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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
+4.44%
1 Year Est. Return
+9.79%
3 Year Est. Return
+34.83%
5 Year Est. Return
+43.81%
10 Year Est. Return
+166.84%
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
SIAL
51
DELISTED
SIGMA - ALDRICH CORP
SIAL
$11M 0.68%
128,755
+3,953
+3% +$333K
DJP icon
52
iPath Bloomberg Commodity Index Total Return ETN due 12 June 2036
DJP
$778M
$10.6M 0.66%
285,512
+80,654
+39% +$3.04M
PFX icon
53
PhenixFIN
PFX
$83.1M
$10.6M 0.66%
38,409
+1,552
+4% +$432K
DISCK
54
DELISTED
Discovery, Inc. Series C Common Stock
DISCK
$10.5M 0.65%
267,812
-204
-0.1% -$7.55K
GOOG icon
55
Alphabet (Google) Class C
GOOG
$4.58T
$10.4M 0.65%
478,386
+39,427
+9% +$871K
BBBY
56
DELISTED
Bed Bath & Beyond Inc
BBBY
$10.4M 0.64%
134,318
+6,820
+5% +$511K
LOW icon
57
Lowe's Companies
LOW
$121B
$10.3M 0.64%
215,395
-1,154
-0.5% -$52.4K
TJX icon
58
TJX Companies
TJX
$174B
$10.1M 0.63%
357,928
+9,280
+3% +$247K
BRK.B icon
59
Berkshire Hathaway Class B
BRK.B
$1.11T
$9.79M 0.61%
86,259
+4,579
+6% +$528K
MA icon
60
Mastercard
MA
$502B
$9.74M 0.6%
144,820
+9,650
+7% +$606K
XLE icon
61
State Street Energy Select Sector SPDR ETF
XLE
$38.2B
$9.74M 0.6%
234,930
+20,628
+10% +$850K
XLV icon
62
State Street Health Care Select Sector SPDR ETF
XLV
$41.6B
$9.45M 0.59%
186,721
+30,770
+20% +$1.55M
HTGC icon
63
Hercules Capital
HTGC
$3.15B
$9.25M 0.57%
606,483
-45,381
-7% -$658K
WFC icon
64
Wells Fargo
WFC
$270B
$9.19M 0.57%
222,511
+9,586
+5% +$409K
SLRC icon
65
SLR Investment Corp
SLRC
$716M
$9.19M 0.57%
414,233
+41,245
+11% +$932K
HAL icon
66
Halliburton
HAL
$26.9B
$8.7M 0.54%
180,673
+8,647
+5% +$405K
IJJ icon
67
iShares S&P Mid-Cap 400 Value ETF
IJJ
$8.98B
$8.69M 0.54%
+160,900
New +$8.58M
TCPC icon
68
BlackRock TCP Capital
TCPC
$287M
$8.27M 0.51%
509,353
+53,215
+12% +$848K
XLI icon
69
State Street Industrial Select Sector SPDR ETF
XLI
$33.6B
$7.8M 0.48%
168,003
-20,666
-11% -$935K
NMFC icon
70
New Mountain Finance
NMFC
$692M
$7.29M 0.45%
505,565
– –
BBDC icon
71
Barings BDC
BBDC
$889M
$6.82M 0.42%
232,312
-35,000
-13% -$1.02M
XLY icon
72
State Street Consumer Discretionary Select Sector SPDR ETF
XLY
$22.8B
$6.61M 0.41%
218,184
+32,058
+17% +$951K
SYK icon
73
Stryker
SYK
$128B
$6.05M 0.38%
89,502
+7,802
+10% +$539K
IGIB icon
74
iShares 5-10 Year Investment Grade Corporate Bond ETF
IGIB
$18.6B
$5.87M 0.36%
108,696
+25,792
+31% +$1.39M
IJK icon
75
iShares S&P Mid-Cap 400 Growth ETF
IJK
$11B
$5.85M 0.36%
+168,116
New +$5.72M
1 2
3
4 5

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BFG
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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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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.