T. Goldstein

VIVALDI CAPITAL MANAGEMENT LP | Wealth Adviser
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 4739422
Asha Tangri Goldstein

Professional summary

Asha Tangri Goldstein, CFP®, who also goes by Asha Goldstein, Asha Rani Tangri, Asha Tangri, is a registered financial advisor currently at VIVALDI CAPITAL MANAGEMENT LP located in Chicago, Illinois.

Asha is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Asha has worked at 4 firms and has passed the Series 66, Series 63 and Series 7 exams.

Question & Answer

What are your service offerings?
Trust & estate planning
Trading individual securities
Financial planning
Philanthropic services
Retirement planning
What is your current number of clients?
Under 50
Are you a "fiduciary"?
Yes

Aliases

Asha Goldstein | Asha Rani Tangri | Asha Tangri

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Asha Tangri Goldstein's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®

Certified Financial Planner

Start date: 2012

Experience

Current

December 26, 2018 - Present

VIVALDI CAPITAL MANAGEMENT LP

Office #1: 225 West Wacker Suite 2100, Chicago, IL 60606
RIA
CRD#: 160150
Chicago, IL
Past

July 19, 2011 - December 11, 2018

CEDAR HILL ASSOCIATES, LLC

RIA
CRD#: 147206
CHICAGO, IL
Past

May 29, 2007 - July 8, 2011

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
CHICAGO, IL
Past

May 29, 2007 - July 8, 2011

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
CHICAGO, IL
Past

November 1, 2006 - May 29, 2007

CITICORP INVESTMENT SERVICES

RIA
CRD#: 23988
CHICAGO, IL
Past

January 1, 2004 - May 29, 2007

CITICORP INVESTMENT SERVICES

BD
CRD#: 23988
CHICAGO, IL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
VC
VIVALDI CAPITAL MANAGEMENT LP
GOLDEN, RANDAL LAWRENCE | VIVALDI INVESTMENT RESEARCH | VIVALDI INNOVATIVE TECHNOLOGIES LLC (RELYING ADVISER) | VIVALDI CAPITAL MANAGEMENT, LLC | VIVALDI CAPITAL MANAGEMENT LP | VCM RETIREMENT PLAN SERVICES

CRD#: 160150 / SEC#: 801-73024

RIA
Registered Investment Advisory firm - (2/13/2012 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
Illinois
(12/26/2018)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/6/2006
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 1/16/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/23/2003
General Securities Representative Examination

Current Firm

VC
VIVALDI CAPITAL MANAGEMENT LP
GOLDEN, RANDAL LAWRENCE | VIVALDI INVESTMENT RESEARCH | VIVALDI INNOVATIVE TECHNOLOGIES LLC (RELYING ADVISER) | VIVALDI CAPITAL MANAGEMENT, LLC | VIVALDI CAPITAL MANAGEMENT LP | VCM RETIREMENT PLAN SERVICES

CRD#: 160150 / SEC#: 801-73024

RIA
Registered Investment Advisory firm - (2/13/2012 Approved)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
225 West Wacker Suite 2100, Chicago, IL 60606
Mailing Address
Phone number
(312) 248-8300
Established
Firm type
Fiscal year end
# of Employees
69

SEC notice filing (45 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

VIVALDI CAPITAL MANAGEMENT LP FORM ADV 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts8,413
AUM (Assets Under Management)$ 4,647,085,822

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
01/23/2026
Cover Page
Report
07/22/2024
Cover Page
Report
10/24/2023
Cover Page
Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

VIVALDI CAPITAL MANAGEMENT LP

Wealth AdviserCRD#: 160150Chicago, IL 60606

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Contact information

(xxx) xxx-xxxx
xxxxx@xxxx.xxx

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