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CIM

Confluence Investment Management Portfolio holdings

AUM $6.4B
1-Year Est. Return 9.79%
This Fund
S&P 500
This Quarter Est. Return
+4.43%
1 Year Est. Return
+9.79%
3 Year Est. Return
+34.83%
5 Year Est. Return
+43.81%
10 Year Est. Return
+168.7%
AUM
$1.61B
AUM Growth
+$161M
Cap. Flow
+$103M
Cap. Flow %
6.36%
Top 10 Hldgs %
20.07%
Holding
267
New
13
Increased
160
Reduced
63
Closed
13

Top Buys

Rank Stock Value
1
LQD icon
iShares iBoxx $ Investment Grade Corporate Bond ETF
LQD
+$10.8M
2
IJJ icon
iShares S&P Mid-Cap 400 Value ETF
IJJ
+$8.58M
3
PEP icon
PepsiCo
PEP
+$8.43M
4
MMM icon
3M
MMM
+$7.09M
5
IJK icon
iShares S&P Mid-Cap 400 Growth ETF
IJK
+$5.72M

Top Sells

Rank Stock Value
1
IGSB icon
iShares 1-5 Year Investment Grade Corporate Bond ETF
IGSB
+$9.65M
2
VWO icon
Vanguard FTSE Emerging Markets ETF
VWO
+$7.45M
3
IWN icon
iShares Russell 2000 Value ETF
IWN
+$5.18M
4
IAU icon
iShares Gold Trust
IAU
+$4.15M
5
LDR
Landauer Inc
LDR
+$3.79M

Sector Composition

Rank Sector Weight
1 Financials 21.28%
2 Industrials 12.44%
3 Healthcare 8.37%
4 Technology 7.63%
5 Consumer Staples 5.3%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
EGO icon
226
Eldorado Gold
EGO
$9.4B
$369K 0.02%
11,004
-126
-1% -$4.79K
EQNR icon
227
Equinor
EQNR
$93.2B
$368K 0.02%
+16,216
New +$355K
DEL
228
DELISTED
Deltic Timber
DEL
$361K 0.02%
5,549
+2
+0% +$126
RGLD icon
229
Royal Gold
RGLD
$18.2B
$355K 0.02%
7,305
+37
+0.5% +$1.92K
MUR icon
230
Murphy Oil
MUR
$4.75B
$353K 0.02%
5,852
-1,022
-15% -$60.2K
MCF
231
DELISTED
Contango Oil & Gas Co.
MCF
$353K 0.02%
9,612
-99
-1% -$3.73K
B
232
Barrick Mining
B
$69B
$347K 0.02%
18,646
+29
+0.2% +$512
AGU
233
DELISTED
Agrium
AGU
$343K 0.02%
4,084
-25
-0.6% -$2.19K
NGD
234
DELISTED
New Gold Inc
NGD
$337K 0.02%
56,300
-732
-1% -$4.99K
NEM icon
235
Newmont
NEM
$111B
$325K 0.02%
11,559
+40
+0.3% +$1.19K
BTU
236
DELISTED
PEABODY ENERGY CORP COM STK NEW (DE)
BTU
$321K 0.02%
1,242
+43
+4% +$11K
JEF icon
237
Jefferies Financial Group
JEF
$13B
$311K 0.02%
12,741
-4,263
-25% -$102K
PCH
238
DELISTED
PotlatchDeltic
PCH
$300K 0.02%
7,553
+130
+2% +$5.34K
HCAP
239
DELISTED
Harvest Capital Credit Corporation
HCAP
$299K 0.02%
20,000
– –
GE icon
240
GE Aerospace
GE
$391B
$295K 0.02%
2,579
-678
-21% -$77.7K
EWJ icon
241
iShares MSCI Japan ETF
EWJ
$22.6B
$294K 0.02%
+6,157
New +$285K
YCS icon
242
ProShares UltraShort Yen
YCS
$29.7M
$276K 0.02%
+17,756
New +$281K
SAR icon
243
Saratoga Investment
SAR
$321M
$265K 0.02%
14,085
– –
MUNI icon
244
PIMCO Intermediate Municipal Bond Active Exchange-Traded Fund
MUNI
$3.08B
$264K 0.02%
5,060
+850
+20% +$43.9K
MRCC
245
DELISTED
Monroe Capital Corp
MRCC
$258K 0.02%
+19,870
New +$275K
JPM icon
246
JPMorgan Chase
JPM
$949B
$253K 0.02%
4,889
-1,306
-21% -$70.1K
ACRE
247
Ares Commercial Real Estate
ACRE
$266M
$249K 0.02%
20,000
– –
FCG icon
248
First Trust Natural Gas ETF
FCG
$619M
$237K 0.01%
2,538
– –
DXJ icon
249
WisdomTree Japan Hedged Equity Fund
DXJ
$7.36B
$218K 0.01%
4,542
-1,245
-22% -$58.4K
PSEC icon
250
Prospect Capital
PSEC
$1.11B
$218K 0.01%
19,539
-22,663
-54% -$252K
7 8 9
10
11

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GT
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BFS
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EWM
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EC
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HI
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TCM
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OMC
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Confluence Investment Management's Q3 2013 Portfolio in Review

As of Q3 2013, Confluence Investment Management held 267 positions worth $1.61B, up 11% from $1.45B the previous quarter. Its ten largest holdings account for 20% of the portfolio.

Confluence Investment Management deployed $103M of net new capital in Q3 2013, opening 13 new positions and adding to 160 existing holdings. Its largest new stake was iShares S&P Mid-Cap 400 Value ETF: 160,900 shares worth $8.69M.

By sector, the portfolio is most concentrated in Financials at 21% of assets, down from 22% a quarter earlier, followed by Industrials and Healthcare.

On the sell side, the largest reduction was iShares 1-5 Year Investment Grade Corporate Bond ETF, an estimated $9.65M trimmed.

  • Confluence Investment Management's largest Q3 2013 buy was iShares S&P Mid-Cap 400 Value ETF: 160,900 shares worth $8.69M.
  • Confluence Investment Management added most to iShares iBoxx $ Investment Grade Corporate Bond ETF in Q3 2013, an estimated $10.8M increase.
  • Confluence Investment Management's biggest Q3 2013 reduction was iShares 1-5 Year Investment Grade Corporate Bond ETF, cutting an estimated $9.65M.
  • Confluence Investment Management fully exited iShares Gold Trust in Q3 2013, selling an estimated $4.15M.
  • Confluence Investment Management's ten largest holdings make up 20% of its $1.61B portfolio in Q3 2013.
  • Confluence Investment Management opened 13 new positions and closed 13 in Q3 2013.
  • Confluence Investment Management's portfolio value rose 11% quarter-over-quarter to $1.61B.

Based on Confluence Investment Management's 13F filing for Q3 2013, filed 17 Oct 2013.