0001442055-16-000014.txt : 20160203 0001442055-16-000014.hdr.sgml : 20160203 20160202183213 ACCESSION NUMBER: 0001442055-16-000014 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20151231 FILED AS OF DATE: 20160203 DATE AS OF CHANGE: 20160202 EFFECTIVENESS DATE: 20160203 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: 161382443 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 12-31-2015 12-31-2015 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 02-02-2016 1 248 3057078 false 1 028-06487 First Trust Advisors L.P. INFORMATION TABLE 2 13fdec15-RSver2.xml Franklin High Income Fund Clas MFUND 353538101 58 35117 SH SOLE 35117 0 0 Franklin Income Fund-A MFUND 353496300 142 67569 SH SOLE 67569 0 0 Templeton Global Balanced Fund MFUND 88019R583 107 38315 SH SOLE 38315 0 0 Vanguard Equity-Income Admiral MFUND 921921300 238 3846 SH SOLE 3846 0 0 3M Company COM 88579Y101 54471 361599 SH SOLE 361599 0 0 ACE Limited COM h0023r105 53240 455630 SH SOLE 455630 0 0 Agrium Inc. COM 008916108 234 2614 SH SOLE 2614 0 0 Air Products & Chemicals Inc. COM 009158106 7882 60582 SH SOLE 60582 0 0 Alcentra Capital Corporation COM 01374T102 2049 176637 SH DFND 0 176637 0 ALCOA, INC. COM 013817101 298 30175 SH SOLE 30175 0 0 Alphabet Inc. Class- C COM 02079K107 21564 28415 SH SOLE 28415 0 0 Alphabet Inc. Class - A COM 02079K305 8470 10887 SH SOLE 10887 0 0 American Capital Ltd. COM 02503Y103 5245 380384 SH DFND 0 380384 0 American Capital Senior Floati COM 02504D108 173 17588 SH SOLE 17588 0 0 American Express Company COM 025816109 27192 390974 SH SOLE 390974 0 0 American International Group, COM 026874784 40570 654668 SH SOLE 654668 0 0 Analog Devices, Inc. COM 032654105 7905 142889 SH SOLE 142889 0 0 Anheuser-Busch InBev SA/NV COM 03524A108 336 2690 SH SOLE 2690 0 0 Annaly Capital Management Inc. COM 035710409 2956 315163 SH DFND 0 315163 0 Apollo Investment Corp. COM 03761U106 3155 604473 SH DFND 0 604473 0 Ares Capital Corp. COM 04010L103 46617 3271386 SH DFND 0 3271386 0 Bank of Marin (CA) COM 063425102 2103 39390 SH DFND 0 39390 0 Barclays 20+ Year Treasury Bon COM 464287432 16292 135116 SH SOLE 135116 0 0 Barclays Capital High Yield Bo COM 78464A417 538 15872 SH SOLE 15872 0 0 Becton, Dickinson and Company COM 075887109 9617 62412 SH SOLE 62412 0 0 Bed Bath & Beyond Inc COM 075896100 23928 495915 SH SOLE 495915 0 0 Berkshire Hathaway Inc. - B COM 084670702 22067 167123 SH SOLE 167123 0 0 Berkshire Hathaway Inc. - Clas COM 084670108 989 5 SH SOLE 5 0 0 BlackRock Kelso Capital Corp. COM 092533108 2707 287936 SH DFND 0 287936 0 Broadridge Financial Solutions COM 11133T103 45667 849929 SH SOLE 849929 0 0 Brown & Brown Inc. COM 115236101 27209 847647 SH DFND 0 847647 0 C.H. Robinson Worldwide Inc. COM 12541W209 38887 627014 SH SOLE 627014 0 0 Capstead Mortgage Corp. COM 14067E506 951 108755 SH DFND 0 108755 0 CF Industries Holdings Inc. COM 125269100 208 5092 SH SOLE 5092 0 0 Chemours COM 163851108 469 87428 SH SOLE 87428 0 0 Chevron Corp. COM 166764100 58668 652152 SH SOLE 652152 0 0 Chubb Corp. COM 171232101 5883 44353 SH SOLE 44353 0 0 Cimarex Energy Co. COM 171798101 239 2670 SH SOLE 2670 0 0 CM Finance Inc COM 12574Q103 1763 175899 SH DFND 0 175899 0 Colgate-Palmolive Co. COM 194162103 52238 784126 SH SOLE 784126 0 0 Commerce Bancshares, Inc. COM 200525103 8185 192410 SH SOLE 192410 0 0 Compagnie Financiere Richemont COM 204319107 18012 2529765 SH SOLE 2529765 0 0 Compass Diversified Holdings COM 20451Q104 2196 138200 SH DFND 0 138200 0 Concho Resources, Inc. COM 20605P101 232 2499 SH SOLE 2499 0 0 Consumer Discret Select Sector COM 81369Y407 8938 114355 SH SOLE 114355 0 0 Consumer Staples Select Sector COM 81369Y308 4579 90683 SH SOLE 90683 0 0 Cullen Frost Bankers, Inc. COM 229899109 6173 102882 SH SOLE 102882 0 0 Culp Inc. COM 230215105 1069 41953 SH DFND 0 41953 0 CYS Investments Inc COM 12673A108 4971 697215 SH DFND 0 697215 0 Detour Gold Corp COM 250669108 140 13436 SH SOLE 13436 0 0 Diageo (Adr 1:4) COM 25243Q205 63220 579631 SH SOLE 579631 0 0 Digital Realty Trust Inc. COM 253868103 50137 663018 SH SOLE 663018 0 0 Discovery Communications, Inc. COM 25470F302 35292 1399385 SH SOLE 1399385 0 0 Donaldson Inc COM 257651109 6445 224870 SH SOLE 224870 0 0 Dow Jones US Financial Sector COM 464287788 5193 58753 SH SOLE 58753 0 0 Dow Jones US Technology - iSha COM 464287721 12617 117886 SH SOLE 117886 0 0 Dow Jones US Utilities - iShar COM 464287697 1918 17773 SH SOLE 17773 0 0 Du Pont E.I. De Nemours & Com COM 263534109 42693 641037 SH SOLE 641037 0 0 Eldorado Gold Corp. COM 284902103 82 27565 SH SOLE 27565 0 0 Eli Lilly & Co. COM 532457108 202 2400 SH SOLE 2400 0 0 Energy Select Sector - SPDR COM 81369Y506 1664 27580 SH SOLE 27580 0 0 EOG Resources COM 26875P101 280 3956 SH SOLE 3956 0 0 European ETF - Vanguard COM 922042874 202 4050 SH SOLE 4050 0 0 Expeditors International of Wa COM 302130109 28309 627686 SH SOLE 627686 0 0 Exponent Inc. COM 30214U102 1661 33262 SH DFND 0 33262 0 Express Scripts Inc. COM 30219G108 40474 463038 SH SOLE 463038 0 0 Exxon Mobil Corp. COM 30231G102 7846 100655 SH SOLE 100655 0 0 Factset Research Systems COM 303075105 305 1876 SH SOLE 1876 0 0 Fastenol Co. COM 311900104 41246 1010436 SH SOLE 1010436 0 0 FEI Company COM 30241L109 2327 29166 SH SOLE 29166 0 0 Fidelity National Financial In COM 31620R303 47586 1372550 SH SOLE 1372550 0 0 Fifth Street Finance Corp. COM 31678A103 299 46910 SH SOLE 46910 0 0 First Trust Mid Cap Growth Alp COM 33737M102 357 12383 SH SOLE 12383 0 0 First Trust Mid Cap Value Alph COM 33737M201 222 8387 SH SOLE 8387 0 0 First Trust Small Cap Growth COM 33737M300 267 8766 SH SOLE 8766 0 0 FMC Corp. COM 302491303 203 5198 SH SOLE 5198 0 0 Forward Air Corp. COM 349853101 1814 42176 SH DFND 0 42176 0 Franco-Nevada Corp. COM 351858105 266 5824 SH SOLE 5824 0 0 Franklin Electric Co. Inc. COM 353514102 1518 56166 SH DFND 0 56166 0 Franklin Street Properties Cor COM 35471R106 621 60000 SH SOLE 60000 0 0 FS Investment Corp. COM 302635107 3664 407566 SH DFND 0 407566 0 General Dynamics Corp. COM 369550108 8694 63292 SH SOLE 63292 0 0 General Electric Company COM 369604103 50322 1615485 SH SOLE 1615485 0 0 Gladstone Capital Corporation COM 376535100 943 129045 SH DFND 0 129045 0 Gladstone Commercial Corp. COM 376536108 1574 107907 SH DFND 0 107907 0 Gladstone Investment Corp. 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COM 384109104 53208 738289 SH DFND 0 738289 0 Guggenheim BulletShares Corpor COM 18383M548 3088 137143 SH SOLE 137143 0 0 Guggenheim BulletShares Corpor COM 18383M530 3072 146156 SH SOLE 146156 0 0 Guggenheim BulletShares Corpor COM 18383M522 3062 146757 SH SOLE 146757 0 0 Guggenheim BulletShares Corpor COM 18383M514 3038 145426 SH SOLE 145426 0 0 Guggenheim BulletShares Corpor COM 18383M233 2978 150616 SH SOLE 150616 0 0 Guggenheim BulletShares Invest COM 18383M266 3017 147051 SH SOLE 147051 0 0 Guggenheim BulletShares Invest COM 18383M258 2998 147778 SH SOLE 147778 0 0 Haemonetics Corporation COM 405024100 1745 54137 SH DFND 0 54137 0 Halliburton Co. COM 406216101 15146 444959 SH SOLE 444959 0 0 Halyard Health Inc COM 40650V100 1802 53934 SH DFND 0 53934 0 Harvest Capital Credit Corp COM 41753F109 461 39320 SH DFND 0 39320 0 Hatteras Financial Corp. COM 41902R103 2557 194447 SH DFND 0 194447 0 Health Care Select Sector - SP COM 81369Y209 4594 63775 SH SOLE 63775 0 0 Hercules Technology Growth Cap COM 427096508 8396 688754 SH DFND 0 688754 0 High Yield Corporate Bond Fund COM 464288513 550 6820 SH SOLE 6820 0 0 Hilton Worldwide Holdings Inc COM 43300A104 1797 83991 SH SOLE 83991 0 0 Home Depot Inc. COM 437076102 12120 91646 SH SOLE 91646 0 0 Horizon Technology COM 44045A102 2100 179012 SH DFND 0 179012 0 Illinois Tool Works Inc. COM 452308109 26297 283739 SH SOLE 283739 0 0 Industrial Select Sector - SPD COM 81369Y704 4624 87236 SH SOLE 87236 0 0 Iron Mountain COM 46284V101 37037 1371229 SH SOLE 1371229 0 0 iShares 10+ Year Credit Bond E COM 464289511 9414 169105 SH SOLE 169105 0 0 iShares 2017 AMT-Free Muni COM 464289271 2719 99413 SH SOLE 99413 0 0 iShares 2018 AMT-Free Muni COM 46429B580 2736 107201 SH SOLE 107201 0 0 iShares 7-10 Year Treasury Bon COM 464287440 6744 63869 SH SOLE 63869 0 0 iShares Barclays 1-3 Year Inve COM 464288646 244 2330 SH SOLE 2330 0 0 iShares Core US Values - ETF COM 464287663 12835 100755 SH SOLE 100755 0 0 iShares Corporate Bond ETF 202 COM 46432FAZ0 7011 67496 SH SOLE 67496 0 0 iShares Corporate ex Financial COM 46432FAG2 8104 81870 SH SOLE 81870 0 0 iShares Corporate ex Financial COM 46432FAK3 5016 51490 SH SOLE 51490 0 0 iShares Corporate ex Financial COM 46432FAN7 9782 103188 SH SOLE 103188 0 0 iShares GNMA Bond ETF COM 46429B333 3030 60465 SH SOLE 60465 0 0 iShares iBonds Sep 2019 Amt Fr COM 46429B564 1265 49370 SH SOLE 49370 0 0 iShares iBonds Sep 2020 Amt Fr COM 46434V571 1816 71115 SH SOLE 71115 0 0 iShares iBoxx Corporate Bond E COM 464287242 14280 125253 SH SOLE 125253 0 0 iShares Interm. Term Corporate COM 464288638 4078 38012 SH SOLE 38012 0 0 iShares MBS Bond ETF COM 464288588 3056 28372 SH SOLE 28372 0 0 iShares MSCI Japan Index COM 464286848 130 10746 SH SOLE 10746 0 0 iShares National AMT-Free Muni COM 464288414 1828 16513 SH SOLE 16513 0 0 iShares Residential Real Estat COM 464288562 6603 104068 SH SOLE 104068 0 0 John Bean Technologies Corp. COM 477839104 2113 42403 SH DFND 0 42403 0 Johnson & Johnson COM 478160104 75766 737593 SH SOLE 737593 0 0 KCAP Financial Inc COM 48668E101 2181 535785 SH DFND 0 535785 0 Kinder Morgan Inc. COM 49456B101 24080 1613930 SH SOLE 1613930 0 0 Kohl's Corp. COM 500255104 44021 924219 SH SOLE 924219 0 0 Kraft Foods Group, Inc. COM 50076Q106 1060 12020 SH SOLE 12020 0 0 Kraft Heinz Co. COM 500754106 48801 670712 SH SOLE 670712 0 0 Landstar System Inc. COM 515098101 3502 59707 SH DFND 0 59707 0 Linear Technology Corp COM 535678106 50229 1182690 SH SOLE 1182690 0 0 Lockheed Martin Corp COM 539830109 8950 41216 SH SOLE 41216 0 0 Lowe's Companies Inc. COM 548661107 28988 381218 SH SOLE 381218 0 0 M&T Bank Corp. COM 55261F104 7505 61932 SH SOLE 61932 0 0 Main Street Capital Corp. COM 56035L104 3686 126740 SH DFND 0 126740 0 Manatuck Hill Mariner Offshore COM 562996983 375 2813 SH SOLE 2813 0 0 Markel Corp. COM 570535104 45703 51738 SH SOLE 51738 0 0 Market Vectors Long Municipal COM 57060U886 8449 424161 SH SOLE 424161 0 0 Martin Marietta Materials Inc. COM 573284106 45837 335604 SH SOLE 335604 0 0 Mastercard Inc. - A COM 57636Q104 33337 342407 SH SOLE 342407 0 0 Mattel Inc COM 577081102 36814 1354950 SH SOLE 1354950 0 0 McDonald's Corp. COM 580135101 9276 78515 SH SOLE 78515 0 0 MDU Resources Group Inc. COM 552690109 7402 404036 SH SOLE 404036 0 0 Medallion Financial Corp COM 583928106 904 128353 SH DFND 0 128353 0 Medley Capital Corp. COM 58503F106 4188 556921 SH DFND 0 556921 0 Medtronic COM G5960L103 8193 106508 SH SOLE 106508 0 0 Microsoft Corp. COM 594918104 64105 1155455 SH SOLE 1155455 0 0 Morningstar Inc. COM 617700109 20781 258436 SH DFND 0 258436 0 MSC Industrial Direct Co. Inc COM 553530106 13820 245593 SH SOLE 245593 0 0 MTS Systems Corp. COM 553777103 1904 30029 SH DFND 0 30029 0 Mueller Industries Inc. COM 624756102 1635 60320 SH DFND 0 60320 0 National Interstate Corporatio COM 63654U100 2005 75083 SH DFND 0 75083 0 Nestle SA COM 641069406 7842 105378 SH SOLE 105378 0 0 New Jersey Resources Corp. COM 646025106 9166 278092 SH SOLE 278092 0 0 New Mountain Finance Corp. COM 647551100 10611 814981 SH DFND 0 814981 0 Nike Inc. - B COM 654106103 7567 121075 SH SOLE 121075 0 0 Nordstrom Inc. 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COM 913017109 24183 251726 SH SOLE 251726 0 0 Vanguard Interm. Term Corporat COM 92206C870 9720 115589 SH SOLE 115589 0 0 Vanguard Long Term Corporate B COM 92206C813 15264 181325 SH SOLE 181325 0 0 Varian Medical Systems Inc. COM 92220P105 2208 27327 SH SOLE 27327 0 0 VCA Antech Inc. COM 918194101 2673 48597 SH DFND 0 48597 0 VF Corp. COM 918204108 376 6034 SH SOLE 6034 0 0 Vulcan Materials Co. COM 929160109 204 2151 SH SOLE 2151 0 0 W.R. Berkley Corp COM 084423102 24823 453396 SH SOLE 453396 0 0 W.W. Grainger, Inc. COM 384802104 6555 32357 SH SOLE 32357 0 0 Wells Fargo & Company COM 949746101 21386 393418 SH SOLE 393418 0 0 West Pharmaceutical Services, COM 955306105 1460 24252 SH DFND 0 24252 0 Weyerhaeuser Co. COM 962166104 317 10571 SH SOLE 10571 0 0