CONFLUENCE INVESTMENT MANAGEMENT LLC Q3 2017 Filing
Filed October 13, 2017
Portfolio Value
$5.2T
Holdings
239
Report Date
Q3 2017
Filing Type
13F-HR
All Holdings (239 positions)
| # | Stock | Shares | Value | % Portfolio | Type |
|---|---|---|---|---|---|
| 101 | TPVGTriplePoint Venture Growth BDC | 696,313 | $9.3B | 0.18% | |
| 102 | —iShares Corporate ex Financial | 377,753 | $9.3B | 0.18% | |
| 103 | TFISPDR Nuveen Barclays Capital M | 190,221 | $9.3B | 0.18% | |
| 104 | MLNVanEck Vectors Long Municipal | 461,946 | $9.2B | 0.18% | |
| 105 | IJJS&P MidCap 400 Value Index Fun | 56,496 | $8.6B | 0.17% | |
| 106 | IGIBiShares Interm. Term Corporate | 77,808 | $8.6B | 0.16% | |
| 107 | IJKS&P MidCap 400 Growth Index Fu | 41,586 | $8.4B | 0.16% | |
| 108 | —CYS Investments Inc | 911,826 | $7.9B | 0.15% | |
| 109 | IYWDow Jones US Technology - iSha | 50,367 | $7.6B | 0.14% | |
| 110 | TSLXUSDTPG Specialty Lending, Inc. | 359,103 | $7.5B | 0.14% | |
| 111 | IJTS&P SmallCap 600 Growth Index | 45,732 | $7.5B | 0.14% | |
| 112 | SCMStellus Capital Investment | 532,605 | $7.3B | 0.14% | |
| 113 | —Triangle Capital Corp. | 498,445 | $7.1B | 0.14% | |
| 114 | PNNTPennantPark Investment Corp. | 919,909 | $6.9B | 0.13% | |
| 115 | IJSS&P SmallCap 600 Value Index F | 45,826 | $6.8B | 0.13% | |
| 116 | —iShares iBonds Dec 2021 AMT-Fr | 255,801 | $6.6B | 0.13% | |
| 117 | —iShares iBonds Dec 2022 AMT-F | 252,394 | $6.6B | 0.13% | |
| 118 | VWOVanguard MSCI Emerging Markets | 149,987 | $6.5B | 0.13% | |
| 119 | XLVHealth Care Select Sector - SP | 77,282 | $6.3B | 0.12% | |
| 120 | ACWXiShares MSCI ACWI EX US ETF | 125,369 | $6.1B | 0.12% | |
| 121 | NLYEURAnnaly Capital Management Inc. | 485,902 | $5.9B | 0.11% | |
| 122 | OFSOFS Capital Corp. | 439,898 | $5.8B | 0.11% | |
| 123 | —Guggenheim BulletShares Invest | 264,303 | $5.7B | 0.11% | |
| 124 | —Guggenheim BulletShares Invest | 263,779 | $5.6B | 0.11% | |
| 125 | —Guggenheim BulletShares Invest | 261,895 | $5.6B | 0.11% | |
| 126 | —Guggenheim BulletShares Corpor | 264,259 | $5.6B | 0.11% | |
| 127 | FSICUSDFS Investment Corp. | 663,535 | $5.6B | 0.11% | |
| 128 | VAREURVarian Medical Systems Inc. | 53,321 | $5.3B | 0.10% | |
| 129 | MUBiShares National AMT-Free Muni | 46,277 | $5.1B | 0.10% | |
| 130 | IYFDow Jones US Financial Sector | 45,352 | $5.1B | 0.10% | |
| 131 | XLIIndustrial Select Sector - SPD | 69,868 | $5.0B | 0.10% | |
| 132 | IPHSEURInnophos Holdings Inc | 93,494 | $4.6B | 0.09% | |
| 133 | BMRCBank of Marin (CA) | 67,019 | $4.6B | 0.09% | |
| 134 | —Halyard Health Inc. | 101,454 | $4.6B | 0.09% | |
| 135 | —Raven Industries Inc. | 139,150 | $4.5B | 0.09% | |
| 136 | FWRDUSDForward Air Corp. | 77,542 | $4.4B | 0.08% | |
| 137 | MOVMovado Group Inc. | 158,172 | $4.4B | 0.08% | |
| 138 | —iShares iBonds Sep 2020 Amt Fr | 172,180 | $4.4B | 0.08% | |
| 139 | LQDiShares iBoxx Corporate Bond E | 35,575 | $4.3B | 0.08% | |
| 140 | SAMThe Boston Beer Company Inc. | 26,682 | $4.2B | 0.08% | |
| 141 | CULPCulp Inc. | 125,156 | $4.1B | 0.08% | |
| 142 | XLYConsumer Discret Select Sector | 45,484 | $4.1B | 0.08% | |
| 143 | THRThermon Group Holdings Inc. | 226,006 | $4.1B | 0.08% | |
| 144 | —Luxoft Holding Inc | 83,849 | $4.0B | 0.08% | |
| 145 | VBTXVeritex Holdings | 146,423 | $3.9B | 0.08% | |
| 146 | MAINMain Street Capital Corp. | 98,998 | $3.9B | 0.08% | |
| 147 | SPYS&P 500 - SPDR | 15,634 | $3.9B | 0.08% | |
| 148 | HLTHilton Worldwide Holdings Inc. | 55,478 | $3.9B | 0.07% | |
| 149 | —Monotype Imaging Holdings Inc. | 198,990 | $3.8B | 0.07% | |
| 150 | PTBPotbelly Corp. | 307,129 | $3.8B | 0.07% | |
| 151 | —Guggenheim BulletShares Invest | 181,472 | $3.8B | 0.07% | |
| 152 | TECHTechne Corp. | 31,148 | $3.8B | 0.07% | |
| 153 | FELEFranklin Electric Co. Inc. | 79,119 | $3.5B | 0.07% | |
| 154 | RMAXRE/MAX Holdings Inc. | 55,623 | $3.5B | 0.07% | |
| 155 | MCCUSDMedley Capital Corp. | 587,221 | $3.5B | 0.07% | |
| 156 | GSBDGoldman Sachs BDC Inc. | 150,528 | $3.4B | 0.07% | |
| 157 | —Apollo Investment Corp. | 551,102 | $3.4B | 0.06% | |
| 158 | REZiShares Residential Real Estat | 52,676 | $3.4B | 0.06% | |
| 159 | GOOGLAlphabet Inc. - Class A | 3,295 | $3.2B | 0.06% | |
| 160 | —iShares iBonds Sep 2019 Amt Fr | 120,676 | $3.1B | 0.06% | |
| 161 | —Snyder's-Lance Inc. | 79,461 | $3.0B | 0.06% | |
| 162 | RBCRBC Bearings Incorporated | 23,757 | $3.0B | 0.06% | |
| 163 | VCLTVanguard Long Term Corporate B | 30,925 | $2.9B | 0.06% | |
| 164 | STTBarclays Capital High Yield Bo | 75,705 | $2.8B | 0.05% | |
| 165 | HYGHigh Yield Corporate Bond Fund | 31,749 | $2.8B | 0.05% | |
| 166 | JBTJohn Bean Technologies Corp. | 27,540 | $2.8B | 0.05% | |
| 167 | VREXVarex Imaging Corp | 78,491 | $2.7B | 0.05% | |
| 168 | —Alcentra Capital Corporation | 247,583 | $2.7B | 0.05% | |
| 169 | IWNRussell 2000 Value Index - iSh | 20,258 | $2.5B | 0.05% | |
| 170 | PFLTPennantPark Floating Rate Capi | 171,462 | $2.5B | 0.05% | |
| 171 | VGKEuropean ETF - Vanguard | 40,272 | $2.3B | 0.04% | |
| 172 | XLEEnergy Select Sector - SPDR | 31,417 | $2.2B | 0.04% | |
| 173 | —CM Finance Inc. | 221,051 | $2.1B | 0.04% | |
| 174 | SPTISPDR Barclays Intermediate Ter | 32,118 | $1.9B | 0.04% | |
| 175 | IWORussell 2000 Growth Index - iS | 10,088 | $1.8B | 0.03% | |
| 176 | XLFIConsumer Staples Select Sector | 31,778 | $1.7B | 0.03% | |
| 177 | —Capitala Finance Corp. | 163,916 | $1.6B | 0.03% | |
| 178 | EXPOExponent Inc. | 19,585 | $1.4B | 0.03% | |
| 179 | BRK-BBerkshire Hathaway Inc. - Clas | 5 | $1.4B | 0.03% | |
| 180 | —Solar Senior Capital Ltd. | 79,159 | $1.4B | 0.03% | |
| 181 | AQLTiShares Muni Bond 2023 | 52,451 | $1.3B | 0.03% | |
| 182 | IGSBiShares Barclays 1-3 Year Inve | 12,227 | $1.3B | 0.02% | |
| 183 | IDUDow Jones US Utilities - iShar | 9,601 | $1.3B | 0.02% | |
| 184 | —KCAP Financial Inc | 340,472 | $1.2B | 0.02% | |
| 185 | XLBMaterials Select Sector - SPDR | 21,693 | $1.2B | 0.02% | |
| 186 | ITGartner Inc | 9,380 | $1.2B | 0.02% | |
| 187 | IAUUSDiShares Gold Trust | 88,786 | $1.1B | 0.02% | |
| 188 | —Capstead Mortgage Corp. | 110,509 | $1.1B | 0.02% | |
| 189 | VNQREIT Index - Vanguard | 12,532 | $1.0B | 0.02% | |
| 190 | FSPFranklin Street Properties Cor | 80,000 | $850.0M | 0.02% | |
| 191 | JPMJP Morgan Chase & Company | 7,184 | $686.0M | 0.01% | |
| 192 | VVisa, Inc. - A | 6,507 | $685.0M | 0.01% | |
| 193 | IVVS&P 500 Index Fund - iShares | 2,621 | $663.0M | 0.01% | |
| 194 | IVES&P 500 Value Index - iShares | 5,762 | $622.0M | 0.01% | |
| 195 | IVWS&P 500 Growth Index - iShares | 3,850 | $552.0M | 0.01% | |
| 196 | QCOMQualcomm Inc. | 10,504 | $545.0M | 0.01% | |
| 197 | IWPRussell Midcap Growth Index Fu | 4,455 | $504.0M | 0.01% | |
| 198 | —Snyder's-Lance Inc. | 12,091 | $461.0M | 0.01% | |
| 199 | DLNWisdomTree LargeCap Dividend F | 5,077 | $441.0M | 0.01% | |
| 200 | BROBrown & Brown Inc. | 8,745 | $421.0M | 0.01% |