0001636661-22-000002.txt : 20220104 0001636661-22-000002.hdr.sgml : 20220104 20220104112909 ACCESSION NUMBER: 0001636661-22-000002 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20211231 FILED AS OF DATE: 20220104 DATE AS OF CHANGE: 20220104 EFFECTIVENESS DATE: 20220104 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: 22504650 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 12-31-2021 12-31-2021 CONFLUENCE INVESTMENT MANAGEMENT LLC

20 ALLEN AVENUE, SUITE 300 ST. LOUIS MO 63119

13F HOLDINGS REPORT 028-13334 N Steven P. Farmer 314-743-5298 Steven P. Farmer Marco Island FL 01-04-2022 1 363 7531654 false 1 028-06487 First Trust Advisors LP INFORMATION TABLE 2 inftable.xml 3M Company COM 88579Y101 99515 560237 SH SOLE 556283 0 3954 Accenture PLC COM G1151C101 33931 81849 SH SOLE 81478 0 371 AIA Group Limited COM 001317205 919 22782 SH SOLE 22252 0 530 Air Products & Chemicals Incor COM 009158106 22163 72844 SH SOLE 72571 0 273 Alcoa Corporation COM 013872106 377 6326 SH SOLE 6275 0 51 Alibaba Group Holding Limited COM 01609W102 258 2173 SH SOLE 2173 0 0 Allied Motion Technologies Inc COM 019330109 6078 166577 SH SOLE 165530 0 1047 Allied Motion Technologies Inc COM 019330109 1670 45757 SH DFND 01 0 45757 0 Alphabet Incorporated - A COM 02079K305 435 150 SH SOLE 150 0 0 Alphabet Incorporated - C COM 02079K107 77508 26786 SH SOLE 26715 0 71 Amazon.com Incorporated COM 023135106 210 63 SH SOLE 63 0 0 American Capital Agency Corpor COM 00123q104 19 1277 SH SOLE 1277 0 0 American Capital Agency Corpor COM 00123q104 1278 85000 SH DFND 01 0 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26 SPDR Materials Select Sector E COM 81369Y100 4655 51372 SH SOLE 51341 0 31 SPDR Nuveen Bloomberg Barclays COM 78468R721 2965 57313 SH SOLE 57163 0 150 SPDR Portfolio Developed World COM 78463X889 38750 1062229 SH SOLE 1060983 0 1246 SPDR Portfolio S&P 500 Growth COM 78464A409 16900 233205 SH SOLE 232986 0 219 SPDR Portfolio S&P 500 Value E COM 78464a508 30485 725833 SH SOLE 725171 0 662 SPDR S&P 400 Mid Cap Growth ET COM 78464A821 7900 96895 SH SOLE 96895 0 0 SPDR S&P 400 Mid Cap Value ETF COM 78464A839 14588 205176 SH SOLE 205176 0 0 SPDR S&P 500 ETF COM 78462F103 7610 16023 SH SOLE 16023 0 0 SPDR S&P 600 Small Cap Growth COM 78464A201 14328 154360 SH SOLE 154258 0 102 SPDR S&P 600 Small Cap Value E COM 78464A300 26044 307413 SH SOLE 307214 0 199 SPDR S&P Homebuilders ETF COM 78464A888 4337 50555 SH SOLE 50496 0 59 Sprott Physical Uranium Trust COM 85210A104 270 24546 SH SOLE 24350 0 196 Starbucks Corporation COM 855244109 82996 709553 SH SOLE 707355 0 2198 Stellus Capital Investment COM 858568108 826 63420 SH SOLE 63420 0 0 Stellus Capital Investment COM 858568108 3737 287000 SH DFND 01 0 287000 0 Stryker Corporation COM 863667101 80719 301842 SH SOLE 300912 0 930 T Rowe Price Group Incorporate COM 74144T108 24428 124228 SH SOLE 123804 0 424 Taiwan Semiconductor Manufactu COM 874039100 2124 17651 SH SOLE 17315 0 336 TCP Capital Corporation COM 09259e108 1192 88196 SH SOLE 88196 0 0 TCP Capital Corporation COM 09259e108 4485 332000 SH DFND 01 0 332000 0 Teck Resources Limited COM 878742204 306 10634 SH SOLE 10549 0 85 Tencent Holdings Limited COM 88032Q109 961 16476 SH SOLE 16179 0 297 The Clorox Company COM 189054109 16523 94764 SH SOLE 94334 0 430 The Mosaic Company COM 61945C103 305 7771 SH SOLE 7709 0 62 Thermo Fisher Scientific Incor COM 883556102 68714 102982 SH SOLE 102708 0 274 Thermon Group Holdings Incorpo COM 88362T103 3986 235418 SH SOLE 234173 0 1245 Thermon Group Holdings Incorpo COM 88362T103 1304 77011 SH DFND 01 0 77011 0 TJX Companies COM 872540109 79864 1051944 SH SOLE 1048675 0 3269 Trinity Capital Incorporated COM 896442308 340 19319 SH SOLE 19319 0 0 Trinity Capital Incorporated COM 896442308 791 45000 SH DFND 01 0 45000 0 TriplePoint Venture Growth BDC COM 89677Y100 446 24815 SH SOLE 24815 0 0 TriplePoint Venture Growth BDC COM 89677Y100 1527 85000 SH DFND 01 0 85000 0 United Overseas Bank Limited COM 911271302 566 14128 SH SOLE 13723 0 405 US Bancorp COM 902973304 104533 1861020 SH SOLE 1848197 0 12822 Vale SA (ADR) COM 91912E105 570 40662 SH SOLE 39628 0 1034 VanEck Vectors Long Municipal COM 92189F536 16691 771419 SH SOLE 769476 0 1943 Vanguard Emerging Markets Stoc COM 922042858 252 5091 SH SOLE 5091 0 0 Vanguard FTSE Europe Index Fun COM 922042874 992 14530 SH SOLE 14530 0 0 Veritex Holdings COM 923451108 6246 157012 SH SOLE 155886 0 1126 Veritex Holdings COM 923451108 2003 50340 SH DFND 01 0 50340 0 Visa Incorporated COM 92826C839 348 1606 SH SOLE 1606 0 0 Vontier Corporation COM 928881101 12465 405628 SH SOLE 402452 0 3176 Wal-Mart de Mexico SAB de CV COM 93114W107 1119 30051 SH SOLE 29416 0 635 Waste Connections Incorporated COM 94106B101 1158 8497 SH SOLE 8250 0 247 Weyerhaeuser Company COM 962166104 116628 2832151 SH SOLE 2810743 0 21408 Willis Towers Watson Public Li COM G96629103 898 3782 SH SOLE 3690 0 92 Winnebago Industries Incorpora COM 974637100 5998 80061 SH SOLE 79591 0 470 Winnebago Industries Incorpora COM 974637100 1656 22109 SH DFND 01 0 22109 0 WNS Holdings Limited COM 92932M101 377 4272 SH SOLE 4272 0 0 WR Berkley Corporation COM 084423102 60247 731236 SH SOLE 729114 0 2122 Wuxi Biologics Cayman Incorpor COM 98260N108 691 29491 SH SOLE 29491 0 0 xTrackers Municipal Infrastruc COM 233051705 4253 145368 SH SOLE 144995 0 373 Yandex NV COM N97284108 510 8431 SH SOLE 8431 0 0 Yum China Holdings Incorporate COM 98850P109 284 5688 SH SOLE 5688 0 0 ZTO Express Cayman Incorporate COM 98980A105 387 13718 SH SOLE 13718 0 0 Zurich Insurance Group COM 989825104 211 4799 SH SOLE 4799 0 0