CONFLUENCE INVESTMENT MANAGEMENT LLC Q4 2016 Filing
Filed February 14, 2017
Portfolio Value
$4.1T
Holdings
235
Report Date
Q4 2016
Filing Type
13F-HR
All Holdings (235 positions)
| # | Stock | Shares | Value | % Portfolio | Type |
|---|---|---|---|---|---|
| 101 | —Guggenheim BulletShares Corpor | 449,584 | $9.2B | 0.22% | |
| 102 | TPVGTriplepoint Venture Growth BDC | 749,703 | $8.8B | 0.21% | |
| 103 | MLNVanEck Vectors Long Municipal | 454,232 | $8.8B | 0.21% | |
| 104 | —Triangle Capital Corp | 476,784 | $8.7B | 0.21% | |
| 105 | TFISPDR Nuveen Barclays Capital M | 178,269 | $8.5B | 0.21% | |
| 106 | —iShares Corporate ex Financial | 326,547 | $8.0B | 0.20% | |
| 107 | FSICUSDFS Investment Corp. | 777,470 | $8.0B | 0.19% | |
| 108 | IJJS&P MidCap 400 Value Index Fun | 51,787 | $7.5B | 0.18% | |
| 109 | TSLXUSDTPG Specialty Lending Inc Com | 398,487 | $7.4B | 0.18% | |
| 110 | PDCOEURPatterson Companies Inc. | 180,224 | $7.4B | 0.18% | |
| 111 | PNNTPennantPark Investment Corp. | 886,750 | $6.8B | 0.16% | |
| 112 | —iShares iBonds Dec 2022 AMT-F | 258,420 | $6.5B | 0.16% | |
| 113 | IGIBiShares Interm. Term Corporate | 59,846 | $6.5B | 0.16% | |
| 114 | IYWDow Jones US Technology - iSha | 53,159 | $6.4B | 0.16% | |
| 115 | —CYS Investments Inc | 774,326 | $6.0B | 0.15% | |
| 116 | IWNRussell 2000 Value Index - iSh | 47,882 | $5.7B | 0.14% | |
| 117 | IJKS&P MidCap 400 Growth Index Fu | 30,794 | $5.6B | 0.14% | |
| 118 | —Black Knight Financial Service | 143,864 | $5.4B | 0.13% | |
| 119 | —iShares iBonds Dec 2021 AMT-Fr | 212,428 | $5.4B | 0.13% | |
| 120 | SCMStellus Capital Investment | 434,436 | $5.2B | 0.13% | |
| 121 | OFSOFS Capital Corp. | 379,833 | $5.2B | 0.13% | |
| 122 | IWPRussell Midcap Growth Index Fu | 49,404 | $4.8B | 0.12% | |
| 123 | —Guggenheim BulletShares Corpor | 226,807 | $4.8B | 0.12% | |
| 124 | —Guggenheim BulletShares Corpor | 227,093 | $4.8B | 0.12% | |
| 125 | —Guggenheim BulletShares Corpor | 226,276 | $4.8B | 0.12% | |
| 126 | —Guggenheim BulletShares Invest | 229,056 | $4.8B | 0.12% | |
| 127 | IWORussell 2000 Growth Index - iS | 31,098 | $4.8B | 0.12% | |
| 128 | —Guggenheim BulletShares Invest | 227,859 | $4.8B | 0.12% | |
| 129 | MAINMain Street Capital Corp. | 126,288 | $4.6B | 0.11% | |
| 130 | IJTS&P SmallCap 600 Growth Index | 29,515 | $4.4B | 0.11% | |
| 131 | MCCUSDMedley Capital Corp. | 587,221 | $4.4B | 0.11% | |
| 132 | HLTHilton Worldwide Holdings Inc | 156,690 | $4.3B | 0.10% | |
| 133 | VAREURVarian Medical Systems Inc. | 45,907 | $4.1B | 0.10% | |
| 134 | NLYEURAnnaly Capital Management Inc. | 411,902 | $4.1B | 0.10% | |
| 135 | MUBiShares National AMT-Free Muni | 37,135 | $4.0B | 0.10% | |
| 136 | IUSViShares Core US Values - ETF | 81,099 | $4.0B | 0.10% | |
| 137 | VWOVanguard MSCI Emerging Markets | 109,433 | $3.9B | 0.10% | |
| 138 | —iShares iBonds Sep 2020 Amt Fr | 154,328 | $3.9B | 0.09% | |
| 139 | XLYConsumer Discret Select Sector | 47,270 | $3.8B | 0.09% | |
| 140 | VCLTVanguard Long Term Corporate B | 42,247 | $3.8B | 0.09% | |
| 141 | XLVHealth Care Select Sector - SP | 51,456 | $3.5B | 0.09% | |
| 142 | —VCA Antech Inc. | 51,359 | $3.5B | 0.09% | |
| 143 | BMRCBank of Marin (CA) | 48,631 | $3.4B | 0.08% | |
| 144 | VNQREIT Index - Vanguard | 39,547 | $3.3B | 0.08% | |
| 145 | XLIIndustrial Select Sector - SPD | 52,075 | $3.2B | 0.08% | |
| 146 | GSBDGoldman Sachs BDC Inc. | 137,638 | $3.2B | 0.08% | |
| 147 | —Apollo Investment Corp. | 551,102 | $3.2B | 0.08% | |
| 148 | MLIMueller Industries Inc. | 77,447 | $3.1B | 0.08% | |
| 149 | —Raven Industries Inc | 120,606 | $3.0B | 0.07% | |
| 150 | SPYS&P 500 - SPDR | 13,378 | $3.0B | 0.07% | |
| 151 | —Snyders-Lance Inc | 77,847 | $3.0B | 0.07% | |
| 152 | —Corporate Executive Board Co. | 47,780 | $2.9B | 0.07% | |
| 153 | GOOGLAlphabet Inc. Class - A | 3,609 | $2.9B | 0.07% | |
| 154 | IGLBiShares 10 Year Credit Bond | 47,662 | $2.8B | 0.07% | |
| 155 | —Natus Medical Inc | 80,164 | $2.8B | 0.07% | |
| 156 | —iShares iBonds Sep 2019 Amt Fr | 107,917 | $2.7B | 0.07% | |
| 157 | —Halyard Health Inc | 73,647 | $2.7B | 0.07% | |
| 158 | —Onebeacon Insurance Group Ltd | 169,630 | $2.7B | 0.07% | |
| 159 | GOODGladstone Commercial Corp. | 133,376 | $2.7B | 0.07% | |
| 160 | —Monotype Imaging Holdings Inc | 134,056 | $2.7B | 0.06% | |
| 161 | PTBPotbelly Corp | 201,078 | $2.6B | 0.06% | |
| 162 | FWRDUSDForward Air Corp. | 54,751 | $2.6B | 0.06% | |
| 163 | LQDiShares iBoxx Corporate Bond E | 21,997 | $2.6B | 0.06% | |
| 164 | GQ9Gold Shares - SPDR | 23,501 | $2.6B | 0.06% | |
| 165 | XLEEnergy Select Sector - SPDR | 33,847 | $2.5B | 0.06% | |
| 166 | IYFDow Jones US Financial Sector | 24,617 | $2.5B | 0.06% | |
| 167 | —Guggenheim BulletShares Invest | 122,813 | $2.5B | 0.06% | |
| 168 | XLFIConsumer Staples Select Sector | 47,140 | $2.4B | 0.06% | |
| 169 | EXPOExponent Inc. | 39,765 | $2.4B | 0.06% | |
| 170 | JBTJohn Bean Technologies Corp. | 27,538 | $2.4B | 0.06% | |
| 171 | IJSS&P SmallCap 600 Value Index F | 16,646 | $2.3B | 0.06% | |
| 172 | THRThermon Group Holdings Inc | 121,651 | $2.3B | 0.06% | |
| 173 | REZiShares Residential Real Estat | 37,255 | $2.3B | 0.06% | |
| 174 | —Alcentra Capital Corporation | 191,932 | $2.3B | 0.06% | |
| 175 | TECHTechne Corp. | 22,090 | $2.3B | 0.06% | |
| 176 | FELEFranklin Electric Co. Inc. | 57,804 | $2.2B | 0.05% | |
| 177 | HAEHaemonetics Corporation | 55,547 | $2.2B | 0.05% | |
| 178 | —CM Finance Inc | 239,457 | $2.2B | 0.05% | |
| 179 | PFLTPennantPark Floating Rate Capi | 155,556 | $2.2B | 0.05% | |
| 180 | VBKSmall Cap Growth - Vanguard ET | 12,731 | $1.7B | 0.04% | |
| 181 | RBCRBC Bearings Incorporated | 17,523 | $1.6B | 0.04% | |
| 182 | CODICompass Diversified Holdings | 88,200 | $1.6B | 0.04% | |
| 183 | CULPCulp Inc. | 41,560 | $1.5B | 0.04% | |
| 184 | SAMBoston Beer Co Inc/The | 8,747 | $1.5B | 0.04% | |
| 185 | —Solar Senior Capital Ltd. | 89,022 | $1.5B | 0.04% | |
| 186 | —KCAP Financial Inc | 340,472 | $1.4B | 0.03% | |
| 187 | BKCCUSDBlackRock Kelso Capital Corp. | 180,701 | $1.3B | 0.03% | |
| 188 | BRK-BBerkshire Hathaway Inc. - Clas | 5 | $1.2B | 0.03% | |
| 189 | GAINGladstone Investment Corp. | 142,533 | $1.2B | 0.03% | |
| 190 | IVVS&P 500 Index Fund - iShares | 5,147 | $1.2B | 0.03% | |
| 191 | —Capstead Mortgage Corp. | 110,509 | $1.1B | 0.03% | |
| 192 | —Capitala Finance Corp | 85,495 | $1.1B | 0.03% | |
| 193 | IAUUSDGold Trust - iShares | 93,330 | $1.0B | 0.03% | |
| 194 | DLNWisdomTree LargeCap Dividend F | 11,789 | $942.0M | 0.02% | |
| 195 | XLBMaterials Select Sector - SPDR | 18,706 | $930.0M | 0.02% | |
| 196 | FSPFranklin Street Properties Cor | 60,000 | $778.0M | 0.02% | |
| 197 | —Market Vectors Int Muni Index | 32,098 | $744.0M | 0.02% | |
| 198 | IGSBiShares Barclays 1-3 Year Inve | 5,375 | $564.0M | 0.01% | |
| 199 | VTIVanguard Total Stock Market | 4,531 | $523.0M | 0.01% | |
| 200 | IDV*Dow Jones U.S. Select Dividend | 16,934 | $501.0M | 0.01% |