CONFLUENCE INVESTMENT MANAGEMENT LLC Q3 2016 Filing
Filed November 4, 2016
Portfolio Value
$3.8T
Holdings
223
Report Date
Q3 2016
Filing Type
13F-HR
All Holdings (223 positions)
| # | Stock | Shares | Value | % Portfolio | Type |
|---|---|---|---|---|---|
| 101 | NKENike Inc. - B | 162,275 | $8.5B | 0.22% | |
| 102 | MBBiShares MBS Bond ETF | 77,165 | $8.5B | 0.22% | |
| 103 | TPVGTriplepoint Venture Growth BDC | 744,583 | $7.9B | 0.21% | |
| 104 | GOOGLAlphabet Inc. Class - A | 9,807 | $7.9B | 0.21% | |
| 105 | TFISPDR Nuveen Barclays Capital M | 147,312 | $7.4B | 0.19% | |
| 106 | IJJS&P MidCap 400 Value Index Fun | 55,203 | $7.3B | 0.19% | |
| 107 | TSLXUSDTPG Specialty Lending Inc Com | 389,220 | $7.0B | 0.18% | |
| 108 | —iShares Corporate ex Financial | 282,369 | $7.0B | 0.18% | |
| 109 | IYWDow Jones US Technology - iSha | 59,055 | $7.0B | 0.18% | |
| 110 | PNNTPennantPark Investment Corp. | 911,964 | $6.9B | 0.18% | |
| 111 | —CYS Investments Inc | 774,326 | $6.8B | 0.18% | |
| 112 | VCLTVanguard Long Term Corporate B | 68,080 | $6.5B | 0.17% | |
| 113 | PDCOEURPatterson Companies Inc. | 128,221 | $5.9B | 0.15% | |
| 114 | —American Capital Ltd. | 347,780 | $5.9B | 0.15% | |
| 115 | IGIBiShares Interm. Term Corporate | 52,293 | $5.8B | 0.15% | |
| 116 | IJKS&P MidCap 400 Growth Index Fu | 32,199 | $5.6B | 0.15% | |
| 117 | REZiShares Residential Real Estat | 84,527 | $5.5B | 0.14% | |
| 118 | IWNRussell 2000 Value Index - iSh | 52,279 | $5.5B | 0.14% | |
| 119 | —iShares iBonds Dec 2022 AMT-F | 199,131 | $5.2B | 0.14% | |
| 120 | IWPRussell Midcap Growth Index Fu | 53,290 | $5.2B | 0.14% | |
| 121 | IWORussell 2000 Growth Index - iS | 34,620 | $5.2B | 0.13% | |
| 122 | OFSOFS Capital Corp. | 375,233 | $4.9B | 0.13% | |
| 123 | —Black Knight Financial Service | 118,765 | $4.9B | 0.13% | |
| 124 | IJTS&P SmallCap 600 Growth Index | 34,166 | $4.7B | 0.12% | |
| 125 | XLEEnergy Select Sector - SPDR | 65,908 | $4.7B | 0.12% | |
| 126 | VBKSmall Cap Growth - Vanguard ET | 34,142 | $4.5B | 0.12% | |
| 127 | MCCUSDMedley Capital Corp. | 587,221 | $4.5B | 0.12% | |
| 128 | MAINMain Street Capital Corp. | 130,443 | $4.5B | 0.12% | |
| 129 | SCMStellus Capital Investment | 405,736 | $4.4B | 0.12% | |
| 130 | —Guggenheim BulletShares Corpor | 205,245 | $4.4B | 0.11% | |
| 131 | —Guggenheim BulletShares Invest | 200,885 | $4.3B | 0.11% | |
| 132 | NLYEURAnnaly Capital Management Inc. | 411,902 | $4.3B | 0.11% | |
| 133 | —Guggenheim BulletShares Invest | 199,667 | $4.3B | 0.11% | |
| 134 | —Guggenheim BulletShares Corpor | 197,080 | $4.3B | 0.11% | |
| 135 | —Guggenheim BulletShares Corpor | 198,987 | $4.3B | 0.11% | |
| 136 | IJSS&P SmallCap 600 Value Index F | 33,962 | $4.2B | 0.11% | |
| 137 | —Guggenheim BulletShares Corpor | 197,690 | $4.2B | 0.11% | |
| 138 | IEIBarclays 3-7 Year Treasury Bon | 32,815 | $4.2B | 0.11% | |
| 139 | XLYConsumer Discret Select Sector | 51,425 | $4.1B | 0.11% | |
| 140 | GQ9Gold Shares - SPDR | 31,846 | $4.0B | 0.10% | |
| 141 | FSICUSDFS Investment Corp. | 419,870 | $4.0B | 0.10% | |
| 142 | VNQREIT Index - Vanguard | 45,359 | $3.9B | 0.10% | |
| 143 | VAREURVarian Medical Systems Inc. | 38,371 | $3.8B | 0.10% | |
| 144 | MUBiShares National AMT-Free Muni | 31,176 | $3.5B | 0.09% | |
| 145 | IGLBiShares 10+ Year Credit Bond E | 55,254 | $3.5B | 0.09% | |
| 146 | —iShares iBonds Sep 2020 Amt Fr | 135,018 | $3.5B | 0.09% | |
| 147 | —iShares iBonds Dec 2021 AMT-Fr | 133,895 | $3.5B | 0.09% | |
| 148 | —VCA Antech Inc. | 48,543 | $3.4B | 0.09% | |
| 149 | HLTHilton Worldwide Holdings Inc | 141,110 | $3.2B | 0.08% | |
| 150 | —Apollo Investment Corp. | 551,102 | $3.2B | 0.08% | |
| 151 | IYFDow Jones US Financial Sector | 33,472 | $3.0B | 0.08% | |
| 152 | SPYS&P 500 - SPDR | 13,407 | $2.9B | 0.08% | |
| 153 | JBTJohn Bean Technologies Corp. | 40,200 | $2.8B | 0.07% | |
| 154 | —Natus Medical Inc | 71,809 | $2.8B | 0.07% | |
| 155 | GSBDGoldman Sachs BDC Inc. | 128,679 | $2.8B | 0.07% | |
| 156 | —Monotype Imaging Holdings Inc | 124,386 | $2.8B | 0.07% | |
| 157 | XLVHealth Care Select Sector - SP | 37,725 | $2.7B | 0.07% | |
| 158 | XLFIConsumer Staples Select Sector | 50,007 | $2.7B | 0.07% | |
| 159 | XLIIndustrial Select Sector - SPD | 45,266 | $2.6B | 0.07% | |
| 160 | —Raven Industries Inc | 114,352 | $2.6B | 0.07% | |
| 161 | —Alcentra Capital Corporation | 190,912 | $2.5B | 0.06% | |
| 162 | —Snyders-Lance Inc | 72,721 | $2.4B | 0.06% | |
| 163 | —iShares iBonds Sep 2019 Amt Fr | 94,788 | $2.4B | 0.06% | |
| 164 | TECHTechne Corp. | 21,675 | $2.4B | 0.06% | |
| 165 | BKCCUSDBlackRock Kelso Capital Corp. | 285,840 | $2.4B | 0.06% | |
| 166 | BMRCBank of Marin (CA) | 46,843 | $2.3B | 0.06% | |
| 167 | FELEFranklin Electric Co. Inc. | 57,181 | $2.3B | 0.06% | |
| 168 | GOODGladstone Commercial Corp. | 124,772 | $2.3B | 0.06% | |
| 169 | —Onebeacon Insurance Group Ltd | 161,409 | $2.3B | 0.06% | |
| 170 | PTBPotbelly Corp | 182,836 | $2.3B | 0.06% | |
| 171 | —Halyard Health Inc | 65,137 | $2.3B | 0.06% | |
| 172 | MLIMueller Industries Inc. | 69,273 | $2.2B | 0.06% | |
| 173 | FWRDUSDForward Air Corp. | 48,808 | $2.1B | 0.06% | |
| 174 | THRThermon Group Holdings Inc | 105,154 | $2.1B | 0.05% | |
| 175 | PFLTPennantPark Floating Rate Capi | 154,266 | $2.0B | 0.05% | |
| 176 | HAEHaemonetics Corporation | 56,190 | $2.0B | 0.05% | |
| 177 | EXPOExponent Inc. | 38,916 | $2.0B | 0.05% | |
| 178 | —CM Finance Inc | 215,557 | $2.0B | 0.05% | |
| 179 | LSTRLandstar System Inc. | 25,288 | $1.7B | 0.04% | |
| 180 | —KCAP Financial Inc | 340,472 | $1.6B | 0.04% | |
| 181 | CODICompass Diversified Holdings | 88,200 | $1.5B | 0.04% | |
| 182 | —Solar Senior Capital Ltd. | 87,967 | $1.4B | 0.04% | |
| 183 | NATLNational Interstate Corporatio | 43,778 | $1.4B | 0.04% | |
| 184 | GAINGladstone Investment Corp. | 142,533 | $1.3B | 0.03% | |
| 185 | RBCRBC Bearings Incorporated | 16,163 | $1.2B | 0.03% | |
| 186 | CULPCulp Inc. | 40,062 | $1.2B | 0.03% | |
| 187 | IAUUSDGold Trust - iShares | 93,048 | $1.2B | 0.03% | |
| 188 | BRK-BBerkshire Hathaway Inc. - Clas | 5 | $1.1B | 0.03% | |
| 189 | IGSBiShares Barclays 1-3 Year Inve | 9,988 | $1.1B | 0.03% | |
| 190 | —Capstead Mortgage Corp. | 110,509 | $1.0B | 0.03% | |
| 191 | IVVS&P 500 Index Fund - iShares | 4,645 | $1.0B | 0.03% | |
| 192 | —Capitala Finance Corp | 66,295 | $869.0M | 0.02% | |
| 193 | DLNWisdomTree LargeCap Dividend F | 10,419 | $802.0M | 0.02% | |
| 194 | FSPFranklin Street Properties Cor | 60,000 | $756.0M | 0.02% | |
| 195 | IDV*Dow Jones U.S. Select Dividend | 13,950 | $418.0M | 0.01% | |
| 196 | —Piedmont Natural Gas Co. Inc. | 6,581 | $395.0M | 0.01% | |
| 197 | —Manatuck Hill Mariner Offshore | 2,813 | $385.0M | 0.01% | |
| 198 | —Silver Wheaton Corp. | 14,192 | $384.0M | 0.01% | |
| 199 | BUDAnheuser-Busch InBev SA/NV | 2,690 | $353.0M | 0.01% | |
| 200 | MFINMedallion Financial Corp | 83,353 | $352.0M | 0.01% |