AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

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.

Pricing
For Advisors
LL

Lilian Lo

VIVALDI CAPITAL MANAGEMENT LP
San Ramon, CA 94583
Some features on this profile are disabled
CRD#: 4929414
LL

Professional summary

Lilian Lo, CFP®, who also goes by Ling Ling Lilian Lee, Ling Ling Lilian Lo, Ling Ling Lilian Lo, is a registered financial advisor currently at VIVALDI CAPITAL MANAGEMENT LP located in San Ramon, California.

Lilian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Lilian has worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Ling Ling Lilian Lee | Ling Ling Lilian Lo | Ling Ling Lilian Lo

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 Lilian Lo'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: 2014

Experience

Current

November 6, 2017 - Present

VIVALDI CAPITAL MANAGEMENT LP

Office #1: 2010 Crow Canyon Place - Suite 100, San Ramon, CA 94583
RIA
CRD#: 160150
San Ramon, CA
Past

July 7, 2016 - October 12, 2017

MARINER ADVISOR NETWORK

RIA
CRD#: 283824
Walnut Creek, CA
Past

April 22, 2016 - July 7, 2016

STRATEGIC WEALTH ADVISORS GROUP

RIA
CRD#: 140977
Walnut Creek, CA
Past

April 1, 2015 - September 8, 2016

LPL FINANCIAL LLC

RIA
CRD#: 6413
WALNUT CREEK, CA
Past

March 30, 2015 - July 6, 2017

LPL FINANCIAL LLC

BD
CRD#: 6413
WALNUT CREEK, CA
Past

April 20, 2007 - April 2, 2015

STRATEGIC ADVISERS LLC

RIA
CRD#: 104555
WALNUT CREEK, CA
Past

January 24, 2006 - February 17, 2006

FIDELITY BROKERAGE SERVICES LLC

RIA
CRD#: 7784
WALNUT CREEK, CA
Past

January 24, 2006 - April 1, 2015

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
WALNUT CREEK, CA
Past

August 5, 2005 - February 3, 2006

SHELTON CAPITAL MANAGEMENT

RIA
CRD#: 104720
SAN FRANCISCO, CA
Past

August 3, 2005 - December 12, 2005

RFS PARTNERS

BD
CRD#: 18119
DENVER, CO
Past

June 21, 2005 - July 14, 2005

A. G. EDWARDS & SONS, INC.

RIA
CRD#: 4
SAN FRANCISCO, CA
Past

April 7, 2005 - July 14, 2005

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
ST. LOUIS, MO

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
California
(11/6/2017)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/10/2005
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 7/6/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/6/2005
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See 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
07/22/2024
Cover Page
Report
10/24/2023
Cover Page
Report
07/26/2022
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

CRD#: 160150San Ramon, CA 94583

TRUST BUT VERIFY

Monitor Lilian Lo

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

John Israel
John IsraelAdvisorCheck Check Mark
STRATEGIC ADVISERS LLC
IAR
RR
SAN RAMON, CA
Jason Michael Cooke
Jason CookeAdvisorCheck Check Mark
EDELMAN FINANCIAL ENGINES
IAR
DANVILLE, CA
DT
Daniel TorresAdvisorCheck Check Mark
NYLIFE SECURITIES LLC
RR
BRENTWOOD, CA
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.