David Alan Sternberg

Current Employers

Corient

830 Brickell Plaza Suite 4800, Miami, FL 33131 • United States

Current Registrations

Authority	Category	Status	Date
IL	RA	APPROVED	2026-07-08

IL RA
APPROVED

Since 2026-07-08

Branch Locations

10 S Wacker Drive Suite 3100, Chicago, IL 60606 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Vivaldi Capital Management	Chicago	IL	01/2012	06/2026
Corient	Chicago	IL	06/2026	Present

01/2012 → 06/2026

Vivaldi Capital Management

Chicago, IL
06/2026 → Present

Corient

Chicago, IL

Previous Registrations

2017-10-10 → 2026-06-18

Debussy Capital Management Lp

Chicago, IL
1998-03-02 → 2008-12-01

Iron Financial Llc

Northfield, IL

Other Businesses

Name of business: First trust capital. Investment related: Yes. Nature of business: Investment/Alternative Investing Platform. Start date: 2021. Hours per month devoted to this business: 0. Hours per month devoted to this business during trading hours: 0. Description of duties: None - Passive Ownership.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2018-02-05

S65 Uniform Investment Adviser Law Examination

2018-02-05

View on SEC IAPD

Current Employers

Corient

Disclosures

Employment History

Previous Registrations

Other Businesses

Exams

Other Firms

Other Investors

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