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RI

Richard L. Intrater

VIVALDI CAPITAL MANAGEMENT LP
Mill Valley, CA 94941
Some features on this profile are disabled
CRD#: 709118
RI

Professional summary

Richard Lee Intrater, who also goes by Richard L. Intrater, Rick Intrater, is a registered financial advisor currently at VIVALDI CAPITAL MANAGEMENT LP located in Mill Valley, California.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1980. Richard has worked at 10 firms and has passed the Series 65, Series 63, Series 5 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Richard L. Intrater | Rick Intrater

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.
December 2014 TO PRESENT - DIRECTOR, FALLBROOK TECHNOLOGIES, Inc. and BIO2 Technologies, Inc. INVESTMENT RELATED. APPROXIMATELY 10 HOURS PER MONTH TOTAL IN DIRECTOR'S MEETINGS. 03/26/2007 to present - managing member of LTS Capital Partners which in turn manages a number of individual investment entities. investment related.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Lee Intrater'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®
None

Experience

Current

September 19, 2019 - Present

VIVALDI CAPITAL MANAGEMENT LP

Office #1: 104 Tiburon Boulevard - Suite 200, Mill Valley, CA 94941
RIA
CRD#: 160150
Mill Valley, CA
Past

November 7, 2017 - July 30, 2018

VIVALDI CAPITAL MANAGEMENT LP

RIA
CRD#: 160150
CHICAGO, IL
Past

October 15, 2008 - December 31, 2008

LTS CAPITAL ADVISORS

RIA
CRD#: 137611
SAN FRANCISCO, CA
Past

September 9, 2002 - October 10, 2003

STARMONT ASSET MANAGEMENT, LLC

RIA
CRD#: 118637
SAN FRANCISCO, CA
Past

September 10, 1999 - October 22, 1999

ROBERT W. BAIRD & CO. INCORPORATED

BD
CRD#: 8158
MILWAUKEE, WI
Past

September 10, 1999 - January 30, 2002

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
MILWAUKEE, WI
Past

November 17, 1993 - September 30, 1998

MUTUAL SERVICE CORPORATION

BD
CRD#: 4806
BOSTON, MA
Past

September 6, 1989 - April 19, 1993

LEHMAN SPECIAL SECURITIES INC.

BD
CRD#: 7242
Past

September 6, 1989 - April 19, 1993

LEHMAN GOVERNMENT SECURITIES INC.

BD
CRD#: 19655
Past

May 28, 1980 - April 19, 1993

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

May 25, 1980 - June 27, 1984

LEHMAN BROTHERS KUHN LOEB INCORPORATED

BD
CRD#: 7555

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
(9/19/2019)

Exams

State Security Law Exam
IAR
Series 65
Date: 9/6/2019
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/5/1980
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 5
Date: 10/31/1981
Interest Rate Options Examination
General Industry/Product Exam
RR
Series 7
Date: 5/17/1980
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)
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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#: 160150Mill Valley, CA 94941

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