0001442055-17-000004.txt : 20170406
0001442055-17-000004.hdr.sgml : 20170406
20170406164910
ACCESSION NUMBER: 0001442055-17-000004
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20170331
FILED AS OF DATE: 20170406
DATE AS OF CHANGE: 20170406
EFFECTIVENESS DATE: 20170406
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: 17746526
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
03-31-2017
03-31-2017
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 John Hanzlik
SVP and CCO
3144529050
Joseph John Hanzlik
Saint Louis
MO
04-06-2017
1
291
4481797
false
1
028-06487
First Trust Advisors L.P.
INFORMATION TABLE
2
march201713f1.xml
13F
iShares iBonds Dec 2022 AMT-F
COM
46435G755
7137
277257
SH
SOLE
277257
0
0
3M Company
COM
88579Y101
92115
481445
SH
SOLE
481445
0
0
Advisory Board Company
COM
00762w107
36231
774176
SH
SOLE
774176
0
0
Advisory Board Company
COM
00762w107
501
10706
SH
DFND
0
10706
0
Air Products & Chemicals Inc.
COM
009158106
11772
87016
SH
SOLE
87016
0
0
Alcentra Capital Corporation
COM
01374T102
772
56175
SH
SOLE
56175
0
0
Alcentra Capital Corporation
COM
01374T102
2031
147787
SH
DFND
0
147787
0
Allergan Inc.
COM
G0177J108
63633
266337
SH
SOLE
266337
0
0
Alphabet Inc. - Class A
COM
02079K305
2848
3359
SH
SOLE
3359
0
0
Alphabet Inc. - Class C
COM
02079K107
22988
27711
SH
SOLE
27711
0
0
Altria Group Inc.
COM
02209S103
342
4789
SH
SOLE
4789
0
0
American Express Company
COM
025816109
41763
527909
SH
SOLE
527909
0
0
American International Group I
COM
026874784
57622
922992
SH
SOLE
922992
0
0
Analog Devices Inc.
COM
032654105
39558
482703
SH
SOLE
482703
0
0
Annaly Capital Management Inc.
COM
035710409
46
4120
SH
SOLE
4120
0
0
Annaly Capital Management Inc.
COM
035710409
5086
457782
SH
DFND
0
457782
0
Apollo Investment Corp.
COM
03761U106
3615
551102
SH
DFND
0
551102
0
Ares Capital Corp.
COM
04010L103
66704
3837947
SH
SOLE
3837947
0
0
Ares Capital Corp.
COM
04010L103
14380
827412
SH
DFND
0
827412
0
Bank of Marin (CA)
COM
063425102
2915
45298
SH
SOLE
45298
0
0
Bank of Marin (CA)
COM
063425102
363
5634
SH
DFND
0
5634
0
Barclays 20 Year Treasury Bon
COM
464287432
9581
79375
SH
SOLE
79375
0
0
Barclays Capital High Yield Bo
COM
78464A417
1854
50191
SH
SOLE
50191
0
0
Becton Dickinson and Company
COM
075887109
14579
79474
SH
SOLE
79474
0
0
Belo Sun Mining Corp Com NPV
COM
080558109
122
188997
SH
SOLE
188997
0
0
Berkshire Hathaway Inc. - B
COM
084670702
29773
178624
SH
SOLE
178624
0
0
Berkshire Hathaway Inc. - Clas
COM
084670108
1249
5
SH
SOLE
5
0
0
Black Knight Financial Service
COM
09214X100
5924
154663
SH
SOLE
154663
0
0
BlackRock Kelso Capital Corp.
COM
092533108
308
40836
SH
SOLE
40836
0
0
BlackRock Kelso Capital Corp.
COM
092533108
784
103900
SH
DFND
0
103900
0
Broadridge Financial Solutions
COM
11133T103
65822
968685
SH
SOLE
968685
0
0
Brown & Brown Inc.
COM
115236101
19776
474018
SH
SOLE
474018
0
0
Brown & Brown Inc.
COM
115236101
329
7895
SH
DFND
0
7895
0
C.H. Robinson Worldwide Inc.
COM
12541W209
32288
417757
SH
SOLE
417757
0
0
Cameco Corp.
COM
13321L108
191
17254
SH
SOLE
17254
0
0
Capitala Finance Corp.
COM
14054R106
991
69020
SH
SOLE
69020
0
0
Capitala Finance Corp.
COM
14054R106
1366
95117
SH
DFND
0
95117
0
Capstead Mortgage Corp.
COM
14067E506
21
2009
SH
SOLE
2009
0
0
Capstead Mortgage Corp.
COM
14067E506
1144
108500
SH
DFND
0
108500
0
Chevron Corp.
COM
166764100
84666
788540
SH
SOLE
788540
0
0
Chubb Limited
COM
H1467J104
91987
675131
SH
SOLE
675131
0
0
Cimarex Energy Co.
COM
171798101
228
1907
SH
SOLE
1907
0
0
CM Finance Inc.
COM
12574Q103
1083
106747
SH
SOLE
106747
0
0
CM Finance Inc.
COM
12574Q103
1323
130340
SH
DFND
0
130340
0
Colgate-Palmolive Co.
COM
194162103
93027
1271035
SH
SOLE
1271035
0
0
Commerce Bancshares Inc.
COM
200525103
14946
266126
SH
SOLE
266126
0
0
Compagnie Financiere Richemont
COM
204319107
54357
6915674
SH
SOLE
6915674
0
0
Compass Diversified Holdings
COM
20451Q104
415
25000
SH
DFND
0
25000
0
Consumer Discret Select Sector
COM
81369Y407
4964
56436
SH
SOLE
56436
0
0
Consumer Staples Select Sector
COM
81369Y308
3758
68860
SH
SOLE
68860
0
0
Corporate Executive Board Co.
COM
125134106
3237
41187
SH
SOLE
41187
0
0
Corporate Executive Board Co.
COM
125134106
438
5571
SH
DFND
0
5571
0
Cullen Frost Bankers Inc.
COM
229899109
12096
135952
SH
SOLE
135952
0
0
Culp Inc.
COM
230215105
1601
51303
SH
SOLE
51303
0
0
Culp Inc.
COM
230215105
196
6293
SH
DFND
0
6293
0
CYS Investments Inc
COM
12673A108
19
2446
SH
SOLE
2446
0
0
CYS Investments Inc
COM
12673A108
6931
871880
SH
DFND
0
871880
0
Diageo (Adr 1:4)
COM
25243Q205
102009
882583
SH
SOLE
882583
0
0
Digital Realty Trust Inc.
COM
253868103
42448
398982
SH
SOLE
398982
0
0
Discovery Communications Inc.
COM
25470F302
55500
1960436
SH
SOLE
1960436
0
0
Donaldson Inc.
COM
257651109
14901
327359
SH
SOLE
327359
0
0
Donnelley Financial Solutions
COM
25787G100
13421
695745
SH
SOLE
695745
0
0
Donnelley Financial Solutions
COM
25787G100
217
11243
SH
DFND
0
11243
0
Dow Chemical
COM
260543103
775
12193
SH
SOLE
12193
0
0
Dow Jones U.S. Select Dividend
COM
464288448
418
13299
SH
SOLE
13299
0
0
Dow Jones US Financial Sector
COM
464287788
6901
66326
SH
SOLE
66326
0
0
Dow Jones US Technology - iSha
COM
464287721
6644
49152
SH
SOLE
49152
0
0
Dow Jones US Utilities - iShar
COM
464287697
2299
17903
SH
SOLE
17903
0
0
E.I. du Pont de Nemours & Comp
COM
263534109
78911
982340
SH
SOLE
982340
0
0
Eli Lilly & Co.
COM
532457108
206
2449
SH
SOLE
2449
0
0
Energy Select Sector - SPDR
COM
81369Y506
3614
51708
SH
SOLE
51708
0
0
EOG Resources
COM
26875P101
350
3583
SH
SOLE
3583
0
0
ETFS Physical Platinum
COM
26922v101
343
3777
SH
SOLE
3777
0
0
Expeditors International of Wa
COM
302130109
12017
212722
SH
SOLE
212722
0
0
Exponent Inc.
COM
30214U102
2245
37694
SH
SOLE
37694
0
0
Exponent Inc.
COM
30214U102
360
6042
SH
DFND
0
6042
0
Express Scripts Inc.
COM
30219G108
22411
340021
SH
SOLE
340021
0
0
Exxon Mobil Corp.
COM
30231G102
11785
143699
SH
SOLE
143699
0
0
Fastenal Co.
COM
311900104
88925
1726699
SH
SOLE
1726699
0
0
Fidelity National Financial In
COM
31620R303
85540
2196717
SH
SOLE
2196717
0
0
First Majestic Silver Corp.
COM
32076V103
129
15888
SH
SOLE
15888
0
0
Fortuna Silver Mines Inc
COM
349915108
127
24445
SH
SOLE
24445
0
0
Forward Air Corp.
COM
349853101
2890
60757
SH
SOLE
60757
0
0
Forward Air Corp.
COM
349853101
379
7972
SH
DFND
0
7972
0
Franco-Nevada Corp.
COM
351858105
309
4713
SH
SOLE
4713
0
0
Franklin Electric Co. Inc.
COM
353514102
2467
57297
SH
SOLE
57297
0
0
Franklin Electric Co. Inc.
COM
353514102
311
7220
SH
DFND
0
7220
0
Franklin Street Properties Cor
COM
35471R106
728
60000
SH
SOLE
60000
0
0
FS Investment Corp.
COM
302635107
3999
408035
SH
SOLE
408035
0
0
FS Investment Corp.
COM
302635107
3041
310300
SH
DFND
0
310300
0
General Dynamics Corp.
COM
369550108
13673
73038
SH
SOLE
73038
0
0
General Electric Company
COM
369604103
56970
1911730
SH
SOLE
1911730
0
0
Gladstone Commercial Corp.
COM
376536108
2725
131839
SH
SOLE
131839
0
0
Gladstone Commercial Corp.
COM
376536108
317
15350
SH
DFND
0
15350
0
Gladstone Investment Corp.
COM
376546107
1293
142533
SH
DFND
0
142533
0
GlaxoSmithKline Plc (Adr 1:2)
COM
37733W105
75474
1790184
SH
SOLE
1790184
0
0
Goldman Sachs BDC Inc.
COM
38147U107
1957
79431
SH
SOLE
79431
0
0
Goldman Sachs BDC Inc.
COM
38147U107
1307
53063
SH
DFND
0
53063
0
Golub Capital BDC Inc.
COM
38173M102
4993
251142
SH
SOLE
251142
0
0
Golub Capital BDC Inc.
COM
38173M102
9040
454730
SH
DFND
0
454730
0
Graco Inc.
COM
384109104
83531
887310
SH
SOLE
887310
0
0
Graco Inc.
COM
384109104
353
3750
SH
DFND
0
3750
0
Guggenheim BulletShares Corpor
COM
18383M530
5169
243485
SH
SOLE
243485
0
0
Guggenheim BulletShares Corpor
COM
18383M522
5177
243871
SH
SOLE
243871
0
0
Guggenheim BulletShares Invest
COM
18383M514
5192
242712
SH
SOLE
242712
0
0
Guggenheim BulletShares Invest
COM
18383M266
5175
244678
SH
SOLE
244678
0
0
Guggenheim BulletShares Invest
COM
18383M258
5176
245875
SH
SOLE
245875
0
0
Guggenheim BulletShares Invest
COM
18383M233
10627
516708
SH
SOLE
516708
0
0
Guggenheim BulletShares Invest
COM
18383M191
2789
137256
SH
SOLE
137256
0
0
Haemonetics Corporation
COM
405024100
2014
49638
SH
SOLE
49638
0
0
Haemonetics Corporation
COM
405024100
216
5315
SH
DFND
0
5315
0
Hallador Energy Company
COM
40609P105
259
32378
SH
SOLE
32378
0
0
Halyard Health Inc.
COM
40650V100
3020
79288
SH
SOLE
79288
0
0
Halyard Health Inc.
COM
40650V100
380
9964
SH
DFND
0
9964
0
Harvest Capital Credit Corp
COM
41753F109
220
16699
SH
DFND
0
16699
0
Health Care Select Sector - SP
COM
81369Y209
5609
75433
SH
SOLE
75433
0
0
Hercules Technology Growth Cap
COM
427096508
3303
218329
SH
SOLE
218329
0
0
Hercules Technology Growth Cap
COM
427096508
7635
504598
SH
DFND
0
504598
0
High Yield Corporate Bond Fund
COM
464288513
1845
21019
SH
SOLE
21019
0
0
Hilton Worldwide Holdings Inc.
COM
43300A203
3375
57724
SH
SOLE
57724
0
0
Home Depot Inc.
COM
437076102
17158
116854
SH
SOLE
116854
0
0
Illinois Tool Works Inc.
COM
452308109
34860
263152
SH
SOLE
263152
0
0
Industrial Select Sector - SPD
COM
81369Y704
4991
76721
SH
SOLE
76721
0
0
Iron Mountain
COM
46284V101
77509
2172956
SH
SOLE
2172956
0
0
iShares 10 Year Credit Bond E
COM
464289511
2442
41218
SH
SOLE
41218
0
0
iShares 7-10 Year Treasury Bon
COM
464287440
28986
274517
SH
SOLE
274517
0
0
iShares Barclays 1-3 Year Inve
COM
464288646
593
5634
SH
SOLE
5634
0
0
iShares Corporate Bond ETF 202
COM
46432FAZ0
12093
457927
SH
SOLE
457927
0
0
iShares Corporate ex Financial
COM
46432FAG2
13747
557024
SH
SOLE
557024
0
0
iShares Corporate ex Financial
COM
46432FAK3
8595
348957
SH
SOLE
348957
0
0
iShares Corporate ex Financial
COM
46432FAN7
17287
709660
SH
SOLE
709660
0
0
iShares Gold Trust
COM
464285105
1117
92973
SH
SOLE
92973
0
0
iShares iBonds Dec 2021 AMT-Fr
COM
46435G789
5921
230931
SH
SOLE
230931
0
0
iShares iBonds Sep 2019 Amt Fr
COM
46429B564
2923
114476
SH
SOLE
114476
0
0
iShares iBonds Sep 2020 Amt Fr
COM
46434V571
4167
163037
SH
SOLE
163037
0
0
iShares iBoxx Corporate Bond E
COM
464287242
2869
24335
SH
SOLE
24335
0
0
iShares Interm. Term Corporate
COM
464288638
6963
63902
SH
SOLE
63902
0
0
iShares MBS Bond ETF
COM
464288588
17481
164060
SH
SOLE
164060
0
0
iShares National AMT-Free Muni
COM
464288414
4657
42742
SH
SOLE
42742
0
0
iShares Residential Real Estat
COM
464288562
2652
41996
SH
SOLE
41996
0
0
John Bean Technologies Corp.
COM
477839104
2219
25234
SH
SOLE
25234
0
0
John Bean Technologies Corp.
COM
477839104
289
3286
SH
DFND
0
3286
0
Johnson & Johnson
COM
478160104
120835
970170
SH
SOLE
970170
0
0
JP Morgan Chase & Company
COM
46625H100
337
3840
SH
SOLE
3840
0
0
KCAP Financial Inc
COM
48668E101
1386
340472
SH
DFND
0
340472
0
Kinder Morgan Inc.
COM
49456B101
70812
3257214
SH
SOLE
3257214
0
0
Kohl's Corp.
COM
500255104
46259
1161984
SH
SOLE
1161984
0
0
Kraft Heinz Co.
COM
500754106
81100
893078
SH
SOLE
893078
0
0
Lockheed Martin Corp
COM
539830109
13611
50862
SH
SOLE
50862
0
0
Lowe's Companies Inc.
COM
548661107
47488
577638
SH
SOLE
577638
0
0
M&T Bank Corp.
COM
55261F104
14234
91995
SH
SOLE
91995
0
0
Main Street Capital Corp.
COM
56035L104
2923
76381
SH
SOLE
76381
0
0
Main Street Capital Corp.
COM
56035L104
1879
49107
SH
DFND
0
49107
0
Manatuck Hill Mariner Offshore
COM
562996983
347
2650
SH
SOLE
2650
0
0
Markel Corp.
COM
570535104
59855
61336
SH
SOLE
61336
0
0
Martin Marietta Materials Inc.
COM
573284106
75035
343805
SH
SOLE
343805
0
0
Mastercard Inc. - A
COM
57636Q104
45494
404500
SH
SOLE
404500
0
0
Materials Select Sector - SPDR
COM
81369Y100
1091
20811
SH
SOLE
20811
0
0
McDonald's Corp.
COM
580135101
13714
105813
SH
SOLE
105813
0
0
MDU Resources Group Inc.
COM
552690109
14075
514260
SH
SOLE
514260
0
0
Medallion Financial Corp
COM
583928106
107
53953
SH
DFND
0
53953
0
Medley Capital Corp.
COM
58503F106
4
507
SH
SOLE
507
0
0
Medley Capital Corp.
COM
58503F106
4512
586714
SH
DFND
0
586714
0
Medtronic
COM
G5960L103
14974
185877
SH
SOLE
185877
0
0
Microsoft Corp.
COM
594918104
95030
1442904
SH
SOLE
1442904
0
0
Monotype Imaging Holdings Inc.
COM
61022P100
3034
150941
SH
SOLE
150941
0
0
Monotype Imaging Holdings Inc.
COM
61022P100
379
18864
SH
DFND
0
18864
0
Morningstar Inc.
COM
617700109
12174
154886
SH
SOLE
154886
0
0
Morningstar Inc.
COM
617700109
377
4792
SH
DFND
0
4792
0
MSC Industrial Direct Co. Inc.
COM
553530106
20556
200039
SH
SOLE
200039
0
0
MTS Systems Corp.
COM
553777103
17933
325757
SH
SOLE
325757
0
0
MTS Systems Corp.
COM
553777103
392
7123
SH
DFND
0
7123
0
Natus Medical Inc.
COM
639050103
3402
86678
SH
SOLE
86678
0
0
Natus Medical Inc.
COM
639050103
395
10069
SH
DFND
0
10069
0
Nestle SA
COM
641069406
12314
160124
SH
SOLE
160124
0
0
New Jersey Resources Corp.
COM
646025106
14501
366187
SH
SOLE
366187
0
0
New Mountain Finance Corp.
COM
647551100
5392
361902
SH
SOLE
361902
0
0
New Mountain Finance Corp.
COM
647551100
8421
565164
SH
DFND
0
565164
0
Nike Inc. - B
COM
654106103
11280
202413
SH
SOLE
202413
0
0
Nordstrom Inc.
COM
655664100
10248
220050
SH
SOLE
220050
0
0
Northern Trust Corporation
COM
665859104
89117
1029300
SH
SOLE
1029300
0
0
Novartis AG - ADR
COM
66987V109
10765
144940
SH
SOLE
144940
0
0
NXP Semiconductors N.V.
COM
N6596X109
50920
491979
SH
SOLE
491979
0
0
Occidental Petroleum Corp.
COM
674599105
10738
169470
SH
SOLE
169470
0
0
OFS Capital Corp.
COM
67103B100
3517
247879
SH
SOLE
247879
0
0
OFS Capital Corp.
COM
67103B100
2868
202084
SH
DFND
0
202084
0
OneBeacon Insurance Group Ltd.
COM
G67742109
2429
151804
SH
SOLE
151804
0
0
OneBeacon Insurance Group Ltd.
COM
G67742109
352
22020
SH
DFND
0
22020
0
Parsley Energy Inc.
COM
701877102
236
7271
SH
SOLE
7271
0
0
Patterson Companies Inc.
COM
703395103
9574
211678
SH
SOLE
211678
0
0
Patterson Companies Inc.
COM
703395103
405
8955
SH
DFND
0
8955
0
Paychex Inc.
COM
704326107
86272
1464720
SH
SOLE
1464720
0
0
PennantPark Floating Rate Capi
COM
70806A106
1374
98591
SH
SOLE
98591
0
0
PennantPark Floating Rate Capi
COM
70806A106
1152
82645
SH
DFND
0
82645
0
PennantPark Investment Corp.
COM
708062104
1380
169569
SH
SOLE
169569
0
0
PennantPark Investment Corp.
COM
708062104
6146
755081
SH
DFND
0
755081
0
Pepsico Inc.
COM
713448108
116782
1044002
SH
SOLE
1044002
0
0
Pfizer Inc.
COM
717081103
71025
2076157
SH
SOLE
2076157
0
0
Pioneer Natural Resources Co.
COM
723787107
260
1397
SH
SOLE
1397
0
0
Polaris Industries
COM
731068102
61222
730568
SH
SOLE
730568
0
0
Potbelly Corp.
COM
73754Y100
3136
225584
SH
SOLE
225584
0
0
Potbelly Corp.
COM
73754Y100
405
29153
SH
DFND
0
29153
0
Potlatch Corp.
COM
737630103
211
4624
SH
SOLE
4624
0
0
Praxair Inc.
COM
74005P104
79023
666303
SH
SOLE
666303
0
0
Procter & Gamble Company
COM
742718109
13138
146220
SH
SOLE
146220
0
0
Progressive Corp.
COM
743315103
81443
2078688
SH
SOLE
2078688
0
0
Qualcomm Inc.
COM
747525103
278
4841
SH
SOLE
4841
0
0
Raven Industries Inc.
COM
754212108
3480
119806
SH
SOLE
119806
0
0
Raven Industries Inc.
COM
754212108
389
13405
SH
DFND
0
13405
0
Rayonier Inc.
COM
754907103
74849
2641102
SH
SOLE
2641102
0
0
Rayonier Inc.
COM
754907103
399
14088
SH
DFND
0
14088
0
RBC Bearings Incorporated
COM
75524B104
1781
18340
SH
SOLE
18340
0
0
RBC Bearings Incorporated
COM
75524B104
324
3336
SH
DFND
0
3336
0
RE/MAX Holdings Inc.
COM
75524W108
13232
222580
SH
SOLE
222580
0
0
RE/MAX Holdings Inc.
COM
75524W108
349
5868
SH
DFND
0
5868
0
REIT ETF- DJ Wilshire
COM
78464A607
612
6629
SH
SOLE
6629
0
0
REIT Index - Vanguard
COM
922908553
3749
45393
SH
SOLE
45393
0
0
Royal Gold, Inc.
COM
780287108
304
4338
SH
SOLE
4338
0
0
RSP Permian, Inc.
COM
74978Q105
238
5737
SH
SOLE
5737
0
0
Russell 1000 Value Index - iSh
COM
464287598
568
4946
SH
SOLE
4946
0
0
Russell 2000 Growth Index - iS
COM
464287648
2588
16011
SH
SOLE
16011
0
0
Russell 2000 Value Index - iSh
COM
464287630
4918
41618
SH
SOLE
41618
0
0
Russell Midcap Growth Index Fu
COM
464287481
5209
50206
SH
SOLE
50206
0
0
Russell MidCap Value Index Fun
COM
464287473
9654
116326
SH
SOLE
116326
0
0
S&P 500 - SPDR
COM
78462F103
3262
13836
SH
SOLE
13836
0
0
S&P 500 Growth Index - iShares
COM
464287309
246
1873
SH
SOLE
1873
0
0
S&P 500 Index Fund - iShares
COM
464287200
1280
5394
SH
SOLE
5394
0
0
S&P 500 Value Index - iShares
COM
464287408
578
5557
SH
SOLE
5557
0
0
S&P MidCap 400 Growth Index Fu
COM
464287606
2988
15651
SH
SOLE
15651
0
0
S&P MidCap 400 Value Index Fun
COM
464287705
9096
61276
SH
SOLE
61276
0
0
S&P SmallCap 600 Growth Index
COM
464287887
1084
7084
SH
SOLE
7084
0
0
S&P SmallCap 600 Index Fund -
COM
464287804
246
3558
SH
SOLE
3558
0
0
S&P SmallCap 600 Value Index F
COM
464287879
2563
18487
SH
SOLE
18487
0
0
S&P SmallCap Energy - PowerSha
COM
73937B704
642
35356
SH
SOLE
35356
0
0
Sabina Gold & Silver Co NPV
COM
785246109
146
125910
SH
SOLE
125910
0
0
Sandstorm Gold Ltd.
COM
80013R206
194
45320
SH
SOLE
45320
0
0
Schlumberger Ltd.
COM
806857108
24309
311250
SH
SOLE
311250
0
0
SEI Investments Company
COM
784117103
13003
257799
SH
SOLE
257799
0
0
Silver Trust - iShares
COM
46428Q109
240
13887
SH
SOLE
13887
0
0
Silver Wheaton Corp.
COM
828336107
295
14166
SH
SOLE
14166
0
0
Snyder's-Lance Inc.
COM
833551104
3049
75638
SH
SOLE
75638
0
0
Snyder's-Lance Inc.
COM
833551104
383
9491
SH
DFND
0
9491
0
Solar Capital Ltd.
COM
83413U100
4576
202397
SH
SOLE
202397
0
0
Solar Capital Ltd.
COM
83413U100
6960
307809
SH
DFND
0
307809
0
Solar Senior Capital Ltd.
COM
83416M105
1139
63357
SH
SOLE
63357
0
0
Solar Senior Capital Ltd.
COM
83416M105
449
25000
SH
DFND
0
25000
0
Southern Company
COM
842587107
83717
1681743
SH
SOLE
1681743
0
0
Southwestern Energy Co.
COM
845467109
190
23249
SH
SOLE
23249
0
0
SPDR Interm. Term Corporate Bo
COM
78464A375
13811
404648
SH
SOLE
404648
0
0
SPDR Nuveen Barclays Capital M
COM
78468R721
8969
187162
SH
SOLE
187162
0
0
SPDR S&P MidCap 400 ETF Trust
COM
78467Y107
220
703
SH
SOLE
703
0
0
Starbucks Corporation
COM
855244109
27596
472622
SH
SOLE
472622
0
0
Stellus Capital Investment
COM
858568108
2641
181515
SH
SOLE
181515
0
0
Stellus Capital Investment
COM
858568108
3567
245126
SH
DFND
0
245126
0
Stryker Corp.
COM
863667101
73329
556997
SH
SOLE
556997
0
0
T. Rowe Price Group Inc.
COM
74144T108
11103
162924
SH
SOLE
162924
0
0
TCP Capital Corp.
COM
87238Q103
4238
243300
SH
SOLE
243300
0
0
TCP Capital Corp.
COM
87238Q103
8568
491863
SH
DFND
0
491863
0
Techne Corp.
COM
09073M104
2647
26037
SH
SOLE
26037
0
0
Techne Corp.
COM
09073M104
308
3027
SH
DFND
0
3027
0
The Boston Beer Company Inc.
COM
100557107
2797
19335
SH
SOLE
19335
0
0
The Boston Beer Company Inc.
COM
100557107
401
2772
SH
DFND
0
2772
0
The Clorox Company
COM
189054109
14299
106053
SH
SOLE
106053
0
0
The Coca-Cola Company
COM
191216100
232
5465
SH
SOLE
5465
0
0
Thermo Fisher Scientific Inc.
COM
883556102
28225
183757
SH
SOLE
183757
0
0
Thermon Group Holdings Inc.
COM
88362T103
2850
136750
SH
SOLE
136750
0
0
Thermon Group Holdings Inc.
COM
88362T103
427
20471
SH
DFND
0
20471
0
THL Credit, Inc.
COM
872438106
3104
311617
SH
SOLE
311617
0
0
THL Credit, Inc.
COM
872438106
7347
737618
SH
DFND
0
737618
0
TJX Companies
COM
872540109
39922
504835
SH
SOLE
504835
0
0
TPG Specialty Lending, Inc.
COM
87265K102
4089
200549
SH
SOLE
200549
0
0
TPG Specialty Lending, Inc.
COM
87265K102
4216
206751
SH
DFND
0
206751
0
Triangle Capital Corp.
COM
895848109
3576
187330
SH
SOLE
187330
0
0
Triangle Capital Corp.
COM
895848109
6235
326594
SH
DFND
0
326594
0
TriplePoint Venture Growth BDC
COM
89677Y100
3540
253968
SH
SOLE
253968
0
0
TriplePoint Venture Growth BDC
COM
89677Y100
6605
473845
SH
DFND
0
473845
0
United Technologies Corp.
COM
913017109
30103
268271
SH
SOLE
268271
0
0
VanEck Vectors Long Municipal
COM
92189F536
8650
442208
SH
SOLE
442208
0
0
Vanguard Long Term Corporate B
COM
92206C813
2331
25924
SH
SOLE
25924
0
0
Vanguard Total Stock Market
COM
922908769
221
1823
SH
SOLE
1823
0
0
Varex Imaging Corp
COM
92214x106
652
19409
SH
SOLE
19409
0
0
Varian Medical Systems Inc.
COM
92220P105
5400
59252
SH
SOLE
59252
0
0
VCA Antech Inc.
COM
918194101
4066
44437
SH
SOLE
44437
0
0
VCA Antech Inc.
COM
918194101
466
5095
SH
DFND
0
5095
0
Visa, Inc. - A
COM
92826C839
612
6886
SH
SOLE
6886
0
0
Vulcan Materials Co.
COM
929160109
277
2301
SH
SOLE
2301
0
0
W.R. Berkley Corp.
COM
084423102
32025
453419
SH
SOLE
453419
0
0
W.W. Grainger Inc.
COM
384802104
11461
49240
SH
SOLE
49240
0
0
Wells Fargo & Company
COM
949746101
229
4121
SH
SOLE
4121
0
0
Weyerhaeuser Co.
COM
962166104
77490
2280455
SH
SOLE
2280455
0
0
WisdomTree LargeCap Dividend F
COM
97717W307
857
10339
SH
SOLE
10339
0
0