0001442055-17-000006.txt : 20171013
0001442055-17-000006.hdr.sgml : 20171013
20171013102145
ACCESSION NUMBER: 0001442055-17-000006
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20170930
FILED AS OF DATE: 20171013
DATE AS OF CHANGE: 20171013
EFFECTIVENESS DATE: 20171013
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: 171135845
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
09-30-2017
09-30-2017
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
10-13-2017
1
294
5220687
false
1
028-06487
First Trust Advisors L. P.
INFORMATION TABLE
2
inftable.xml
iShares iBonds Dec 2022 AMT-F
COM
46435G755
6580
252394
SH
SOLE
252394
0
0
3M Company
COM
88579Y101
102817
489839
SH
SOLE
489839
0
0
Abbott Laboratories
COM
002824100
245
4591
SH
SOLE
4591
0
0
Accenture PLC
COM
G1151C101
214
1587
SH
SOLE
1587
0
0
Advisory Board Company
COM
00762w107
46023
858245
SH
SOLE
858245
0
0
Advisory Board Company
COM
00762w107
574
10706
SH
DFND
01
0
10706
0
Air Products & Chemicals Inc.
COM
009158106
14475
95722
SH
SOLE
95722
0
0
Alcentra Capital Corporation
COM
01374T102
801
74796
SH
SOLE
74796
0
0
Alcentra Capital Corporation
COM
01374T102
1851
172787
SH
DFND
01
0
172787
0
Alcoa Corporation
COM
013872106
347
7433
SH
SOLE
7433
0
0
Allergan Inc.
COM
G0177J108
65356
318886
SH
SOLE
318886
0
0
Alphabet Inc. - Class A
COM
02079K305
3208
3295
SH
SOLE
3295
0
0
Alphabet Inc. - Class C
COM
02079K107
27712
28894
SH
SOLE
28894
0
0
American Express Company
COM
025816109
47984
530442
SH
SOLE
530442
0
0
American International Group I
COM
026874784
69020
1124286
SH
SOLE
1124286
0
0
Analog Devices Inc.
COM
032654105
41586
482599
SH
SOLE
482599
0
0
Annaly Capital Management Inc.
COM
035710409
50
4120
SH
SOLE
4120
0
0
Annaly Capital Management Inc.
COM
035710409
5873
481782
SH
DFND
01
0
481782
0
Apollo Investment Corp.
COM
03761U106
3367
551102
SH
DFND
01
0
551102
0
Ares Capital Corp.
COM
04010L103
69075
4214434
SH
SOLE
4214434
0
0
Ares Capital Corp.
COM
04010L103
13561
827412
SH
DFND
01
0
827412
0
Axalta Coating Systems LTD
COM
G0750C108
26973
932661
SH
SOLE
932661
0
0
Bank of America Corp.
COM
060505104
213
8419
SH
SOLE
8419
0
0
Bank of Marin (CA)
COM
063425102
4061
59285
SH
SOLE
59285
0
0
Bank of Marin (CA)
COM
063425102
530
7734
SH
DFND
01
0
7734
0
Barclays 20 Plus Year Treasury
COM
464287432
14937
119728
SH
SOLE
119728
0
0
Barclays Capital High Yield Bo
COM
78464A417
2825
75705
SH
SOLE
75705
0
0
Becton Dickinson and Company
COM
075887109
16465
84025
SH
SOLE
84025
0
0
Belo Sun Mining Corp Com NPV
COM
080558109
112
249051
SH
SOLE
249051
0
0
Berkshire Hathaway Inc. - B
COM
084670702
34550
188467
SH
SOLE
188467
0
0
Berkshire Hathaway Inc. - Clas
COM
084670108
1374
5
SH
SOLE
5
0
0
Black Knight, Inc
COM
09215C105
36372
845855
SH
SOLE
845855
0
0
Broadridge Financial Solutions
COM
11133T103
79850
987997
SH
SOLE
987997
0
0
Brown & Brown Inc.
COM
115236101
23561
488910
SH
SOLE
488910
0
0
Brown & Brown Inc.
COM
115236101
421
8745
SH
DFND
01
0
8745
0
C.H. Robinson Worldwide Inc.
COM
12541W209
34401
452049
SH
SOLE
452049
0
0
Cameco Corp.
COM
13321L108
159
16413
SH
SOLE
16413
0
0
Capitala Finance Corp.
COM
14054R106
656
68799
SH
SOLE
68799
0
0
Capitala Finance Corp.
COM
14054R106
907
95117
SH
DFND
01
0
95117
0
Capstead Mortgage Corp.
COM
14067E506
19
2009
SH
SOLE
2009
0
0
Capstead Mortgage Corp.
COM
14067E506
1047
108500
SH
DFND
01
0
108500
0
Chevron Corp.
COM
166764100
102978
876407
SH
SOLE
876407
0
0
Chubb Limited
COM
H1467J104
104026
729754
SH
SOLE
729754
0
0
Cimarex Energy Co.
COM
171798101
247
2176
SH
SOLE
2176
0
0
CM Finance Inc.
COM
12574Q103
848
90711
SH
SOLE
90711
0
0
CM Finance Inc.
COM
12574Q103
1219
130340
SH
DFND
01
0
130340
0
Colgate-Palmolive Co.
COM
194162103
97011
1331649
SH
SOLE
1331649
0
0
Colony Northstar Inc
COM
19625W104
72902
5804266
SH
SOLE
5804266
0
0
Commerce Bancshares Inc.
COM
200525103
16365
283275
SH
SOLE
283275
0
0
Compagnie Financiere Richemont
COM
204319107
74934
8193121
SH
SOLE
8193121
0
0
Consumer Discret Select Sector
COM
81369Y407
4097
45484
SH
SOLE
45484
0
0
Consumer Staples Select Sector
COM
81369Y308
1715
31778
SH
SOLE
31778
0
0
Cullen Frost Bankers Inc.
COM
229899109
13433
141518
SH
SOLE
141518
0
0
Culp Inc.
COM
230215105
3611
110258
SH
SOLE
110258
0
0
Culp Inc.
COM
230215105
488
14898
SH
DFND
01
0
14898
0
CYS Investments Inc
COM
12673A108
21
2446
SH
SOLE
2446
0
0
CYS Investments Inc
COM
12673A108
7857
909380
SH
DFND
01
0
909380
0
Diageo (Adr 1:4)
COM
25243Q205
124716
943888
SH
SOLE
943888
0
0
Digital Realty Trust Inc.
COM
253868103
48520
410041
SH
SOLE
410041
0
0
Discovery Communications Inc.
COM
25470F302
50722
2503556
SH
SOLE
2503556
0
0
Donaldson Inc.
COM
257651109
15882
345713
SH
SOLE
345713
0
0
Dow Jones U.S. Select Dividend
COM
464288448
286
8481
SH
SOLE
8481
0
0
Dow Jones US Financial Sector
COM
464287788
5085
45352
SH
SOLE
45352
0
0
Dow Jones US Technology - iSha
COM
464287721
7551
50367
SH
SOLE
50367
0
0
Dow Jones US Utilities - iShar
COM
464287697
1276
9601
SH
SOLE
9601
0
0
DowDuPont Inc
COM
26078J100
98745
1426336
SH
SOLE
1426336
0
0
Eli Lilly & Co.
COM
532457108
209
2449
SH
SOLE
2449
0
0
Energy Select Sector - SPDR
COM
81369Y506
2151
31417
SH
SOLE
31417
0
0
EOG Resources
COM
26875P101
341
3525
SH
SOLE
3525
0
0
ETFS Physical Platinum
COM
26922v101
342
3923
SH
SOLE
3923
0
0
European ETF - Vanguard
COM
922042874
2349
40272
SH
SOLE
40272
0
0
Expeditors International of Wa
COM
302130109
13051
218031
SH
SOLE
218031
0
0
Exponent Inc.
COM
30214U102
1285
17387
SH
SOLE
17387
0
0
Exponent Inc.
COM
30214U102
162
2198
SH
DFND
01
0
2198
0
Express Scripts Inc.
COM
30219G108
23989
378856
SH
SOLE
378856
0
0
Exxon Mobil Corp.
COM
30231G102
13109
159910
SH
SOLE
159910
0
0
Fastenal Co.
COM
311900104
111816
2453192
SH
SOLE
2453192
0
0
Fidelity National Financial In
COM
31620R303
105801
2229268
SH
SOLE
2229268
0
0
Fifth Street Finance Corp.
COM
31678A103
172
31380
SH
SOLE
31380
0
0
First Majestic Silver Corp.
COM
32076V103
117
17091
SH
SOLE
17091
0
0
Fortuna Silver Mines Inc
COM
349915108
102
23292
SH
SOLE
23292
0
0
Forward Air Corp.
COM
349853101
3881
67820
SH
SOLE
67820
0
0
Forward Air Corp.
COM
349853101
556
9722
SH
DFND
01
0
9722
0
Franco-Nevada Corp.
COM
351858105
349
4502
SH
SOLE
4502
0
0
Franklin Electric Co. Inc.
COM
353514102
3153
70299
SH
SOLE
70299
0
0
Franklin Electric Co. Inc.
COM
353514102
396
8820
SH
DFND
01
0
8820
0
Franklin Street Properties Cor
COM
35471R106
850
80000
SH
SOLE
80000
0
0
FS Investment Corp.
COM
302635107
2985
353235
SH
SOLE
353235
0
0
FS Investment Corp.
COM
302635107
2622
310300
SH
DFND
01
0
310300
0
Gartner Inc
COM
366651107
1009
8108
SH
SOLE
8108
0
0
Gartner Inc
COM
366651107
158
1272
SH
DFND
01
0
1272
0
General Dynamics Corp.
COM
369550108
16001
77832
SH
SOLE
77832
0
0
General Electric Company
COM
369604103
72250
2988020
SH
SOLE
2988020
0
0
Gladstone Investment Corp.
COM
376546107
279
29360
SH
DFND
01
0
29360
0
GlaxoSmithKline Plc (Adr 1:2)
COM
37733W105
82649
2035688
SH
SOLE
2035688
0
0
Goldman Sachs BDC Inc.
COM
38147U107
2224
97465
SH
SOLE
97465
0
0
Goldman Sachs BDC Inc.
COM
38147U107
1211
53063
SH
DFND
01
0
53063
0
Golub Capital BDC Inc.
COM
38173M102
4557
242130
SH
SOLE
242130
0
0
Golub Capital BDC Inc.
COM
38173M102
8182
434730
SH
DFND
01
0
434730
0
Graco Inc.
COM
384109104
97892
791426
SH
SOLE
791426
0
0
Graco Inc.
COM
384109104
464
3750
SH
DFND
01
0
3750
0
Guggenheim BulletShares Corpor
COM
18383M522
5616
264259
SH
SOLE
264259
0
0
Guggenheim BulletShares Invest
COM
18383M514
5633
261895
SH
SOLE
261895
0
0
Guggenheim BulletShares Invest
COM
18383M266
5634
263779
SH
SOLE
263779
0
0
Guggenheim BulletShares Invest
COM
18383M258
5659
264303
SH
SOLE
264303
0
0
Guggenheim BulletShares Invest
COM
18383M233
16971
809318
SH
SOLE
809318
0
0
Guggenheim BulletShares Invest
COM
18383M191
3771
181472
SH
SOLE
181472
0
0
Halyard Health Inc.
COM
40650V100
3989
88590
SH
SOLE
88590
0
0
Halyard Health Inc.
COM
40650V100
579
12864
SH
DFND
01
0
12864
0
Harvest Capital Credit Corp
COM
41753F109
223
16699
SH
DFND
01
0
16699
0
Health Care Select Sector - SP
COM
81369Y209
6316
77282
SH
SOLE
77282
0
0
Hercules Technology Growth Cap
COM
427096508
2756
213632
SH
SOLE
213632
0
0
Hercules Technology Growth Cap
COM
427096508
7154
554598
SH
DFND
01
0
554598
0
High Yield Corporate Bond Fund
COM
464288513
2818
31749
SH
SOLE
31749
0
0
Hilton Worldwide Holdings Inc.
COM
43300A203
3853
55478
SH
SOLE
55478
0
0
Home Depot Inc.
COM
437076102
19580
119714
SH
SOLE
119714
0
0
Illinois Tool Works Inc.
COM
452308109
41382
279681
SH
SOLE
279681
0
0
Industrial Select Sector - SPD
COM
81369Y704
4961
69868
SH
SOLE
69868
0
0
Innophos Holdings Inc
COM
45774N108
3953
80354
SH
SOLE
80354
0
0
Innophos Holdings Inc
COM
45774N108
646
13140
SH
DFND
01
0
13140
0
Iron Mountain
COM
46284V101
92597
2380376
SH
SOLE
2380376
0
0
iShares 7-10 Year Treasury Bon
COM
464287440
32635
306371
SH
SOLE
306371
0
0
iShares Barclays 1-3 Year Inve
COM
464288646
1288
12227
SH
SOLE
12227
0
0
iShares Corporate Bond ETF 202
COM
46432FAZ0
13161
492182
SH
SOLE
492182
0
0
iShares Corporate ex Financial
COM
46432FAK3
9319
377753
SH
SOLE
377753
0
0
iShares Corporate ex Financial
COM
46432FAN7
18742
762783
SH
SOLE
762783
0
0
iShares Corporate iBonds ETF 2
COM
46435GAA0
15141
614484
SH
SOLE
614484
0
0
iShares Floating Rate Note Fun
COM
46429B655
242
4755
SH
SOLE
4755
0
0
iShares Gold Trust
COM
464285105
1093
88786
SH
SOLE
88786
0
0
iShares iBonds Dec 2021 AMT-Fr
COM
46435G789
6623
255801
SH
SOLE
255801
0
0
iShares iBonds Sep 2019 Amt Fr
COM
46429B564
3085
120676
SH
SOLE
120676
0
0
iShares iBonds Sep 2020 Amt Fr
COM
46434V571
4425
172180
SH
SOLE
172180
0
0
iShares iBoxx Corporate Bond E
COM
464287242
4313
35575
SH
SOLE
35575
0
0
iShares Interm. Term Corporate
COM
464288638
8571
77808
SH
SOLE
77808
0
0
iShares MBS Bond ETF
COM
464288588
19394
181087
SH
SOLE
181087
0
0
iShares MSCI ACWI EX US ETF
COM
464288240
6062
125369
SH
SOLE
125369
0
0
iShares MSCI Emerging Markets
COM
464286475
329
6658
SH
SOLE
6658
0
0
iShares Muni Bond 2023
COM
46435G318
1338
52451
SH
SOLE
52451
0
0
iShares National AMT-Free Muni
COM
464288414
5131
46277
SH
SOLE
46277
0
0
iShares Residential Real Estat
COM
464288562
3350
52676
SH
SOLE
52676
0
0
John Bean Technologies Corp.
COM
477839104
2452
24254
SH
SOLE
24254
0
0
John Bean Technologies Corp.
COM
477839104
332
3286
SH
DFND
01
0
3286
0
Johnson & Johnson
COM
478160104
132585
1019805
SH
SOLE
1019805
0
0
JP Morgan Chase & Company
COM
46625H100
686
7184
SH
SOLE
7184
0
0
KCAP Financial Inc
COM
48668E101
1243
340472
SH
DFND
01
0
340472
0
Kemper Corp.
COM
488401100
237
4470
SH
SOLE
4470
0
0
Kinder Morgan Inc.
COM
49456B101
81591
4253950
SH
SOLE
4253950
0
0
Kraft Heinz Co.
COM
500754106
80341
1035993
SH
SOLE
1035993
0
0
Lockheed Martin Corp
COM
539830109
16873
54377
SH
SOLE
54377
0
0
Lowe's Companies Inc.
COM
548661107
28067
351105
SH
SOLE
351105
0
0
Luxoft Holding Inc
COM
G57279104
3483
72873
SH
SOLE
72873
0
0
Luxoft Holding Inc
COM
G57279104
525
10976
SH
DFND
01
0
10976
0
M&T Bank Corp.
COM
55261F104
15767
97910
SH
SOLE
97910
0
0
Main Street Capital Corp.
COM
56035L104
1983
49891
SH
SOLE
49891
0
0
Main Street Capital Corp.
COM
56035L104
1952
49107
SH
DFND
01
0
49107
0
Manatuck Hill Mariner Offshore
COM
562996983
343
2650
SH
SOLE
2650
0
0
Markel Corp.
COM
570535104
76945
72047
SH
SOLE
72047
0
0
Martin Marietta Materials Inc.
COM
573284106
88369
428496
SH
SOLE
428496
0
0
Mastercard Inc. - A
COM
57636Q104
54770
387893
SH
SOLE
387893
0
0
Materials Select Sector - SPDR
COM
81369Y100
1232
21693
SH
SOLE
21693
0
0
McDonald's Corp.
COM
580135101
17227
109952
SH
SOLE
109952
0
0
MDU Resources Group Inc.
COM
552690109
14329
552176
SH
SOLE
552176
0
0
Medley Capital Corp.
COM
58503F106
3
507
SH
SOLE
507
0
0
Medley Capital Corp.
COM
58503F106
3503
586714
SH
DFND
01
0
586714
0
Medtronic
COM
G5960L103
15325
197059
SH
SOLE
197059
0
0
Microsoft Corp.
COM
594918104
109968
1476276
SH
SOLE
1476276
0
0
Monotype Imaging Holdings Inc.
COM
61022P100
3312
172026
SH
SOLE
172026
0
0
Monotype Imaging Holdings Inc.
COM
61022P100
519
26964
SH
DFND
01
0
26964
0
Morningstar Inc.
COM
617700109
11152
131211
SH
SOLE
131211
0
0
Morningstar Inc.
COM
617700109
586
6892
SH
DFND
01
0
6892
0
Movado Group Inc.
COM
624580106
3892
138998
SH
SOLE
138998
0
0
Movado Group Inc.
COM
624580106
537
19174
SH
DFND
01
0
19174
0
MSC Industrial Direct Co. Inc.
COM
553530106
37149
491590
SH
SOLE
491590
0
0
MTS Systems Corp.
COM
553777103
19218
359556
SH
SOLE
359556
0
0
MTS Systems Corp.
COM
553777103
588
11004
SH
DFND
01
0
11004
0
Natus Medical Inc.
COM
639050103
38583
1028892
SH
SOLE
1028892
0
0
Natus Medical Inc.
COM
639050103
573
15269
SH
DFND
01
0
15269
0
Nestle SA
COM
641069406
14432
172192
SH
SOLE
172192
0
0
New Jersey Resources Corp.
COM
646025106
16179
383852
SH
SOLE
383852
0
0
New Mountain Finance Corp.
COM
647551100
4863
341290
SH
SOLE
341290
0
0
New Mountain Finance Corp.
COM
647551100
8230
577564
SH
DFND
01
0
577564
0
NextEra Energy, Inc.
COM
65339F101
207
1413
SH
SOLE
1413
0
0
Nike Inc. - B
COM
654106103
11693
225524
SH
SOLE
225524
0
0
Nordstrom Inc.
COM
655664100
10937
231955
SH
SOLE
231955
0
0
Northern Trust Corporation
COM
665859104
106653
1160159
SH
SOLE
1160159
0
0
Novartis AG - ADR
COM
66987V109
13676
159300
SH
SOLE
159300
0
0
NXP Semiconductors N.V.
COM
N6596X109
47815
422807
SH
SOLE
422807
0
0
OFS Capital Corp.
COM
67103B100
3132
237814
SH
SOLE
237814
0
0
OFS Capital Corp.
COM
67103B100
2661
202084
SH
DFND
01
0
202084
0
Patterson Companies Inc.
COM
703395103
8889
229997
SH
SOLE
229997
0
0
Patterson Companies Inc.
COM
703395103
447
11555
SH
DFND
01
0
11555
0
Paychex Inc.
COM
704326107
102182
1704164
SH
SOLE
1704164
0
0
PennantPark Floating Rate Capi
COM
70806A106
1286
88817
SH
SOLE
88817
0
0
PennantPark Floating Rate Capi
COM
70806A106
1197
82645
SH
DFND
01
0
82645
0
PennantPark Investment Corp.
COM
708062104
1238
164828
SH
SOLE
164828
0
0
PennantPark Investment Corp.
COM
708062104
5671
755081
SH
DFND
01
0
755081
0
Pepsico Inc.
COM
713448108
126126
1131886
SH
SOLE
1131886
0
0
Pfizer Inc.
COM
717081103
83252
2331993
SH
SOLE
2331993
0
0
Pimco Enhanced Short Maturity
COM
72201R833
242
2375
SH
SOLE
2375
0
0
Pioneer Natural Resources Co.
COM
723787107
228
1543
SH
SOLE
1543
0
0
Polaris Industries
COM
731068102
115617
1105013
SH
SOLE
1105013
0
0
Potbelly Corp.
COM
73754Y100
3249
261976
SH
SOLE
261976
0
0
Potbelly Corp.
COM
73754Y100
560
45153
SH
DFND
01
0
45153
0
Potlatch Corp.
COM
737630103
262
5128
SH
SOLE
5128
0
0
Praxair Inc.
COM
74005P104
102405
732828
SH
SOLE
732828
0
0
Procter & Gamble Company
COM
742718109
14473
159074
SH
SOLE
159074
0
0
Progressive Corp.
COM
743315103
97896
2021813
SH
SOLE
2021813
0
0
Qualcomm Inc.
COM
747525103
545
10504
SH
SOLE
10504
0
0
Raven Industries Inc.
COM
754212108
4074
125745
SH
SOLE
125745
0
0
Raven Industries Inc.
COM
754212108
434
13405
SH
DFND
01
0
13405
0
Rayonier Inc.
COM
754907103
84648
2930023
SH
SOLE
2930023
0
0
Rayonier Inc.
COM
754907103
557
19288
SH
DFND
01
0
19288
0
RBC Bearings Incorporated
COM
75524B104
2518
20121
SH
SOLE
20121
0
0
RBC Bearings Incorporated
COM
75524B104
455
3636
SH
DFND
01
0
3636
0
RE/MAX Holdings Inc.
COM
75524W108
3162
49755
SH
SOLE
49755
0
0
RE/MAX Holdings Inc.
COM
75524W108
373
5868
SH
DFND
01
0
5868
0
REIT Index - Vanguard
COM
922908553
1041
12532
SH
SOLE
12532
0
0
Ross Stores
COM
778296103
16678
258288
SH
SOLE
258288
0
0
Royal Gold, Inc.
COM
780287108
360
4182
SH
SOLE
4182
0
0
RSP Permian, Inc.
COM
74978Q105
228
6602
SH
SOLE
6602
0
0
Russell 1000 Value Index - iSh
COM
464287598
205
1727
SH
SOLE
1727
0
0
Russell 2000 Growth Index - iS
COM
464287648
1805
10088
SH
SOLE
10088
0
0
Russell 2000 Value Index - iSh
COM
464287630
2514
20258
SH
SOLE
20258
0
0
Russell Midcap Growth Index Fu
COM
464287481
504
4455
SH
SOLE
4455
0
0
S&P 500 - SPDR
COM
78462F103
3928
15634
SH
SOLE
15634
0
0
S&P 500 Growth Index - iShares
COM
464287309
552
3850
SH
SOLE
3850
0
0
S&P 500 Index Fund - iShares
COM
464287200
663
2621
SH
SOLE
2621
0
0
S&P 500 Value Index - iShares
COM
464287408
622
5762
SH
SOLE
5762
0
0
S&P MidCap 400 Growth Index Fu
COM
464287606
8415
41586
SH
SOLE
41586
0
0
S&P MidCap 400 Value Index Fun
COM
464287705
8629
56496
SH
SOLE
56496
0
0
S&P SmallCap 600 Growth Index
COM
464287887
7522
45732
SH
SOLE
45732
0
0
S&P SmallCap 600 Index Fund -
COM
464287804
269
3627
SH
SOLE
3627
0
0
S&P SmallCap 600 Value Index F
COM
464287879
6796
45826
SH
SOLE
45826
0
0
Sabina Gold & Silver Co NPV
COM
785246109
211
119300
SH
SOLE
119300
0
0
Schlumberger Ltd.
COM
806857108
39073
560102
SH
SOLE
560102
0
0
Seabridge Gold Inc.
COM
811916105
210
17198
SH
SOLE
17198
0
0
SEI Investments Company
COM
784117103
16906
276873
SH
SOLE
276873
0
0
Silver Trust - iShares
COM
46428Q109
203
12907
SH
SOLE
12907
0
0
Snyder's-Lance Inc.
COM
833551104
3031
79461
SH
SOLE
79461
0
0
Snyder's-Lance Inc.
COM
833551104
461
12091
SH
DFND
01
0
12091
0
Solar Capital Ltd.
COM
83413U100
4172
192789
SH
SOLE
192789
0
0
Solar Capital Ltd.
COM
83413U100
6399
295709
SH
DFND
01
0
295709
0
Solar Senior Capital Ltd.
COM
83416M105
950
55146
SH
SOLE
55146
0
0
Solar Senior Capital Ltd.
COM
83416M105
414
24013
SH
DFND
01
0
24013
0
Southern Company
COM
842587107
98034
1994985
SH
SOLE
1994985
0
0
Southwestern Energy Co.
COM
845467109
213
34869
SH
SOLE
34869
0
0
SPDR Barclays Intermediate Ter
COM
78464A672
1928
32118
SH
SOLE
32118
0
0
SPDR Interm. Term Corporate Bo
COM
78464A375
15030
435536
SH
SOLE
435536
0
0
SPDR Nuveen Barclays Capital M
COM
78468R721
9304
190221
SH
SOLE
190221
0
0
SPDR Nuveen Barclays Capital S
COM
78468R739
377
7748
SH
SOLE
7748
0
0
SPDR S&P MidCap 400 ETF Trust
COM
78467Y107
208
638
SH
SOLE
638
0
0
Starbucks Corporation
COM
855244109
39164
729181
SH
SOLE
729181
0
0
Stellus Capital Investment
COM
858568108
2900
212479
SH
SOLE
212479
0
0
Stellus Capital Investment
COM
858568108
4370
320126
SH
DFND
01
0
320126
0
Stryker Corp.
COM
863667101
80977
570177
SH
SOLE
570177
0
0
T. Rowe Price Group Inc.
COM
74144T108
16099
177598
SH
SOLE
177598
0
0
TCP Capital Corp.
COM
87238Q103
4068
246676
SH
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246676
0
0
TCP Capital Corp.
COM
87238Q103
8276
501863
SH
DFND
01
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501863
0
Techne Corp.
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09073M104
3375
27921
SH
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27921
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0
Techne Corp.
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09073M104
390
3227
SH
DFND
01
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3227
0
The Boston Beer Company Inc.
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100557107
3500
22410
SH
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22410
0
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The Boston Beer Company Inc.
COM
100557107
667
4272
SH
DFND
01
0
4272
0
The Clorox Company
COM
189054109
14957
113390
SH
SOLE
113390
0
0
The Coca-Cola Company
COM
191216100
415
9213
SH
SOLE
9213
0
0
Thermo Fisher Scientific Inc.
COM
883556102
35903
189760
SH
SOLE
189760
0
0
Thermon Group Holdings Inc.
COM
88362T103
3533
196368
SH
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196368
0
0
Thermon Group Holdings Inc.
COM
88362T103
533
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SH
DFND
01
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29638
0
THL Credit, Inc.
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872438106
2916
312530
SH
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312530
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0
THL Credit, Inc.
COM
872438106
6975
747618
SH
DFND
01
0
747618
0
TJX Companies
COM
872540109
44289
600690
SH
SOLE
600690
0
0
TPG Specialty Lending, Inc.
COM
87265K102
3193
152352
SH
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152352
0
0
TPG Specialty Lending, Inc.
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87265K102
4334
206751
SH
DFND
01
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206751
0
Triangle Capital Corp.
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895848109
2454
171851
SH
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171851
0
0
Triangle Capital Corp.
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895848109
4664
326594
SH
DFND
01
0
326594
0
TriplePoint Venture Growth BDC
COM
89677Y100
2981
222468
SH
SOLE
222468
0
0
TriplePoint Venture Growth BDC
COM
89677Y100
6350
473845
SH
DFND
01
0
473845
0
United Technologies Corp.
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913017109
32825
282776
SH
SOLE
282776
0
0
US Bancorp
COM
902973304
254
4745
SH
SOLE
4745
0
0
VanEck Vectors Long Municipal
COM
92189F536
9225
461946
SH
SOLE
461946
0
0
Vanguard Long Term Corporate B
COM
92206C813
2912
30925
SH
SOLE
30925
0
0
Vanguard MSCI Emerging Markets
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922042858
6535
149987
SH
SOLE
149987
0
0
Vanguard Total Stock Market
COM
922908769
311
2402
SH
SOLE
2402
0
0
Varex Imaging Corp
COM
92214x106
2408
71170
SH
SOLE
71170
0
0
Varex Imaging Corp
COM
92214x106
248
7321
SH
DFND
01
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7321
0
Varian Medical Systems Inc.
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92220P105
5335
53321
SH
SOLE
53321
0
0
Veritex Holdings
COM
923451108
3417
126754
SH
SOLE
126754
0
0
Veritex Holdings
COM
923451108
530
19669
SH
DFND
01
0
19669
0
Visa, Inc. - A
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685
6507
SH
SOLE
6507
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0
Vulcan Materials Co.
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262
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SOLE
2189
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0
W.R. Berkley Corp.
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084423102
31486
471775
SH
SOLE
471775
0
0
Wells Fargo & Company
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949746101
358
6497
SH
SOLE
6497
0
0
Weyerhaeuser Co.
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962166104
79655
2340742
SH
SOLE
2340742
0
0
Wheaton Precious Metals Corp
COM
962879102
271
14203
SH
SOLE
14203
0
0
WisdomTree LargeCap Dividend F
COM
97717W307
441
5077
SH
SOLE
5077
0
0