0001442055-15-000003.txt : 20150129 0001442055-15-000003.hdr.sgml : 20150129 20150128175812 ACCESSION NUMBER: 0001442055-15-000003 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20141231 FILED AS OF DATE: 20150129 DATE AS OF CHANGE: 20150128 EFFECTIVENESS DATE: 20150129 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: 15556085 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 12-31-2014 12-31-2014 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 01-28-2015 1 247 2454611 false 1 028-06487 First Trust Advisors L.P. INFORMATION TABLE 2 cimformdec14_jh.xml Capital Income Builder Class F MFUND 140194101 758 12727 SH SOLE 12727 0 0 International Growth & Income MFUND 45956T501 369 11593 SH SOLE 11593 0 0 The Growth Fund of America, In MFUND 399874825 535 12552 SH SOLE 12552 0 0 Vanguard Equity-Income Admiral MFUND 921921300 258 3938 SH SOLE 3938 0 0 3M Company COM 88579Y101 48494 295120 SH SOLE 295120 0 0 ACE Limited COM h0023r105 7260 63196 SH SOLE 63196 0 0 Air Products & Chemicals Inc. COM 009158106 7438 51569 SH SOLE 51569 0 0 Alcentra Capital Corporation COM 01374T102 743 59448 SH DFND 0 59448 0 American Capital Ltd. COM 02503Y103 6305 431576 SH DFND 0 431576 0 American Capital Senior Floati COM 02504D108 605 49957 SH SOLE 49957 0 0 American Express Company COM 025816109 24811 266675 SH SOLE 266675 0 0 Analog Devices, Inc. COM 032654105 6858 123526 SH SOLE 123526 0 0 Annaly Capital Management Inc. COM 035710409 3975 367717 SH DFND 0 367717 0 Antofagasta plc COM 037189107 274 11557 SH SOLE 11557 0 0 Apollo Investment Corp. COM 03761U106 5798 781381 SH DFND 0 781381 0 Ares Capital Corp. COM 04010L103 43574 2792296 SH DFND 0 2792296 0 Ares Commercial Real Estate COM 04013V108 230 20000 SH SOLE 20000 0 0 Bank of Marin (CA) COM 063425102 1794 34115 SH DFND 0 34115 0 Barclays Capital High Yield Bo COM 78464A417 3939 102013 SH SOLE 102013 0 0 Becton, Dickinson and Company COM 075887109 7578 54453 SH SOLE 54453 0 0 Bed Bath & Beyond Inc COM 075896100 22492 295281 SH SOLE 295281 0 0 Berkshire Hathaway Inc. - B COM 084670702 19148 127527 SH SOLE 127527 0 0 Berkshire Hathaway Inc. - Clas COM 084670108 1130 5 SH SOLE 5 0 0 BHP Billiton Limited - ADR COM 088606108 231 4885 SH SOLE 4885 0 0 BlackRock Kelso Capital Corp. COM 092533108 1578 192442 SH DFND 0 192442 0 Broadridge Financial Solutions COM 11133T103 39191 848666 SH SOLE 848666 0 0 Brown & Brown Inc. COM 115236101 14414 437988 SH DFND 0 437988 0 C & J Energy Services Inc COM 12467B304 844 63896 SH DFND 0 63896 0 C.H. Robinson Worldwide Inc. COM 12541W209 35409 472818 SH SOLE 472818 0 0 Cabot Oil & Gas Corp. 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COM 20605P101 390 3913 SH SOLE 3913 0 0 ConocoPhillips COM 20825C104 6235 90278 SH SOLE 90278 0 0 Consumer Discret Select Sector COM 81369Y407 7017 97262 SH SOLE 97262 0 0 Consumer Staples Select Sector COM 81369Y308 4428 91308 SH SOLE 91308 0 0 Cullen Frost Bankers, Inc. COM 229899109 5809 82233 SH SOLE 82233 0 0 Culp Inc. COM 230215105 1721 79364 SH DFND 0 79364 0 CYS Investments Inc COM 12673A108 6077 696880 SH DFND 0 696880 0 Detour Gold Corp COM 250669108 151 18537 SH SOLE 18537 0 0 Diageo (Adr 1:4) COM 25243Q205 43685 382900 SH SOLE 382900 0 0 Digital Realty Trust Inc. COM 253868103 37832 570619 SH SOLE 570619 0 0 Discovery Communications, Inc. COM 25470F302 15963 473413 SH SOLE 473413 0 0 Donaldson Inc COM 257651109 5689 147277 SH SOLE 147277 0 0 Dow Jones U.S. Oil Equipment & COM 464288844 867 17344 SH SOLE 17344 0 0 Dow Jones US Financial Sector COM 464287788 7802 86491 SH SOLE 86491 0 0 Dow Jones US Technology - iSha COM 464287721 10514 100705 SH SOLE 100705 0 0 Du Pont E.I. De Nemours & Com COM 263534109 39319 531765 SH SOLE 531765 0 0 Emerson Electric Company COM 291011104 45563 738106 SH SOLE 738106 0 0 Energy Select Sector - SPDR COM 81369Y506 2857 36096 SH SOLE 36096 0 0 EOG Resources COM 26875P101 424 4607 SH SOLE 4607 0 0 Expeditors International of Wa COM 302130109 22310 500102 SH SOLE 500102 0 0 Exponent Inc. COM 30214U102 1727 20933 SH DFND 0 20933 0 Express Scripts Inc. COM 30219G108 24200 285812 SH SOLE 285812 0 0 Exxon Mobil Corp. COM 30231G102 5965 64524 SH SOLE 64524 0 0 FEI Company COM 30241L109 1433 15866 SH SOLE 15866 0 0 Fidelity National Financial In COM 31620R303 42267 1226919 SH SOLE 1226919 0 0 FMC Corp. COM 302491303 416 7289 SH SOLE 7289 0 0 Forward Air Corp. COM 349853101 1794 35610 SH DFND 0 35610 0 Franco-Nevada Corp. COM 351858105 307 6239 SH SOLE 6239 0 0 Franklin Electric Co. Inc. 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Term Corporate COM 464288638 8067 73783 SH SOLE 73783 0 0 iShares MBS Bond ETF COM 464288588 5080 46473 SH SOLE 46473 0 0 iShares National AMT-Free Muni COM 464288414 1225 11105 SH SOLE 11105 0 0 iShares Residential Real Estat COM 464288562 5335 90566 SH SOLE 90566 0 0 John Bean Technologies Corp. COM 477839104 1766 53745 SH DFND 0 53745 0 Johnson & Johnson COM 478160104 60550 579043 SH SOLE 579043 0 0 KCAP Financial Inc COM 48668E101 4014 588543 SH DFND 0 588543 0 Kinder Morgan Inc. COM 49456B101 44065 1041488 SH SOLE 1041488 0 0 Kohl's Corp. COM 500255104 37379 612362 SH SOLE 612362 0 0 Kraft Foods Group, Inc. COM 50076Q106 37238 594293 SH SOLE 594293 0 0 Landstar System Inc. COM 515098101 2854 39343 SH DFND 0 39343 0 Linear Technology Corp COM 535678106 42324 928150 SH SOLE 928150 0 0 Lockheed Martin Corp COM 539830109 45357 235535 SH SOLE 235535 0 0 Lowe's Companies Inc. COM 548661107 24421 354954 SH SOLE 354954 0 0 M&T Bank Corp. 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COM 780911103 132 135645 SH SOLE 135645 0 0 Russell 1000 Value Index - iSh COM 464287598 235 2247 SH SOLE 2247 0 0 Russell 2000 Growth Index - iS COM 464287648 14213 99825 SH SOLE 99825 0 0 Russell 2000 Value Index - iSh COM 464287630 6149 60470 SH SOLE 60470 0 0 S&P 500 - SPDR COM 78462F103 1589 7733 SH SOLE 7733 0 0 S&P 500 Growth Index - iShares COM 464287309 631 5653 SH SOLE 5653 0 0 S&P 500 Index Fund - iShares COM 464287200 562 2719 SH SOLE 2719 0 0 S&P 500 Value Index - iShares COM 464287408 276 2942 SH SOLE 2942 0 0 S&P MidCap 400 Growth Index Fu COM 464287606 32364 202691 SH SOLE 202691 0 0 S&P MidCap 400 Value Index Fun COM 464287705 13852 108360 SH SOLE 108360 0 0 Safeguard Scientifics New COM 786449207 1462 73767 SH DFND 0 73767 0 Saratoga Investment Corporatio COM 80349A208 222 14936 SH DFND 0 14936 0 Sigma-Aldrich Corp COM 826552101 18034 131379 SH SOLE 131379 0 0 Silver Wheaton Corp. 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