0001442055-14-000004.txt : 20140507 0001442055-14-000004.hdr.sgml : 20140507 20140507130158 ACCESSION NUMBER: 0001442055-14-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20140331 FILED AS OF DATE: 20140507 DATE AS OF CHANGE: 20140507 EFFECTIVENESS DATE: 20140507 FILER: COMPANY DATA: COMPANY CONFORMED NAME: CONFLUENCE INVESTMENT MANAGEMENT LLC CENTRAL INDEX KEY: 0001442056 IRS NUMBER: 261764456 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-13334 FILM NUMBER: 14819901 BUSINESS ADDRESS: STREET 1: 20 ALLEN AVENUE, SUITE 300 CITY: ST. LOUIS STATE: MO ZIP: 63119 BUSINESS PHONE: 314-743-5090 MAIL ADDRESS: STREET 1: 20 ALLEN AVENUE, SUITE 300 CITY: ST. LOUIS STATE: MO ZIP: 63119 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001442056 XXXXXXXX 03-31-2014 03-31-2014 CONFLUENCE INVESTMENT MANAGEMENT LLC

20 ALLEN AVENUE, SUITE 300 ST. LOUIS MO 63119

13F COMBINATION REPORT 028-13334 028-06487 First Trust Advisors L.P. N Joseph Hanzlik 314-743-5096 Joseph Hanzlik Saint Louis MO 05-07-2014 1 252 1974435 false 1 028-06487 First Trust Advisors L.P. INFORMATION TABLE 2 Mar14sec13fvers3.xml Vanguard Equity-Income Admiral MFUND 921921300 277 4379 SH SOLE 4379 0 0 Guggenheim BulletShares C COM 18383M563 1432 65429 SH SOLE 65429 0 0 Guggenheim BulletShares C COM 18383M555 1499 66997 SH SOLE 66997 0 0 Guggenheim BulletShares C COM 18383M548 2160 94691 SH SOLE 94691 0 0 Guggenheim BulletShares C COM 18383M530 2133 101271 SH SOLE 101271 0 0 Guggenheim BulletShares C COM 18383M522 2129 101914 SH SOLE 101914 0 0 Guggenheim BulletShares C COM 18383M514 2122 101630 SH SOLE 101630 0 0 3M Company COM 88579Y101 36508 269115 SH SOLE 269115 0 0 ACE Limited COM h0023r105 4726 47711 SH SOLE 47711 0 0 Affiliated Managers Group Inc. COM 008252108 386 1928 SH SOLE 1928 0 0 Air Products & Chemicals Inc. COM 009158106 4997 41981 SH SOLE 41981 0 0 American Capital Ltd. COM 02503Y103 2020 127906 SH DFND 0 127906 0 American Capital Senior Floati COM 02504D108 553 39380 SH SOLE 39380 0 0 American Express Company COM 025816109 18375 204102 SH SOLE 204102 0 0 Analog Devices, Inc. COM 032654105 5061 95244 SH SOLE 95244 0 0 Annaly Capital Management Inc. COM 035710409 4034 367717 SH DFND 0 367717 0 Apollo Investment Corp. COM 03761U106 4453 535883 SH DFND 0 535883 0 Ares Capital Corp. COM 04010L103 42463 2409932 SH DFND 0 2409932 0 Ares Commercial Real Estate COM 04013V108 268 20000 SH DFND 0 20000 0 Bank of Marin (CA) COM 063425102 1475 32735 SH DFND 0 32735 0 Barclays 20+ Year Treasury Bon COM 464287432 443 4058 SH SOLE 4058 0 0 Barclays 3-7 Year Treasury Bon COM 464288661 1176 9743 SH SOLE 9743 0 0 Barclays Capital High Yield Bo COM 78464A417 5891 142579 SH SOLE 142579 0 0 Barrick Gold Corp. COM 067901108 305 17101 SH SOLE 17101 0 0 Becton, Dickinson and Company COM 075887109 5089 43467 SH SOLE 43467 0 0 Bed Bath & Beyond Inc COM 075896100 12672 184189 SH SOLE 184189 0 0 Berkshire Hathaway Inc. - B COM 084670702 12411 99313 SH SOLE 99313 0 0 Berkshire Hathaway Inc. - Clas COM 084670108 937 5 SH SOLE 5 0 0 BHP Billiton Limited - ADR COM 088606108 377 5557 SH SOLE 5557 0 0 BlackRock Kelso Capital Corp. COM 092533108 3064 334119 SH DFND 0 334119 0 Broadridge Financial Solutions COM 11133T103 27536 741403 SH SOLE 741403 0 0 Brown-Forman Corp. - B COM 115637209 5074 56574 SH SOLE 56574 0 0 Brown & Brown Inc. COM 115236101 10128 329249 SH DFND 0 329249 0 C & J Energy Services Inc COM 12467B304 1752 60075 SH DFND 0 60075 0 C.H. Robinson Worldwide Inc. COM 12541W209 26854 512575 SH SOLE 512575 0 0 CABOT OIL & GAS CORP. COM 127097103 286 8438 SH SOLE 8438 0 0 CF Industries Holdings Inc. COM 125269100 558 2141 SH SOLE 2141 0 0 Chevron Corp. COM 166764100 43200 363303 SH SOLE 363303 0 0 Cimarex Energy Co. COM 171798101 398 3341 SH SOLE 3341 0 0 CM Finance Inc COM 12574Q103 312 20000 SH DFND 0 20000 0 Colgate-Palmolive Co. COM 194162103 19263 296952 SH SOLE 296952 0 0 Commerce Bancshares, Inc. COM 200525103 5248 113046 SH SOLE 113046 0 0 Compass Diversified Holdings COM 20451Q104 3538 187109 SH DFND 0 187109 0 Concho Resources, Inc. COM 20605P101 389 3175 SH SOLE 3175 0 0 ConocoPhillips COM 20825C104 5365 76262 SH SOLE 76262 0 0 Consumer Discret Select Sector COM 81369Y407 5848 90353 SH SOLE 90353 0 0 Consumer Staples Select Sector COM 81369Y308 2558 59403 SH SOLE 59403 0 0 Continental Resources, Inc. COM 212015101 367 2957 SH SOLE 2957 0 0 Cubic Corp COM 229669106 1293 25317 SH DFND 0 25317 0 Cullen Frost Bankers, Inc. COM 229899109 4966 64052 SH SOLE 64052 0 0 Culp Inc. COM 230215105 1461 74012 SH DFND 0 74012 0 CYS Investments Inc COM 12673A108 5756 696880 SH DFND 0 696880 0 Diageo (Adr 1:4) COM 25243Q205 38223 306788 SH SOLE 306788 0 0 Digital Realty Trust Inc. COM 253868103 27967 526885 SH SOLE 526885 0 0 Discovery Communications, Inc. COM 25470F302 12308 159725 SH SOLE 159725 0 0 Donaldson Inc COM 257651109 4701 110879 SH SOLE 110879 0 0 Douglas Dynamics, Inc. COM 25960R105 1701 97664 SH DFND 0 97664 0 Dow Jones U.S. Aerospace & Def COM 464288760 218 1994 SH SOLE 1994 0 0 Dow Jones US Financial Sector COM 464287788 6760 82682 SH SOLE 82682 0 0 Dow Jones US Technology - iSha COM 464287721 8161 89621 SH SOLE 89621 0 0 Dow Jones US Utilities - iShar COM 464287697 1818 17448 SH SOLE 17448 0 0 Du Pont E.I. De Nemours & Com COM 263534109 30625 456410 SH SOLE 456410 0 0 Eldorado Gold Corp. COM 284902103 286 51166 SH SOLE 51166 0 0 Emerson Electric Company COM 291011104 39450 590574 SH SOLE 590574 0 0 Energy Select Sector - SPDR COM 81369Y506 5214 58542 SH SOLE 58542 0 0 Energy XXI Limited - (Bermuda COM G10082140 324 13758 SH SOLE 13758 0 0 ENI S.p.A. ADS COM 26874R108 364 7251 SH SOLE 7251 0 0 EOG Resources COM 26875P101 385 1962 SH SOLE 1962 0 0 European ETF - Vanguard COM 922042874 1894 32129 SH SOLE 32129 0 0 Expeditors International of Wa COM 302130109 14209 358533 SH SOLE 358533 0 0 Express Scripts Inc. COM 30219G108 15388 204924 SH SOLE 204924 0 0 Exxon Mobil Corp. COM 30231G102 6361 65119 SH SOLE 65119 0 0 Fidelity National Financial In COM 31620R105 26278 835805 SH SOLE 835805 0 0 Fifth Street Finance Corp. COM 31678A103 1173 124014 SH DFND 0 124014 0 Forward Air Corp. COM 349853101 1629 35320 SH DFND 0 35320 0 Franco-Nevada Corp. COM 351858105 323 7032 SH SOLE 7032 0 0 Franklin Electric Co. Inc. COM 353514102 1472 34617 SH DFND 0 34617 0 Franklin Street Properties Cor COM 35471R106 139 11000 SH SOLE 11000 0 0 Freeport-McMoRan Copper & Gold COM 35671D857 342 10351 SH SOLE 10351 0 0 General Dynamics Corp. COM 369550108 5274 48421 SH SOLE 48421 0 0 Gladstone Capital Corporation COM 376535100 3168 314304 SH DFND 0 314304 0 Gladstone Commercial Corp. COM 376536108 1667 96144 SH DFND 0 96144 0 Gladstone Investment Corp. COM 376546107 2357 284979 SH DFND 0 284979 0 GlaxoSmithKline Plc (Adr 1:2) COM 37733W105 32690 611824 SH SOLE 611824 0 0 Gold Trust - iShares COM 464285105 3656 293907 SH SOLE 293907 0 0 Golub Capital BDC Inc COM 38173M102 26396 1479606 SH DFND 0 1479606 0 Google Inc. - A COM 38259P508 12972 11639 SH SOLE 11639 0 0 Graco inc. COM 384109104 28049 375287 SH DFND 0 375287 0 Graftech International Ltd. COM 384313102 701 64167 SH SOLE 64167 0 0 Guggenheim BulletShares Invest COM 18383M266 2221 107729 SH SOLE 107729 0 0 Guggenheim BulletShares Invest COM 18383M258 2215 108401 SH SOLE 108401 0 0 Gulf Coast Ultra Deep Royalty COM 40222T104 530 173865 SH SOLE 173865 0 0 Haemonetics Corporation COM 405024100 1498 45952 SH DFND 0 45952 0 Hallador Energy Company COM 40609P105 367 42926 SH SOLE 42926 0 0 Halliburton Co. COM 406216101 11924 202479 SH SOLE 202479 0 0 Harvest Capital Credit Corp COM 41753F109 295 20000 SH SOLE 20000 0 0 Hatteras Financial Corp. COM 41902R103 3662 194282 SH DFND 0 194282 0 Health Care Select Sector - SP COM 81369Y209 3835 65574 SH SOLE 65574 0 0 Hercules Technology Growth Cap COM 427096508 7583 538932 SH DFND 0 538932 0 Hess Corp. COM 42809H107 361 4353 SH SOLE 4353 0 0 High Yield Corporate Bond Fund COM 464288513 5875 62246 SH SOLE 62246 0 0 Hittite Microwave Corp COM 43365Y104 1441 22862 SH DFND 0 22862 0 Home Depot Inc. COM 437076102 4984 62987 SH SOLE 62987 0 0 Horizon Technology COM 44045A102 4011 320594 SH DFND 0 320594 0 Illinois Tool Works Inc. COM 452308109 15339 188602 SH SOLE 188602 0 0 Industrial Select Sector - SPD COM 81369Y704 5271 100727 SH SOLE 100727 0 0 International Business Machine COM 459200101 4405 22883 SH SOLE 22883 0 0 Iron Mountain COM 462846106 29168 1057947 SH SOLE 1057947 0 0 iShares 10+ Year Credit Bond E COM 464289511 9737 167530 SH SOLE 167530 0 0 iShares 7-10 Year Treasury Bon COM 464287440 4811 47290 SH SOLE 47290 0 0 iShares CMBS Bond ETF COM 46429B366 2106 41193 SH SOLE 41193 0 0 iShares Corporate Bond ETF 202 COM 46432FAZ0 3605 35016 SH SOLE 35016 0 0 iShares Corporate ex Financial COM 46432FAD9 2124 21198 SH SOLE 21198 0 0 iShares Corporate ex Financial COM 46432FAG2 5661 57343 SH SOLE 57343 0 0 iShares Corporate ex Financial COM 46432FAK3 3514 36128 SH SOLE 36128 0 0 iShares Corporate ex Financial COM 46432FAN7 3493 36944 SH SOLE 36944 0 0 iShares GNMA Bond ETF COM 46429B333 2121 43373 SH SOLE 43373 0 0 iShares iBoxx Corporate Bond E COM 464287242 28321 242188 SH SOLE 242188 0 0 iShares Interm. Term Corporate COM 464288638 3166 29032 SH SOLE 29032 0 0 iShares MBS Bond ETF COM 464288588 3487 32854 SH SOLE 32854 0 0 iShares National AMT-Free Muni COM 464288414 827 7724 SH SOLE 7724 0 0 iShares Residential Real Estat COM 464288562 8084 161526 SH SOLE 161526 0 0 iShares S&P AMT-Free Municipal COM 464289339 808 15233 SH SOLE 15233 0 0 iShares S&P AMT-Free Municipal COM 464289313 810 15115 SH SOLE 15115 0 0 iShares S&P AMT-Free Municipal COM 464289271 1218 22085 SH SOLE 22085 0 0 iShares S&P AMT-Free Municipal COM 46429B580 1230 48445 SH SOLE 48445 0 0 Johnson & Johnson COM 478160104 47576 484329 SH SOLE 484329 0 0 KCAP Financial Inc COM 48668E101 4677 540055 SH DFND 0 540055 0 Kinder Morgan Inc. COM 49456B101 29570 910115 SH SOLE 910115 0 0 Kohl's Corp. COM 500255104 30007 528294 SH SOLE 528294 0 0 Kraft Foods Group, Inc. COM 50076Q106 28758 512614 SH SOLE 512614 0 0 Landauer Inc. COM 51476K103 2374 52382 SH SOLE 52382 0 0 Landstar System Inc. COM 515098101 4489 75797 SH DFND 0 75797 0 Linear Technology Corp COM 535678106 31242 641653 SH SOLE 641653 0 0 Lockheed Martin Corp COM 539830109 36239 221997 SH SOLE 221997 0 0 Lowe's Companies Inc. COM 548661107 12318 251906 SH SOLE 251906 0 0 M&T Bank Corp. COM 55261F104 4932 40657 SH SOLE 40657 0 0 Main Street Capital Corp. COM 56035L104 2462 74934 SH DFND 0 74934 0 Manatuck Hill Mariner Offshore COM 562996983 464 3182 SH SOLE 3182 0 0 Marathon Oil Corp. COM 565849106 4703 132401 SH SOLE 132401 0 0 Markel Corp. COM 570535104 15468 25948 SH SOLE 25948 0 0 Martin Marietta Materials Inc. COM 573284106 32392 252370 SH SOLE 252370 0 0 Mastercard Inc. - A COM 57636Q104 10177 136232 SH SOLE 136232 0 0 Materials Select Sector - SPDR COM 81369Y100 1915 40494 SH SOLE 40494 0 0 Mattel Inc COM 577081102 14414 359361 SH SOLE 359361 0 0 McDonald's Corp. COM 580135101 4799 48957 SH SOLE 48957 0 0 MCG Capital Corp. COM 58047P107 2379 627656 SH DFND 0 627656 0 MDU Resources Group Inc. COM 552690109 5330 155338 SH SOLE 155338 0 0 Medallion Financial Corp COM 583928106 3959 299721 SH DFND 0 299721 0 Medley Capital Corp. COM 58503F106 10057 738972 SH DFND 0 738972 0 Microsoft Corp. COM 594918104 38317 934800 SH SOLE 934800 0 0 Mohawk Industries Inc. COM 608190104 764 5617 SH SOLE 5617 0 0 Monroe Capital Corp. COM 610335101 515 38034 SH SOLE 38034 0 0 Morningstar Inc. COM 617700109 1453 18384 SH DFND 0 18384 0 MSC Industrial Direct Co. Inc COM 553530106 1045 12074 SH SOLE 12074 0 0 MSCI All Country World Index F COM 464288257 3737 64282 SH SOLE 64282 0 0 Mueller Industries Inc. COM 624756102 1495 49847 SH DFND 0 49847 0 Murphy Oil Corp. COM 626717102 338 5384 SH SOLE 5384 0 0 MVC Capital, Inc. COM 553829102 4193 309461 SH DFND 0 309461 0 New Gold, Inc. COM 644535106 304 62198 SH SOLE 62198 0 0 New Jersey Resources Corp. COM 646025106 4635 93078 SH SOLE 93078 0 0 New Mountain Finance Corp. COM 647551100 9060 622669 SH DFND 0 622669 0 NextEra Energy, Inc. COM 65339F101 5286 55286 SH SOLE 55286 0 0 NGP Capital Ressources Company COM 62912R107 2558 378341 SH DFND 0 378341 0 Nike Inc. - B COM 654106103 4831 65414 SH SOLE 65414 0 0 Nordstrom Inc. COM 655664100 4818 77156 SH SOLE 77156 0 0 Northern Trust Corporation COM 665859104 20966 319796 SH SOLE 319796 0 0 Novartis AG - ADR COM 66987V109 5096 59935 SH SOLE 59935 0 0 NXP Semiconductors COM N6596X109 20496 348515 SH SOLE 348515 0 0 Occidental Petroleum Corp COM 674599105 5049 52989 SH SOLE 52989 0 0 OFS Capital Corp. COM 67103B100 3542 283147 SH DFND 0 283147 0 Onebeacon Insurance Group Ltd COM G67742109 1472 95200 SH DFND 0 95200 0 Patterson Companies, Inc. COM 703395103 2435 58316 SH DFND 0 58316 0 Paychex, Inc. COM 704326107 17754 416761 SH SOLE 416761 0 0 PennantPark Floating Rate Capi COM 70806A106 3420 247433 SH DFND 0 247433 0 PennantPark Investment Corp. COM 708062104 9434 853753 SH DFND 0 853753 0 Pepco Holdings, Inc. COM 713291102 26973 1317041 SH SOLE 1317041 0 0 Pepsico, Inc COM 713448108 43272 518231 SH SOLE 518231 0 0 Pfizer Inc. COM 717081103 29657 923325 SH SOLE 923325 0 0 Piedmont Natural Gas Co. Inc. COM 720186105 4525 127873 SH SOLE 127873 0 0 PIMCO Intermediate Muni Bond E COM 72201R866 577 10967 SH SOLE 10967 0 0 Pioneer Natural Resources Co. COM 723787107 342 1825 SH SOLE 1825 0 0 Plum Creek Timber Co. Inc. COM 729251108 27737 659776 SH SOLE 659776 0 0 Potash Corp. of Saskatchewan I COM 73755L107 598 16523 SH SOLE 16523 0 0 Potlatch Corp. COM 737630103 338 8745 SH SOLE 8745 0 0 Powershares short MSCI Emergin COM 74347R396 201 7613 SH SOLE 7613 0 0 Praxair Inc. COM 74005P104 33648 256917 SH SOLE 256917 0 0 Procter & Gamble Company COM 742718109 4884 60599 SH SOLE 60599 0 0 Progressive Corp. COM 743315103 26568 1096946 SH SOLE 1096946 0 0 Range Resources Corporation COM 75281A109 376 4528 SH SOLE 4528 0 0 Rayonier Inc. COM 754907103 35800 779790 SH DFND 0 779790 0 RE/Max Holdings COM 75524W108 1429 49568 SH DFND 0 49568 0 REIT ETF- DJ Wilshire COM 78464A607 11290 144685 SH SOLE 144685 0 0 REIT Index - Vanguard COM 922908553 11352 160752 SH SOLE 160752 0 0 Repsol S.A. - ADR COM 76026T205 360 14060 SH SOLE 14060 0 0 Ritchie Brothers Auctioneers I COM 767744105 2677 110926 SH DFND 0 110926 0 RLI Corp. COM 749607107 685 15483 SH DFND 0 15483 0 Royal Gold, Inc. COM 780287108 347 5548 SH SOLE 5548 0 0 Russell 2000 Growth Index - iS COM 464287648 434 3188 SH SOLE 3188 0 0 Russell 2000 Value Index - iSh COM 464287630 449 4453 SH SOLE 4453 0 0 S&P 500 - SPDR COM 78462F103 1224 6544 SH SOLE 6544 0 0 S&P 500 Growth Index - iShares COM 464287309 410 4104 SH SOLE 4104 0 0 S&P 500 Value Index - iShares COM 464287408 443 5100 SH SOLE 5100 0 0 S&P MidCap 400 Growth Index Fu COM 464287606 16871 110324 SH SOLE 110324 0 0 S&P MidCap 400 Value Index Fun COM 464287705 17163 142530 SH SOLE 142530 0 0 Safeguard Scientifics New COM 786449207 2162 97467 SH DFND 0 97467 0 Saratoga Investment Corporatio COM 80349A208 230 14936 SH DFND 0 14936 0 Select Comfort Corporation COM 81616X103 3115 172307 SH DFND 0 172307 0 Sigma-Aldrich Corp COM 826552101 13097 140250 SH SOLE 140250 0 0 Silver Wheaton Corp. COM 828336107 388 17089 SH SOLE 17089 0 0 Snyders-Lance Inc COM 833551104 1326 47047 SH DFND 0 47047 0 Solar Capital, LTD. 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