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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
MBB icon
76
iShares MBS ETF
MBB
$39.1B
$5.47M 0.34%
51,628
+9,275
+22% +$969K
BRO icon
77
Brown & Brown
BRO
$24B
$5.44M 0.34%
339,110
+26,990
+9% +$441K
XLP icon
78
State Street Consumer Staples Select Sector SPDR ETF
XLP
$14.9B
$5.37M 0.33%
134,910
+25,224
+23% +$1.03M
CYS
79
DELISTED
CYS Investments Inc.
CYS
$5.31M 0.33%
652,880
– –
HD icon
80
Home Depot
HD
$339B
$4.93M 0.31%
65,061
-1,885
-3% -$145K
IBCC
81
DELISTED
iShares iBonds Mar 2018 Term Corporate ex-Financials ETF
IBCC
$4.78M 0.3%
192,836
+11,992
+7% +$292K
XOM icon
82
ExxonMobil
XOM
$643B
$4.78M 0.3%
55,503
+4,167
+8% +$376K
MFIN icon
83
Medallion Financial
MFIN
$244M
$4.74M 0.29%
318,330
– –
VCIT icon
84
Vanguard Intermediate-Term Corporate Bond ETF
VCIT
$66.4B
$4.66M 0.29%
55,796
+2,243
+4% +$186K
SPIB icon
85
State Street SPDR Portfolio Intermediate Term Corporate Bond ETF
SPIB
$11.5B
$4.59M 0.28%
136,093
+7,519
+6% +$252K
HRZN icon
86
Horizon Technology Finance
HRZN
$308M
$4.42M 0.27%
332,194
– –
DECK icon
87
Deckers Outdoor
DECK
$13.6B
$4.37M 0.27%
397,584
-41,754
-10% -$405K
MVC
88
DELISTED
MVC Capital, Inc.
MVC
$4.18M 0.26%
320,400
-50,668
-14% -$646K
COP icon
89
ConocoPhillips
COP
$145B
$4.15M 0.26%
59,686
+4,515
+8% +$301K
GLAD icon
90
Gladstone Capital
GLAD
$430M
$4.14M 0.26%
237,404
-1,622
-0.7% -$27.6K
PFLT icon
91
PennantPark Floating Rate Capital
PFLT
$709M
$4.14M 0.26%
300,733
+21,962
+8% +$302K
NLY icon
92
Annaly Capital Management
NLY
$17.2B
$4.11M 0.25%
88,679
– –
MFIC icon
93
MidCap Financial Investment
MFIC
$801M
$3.89M 0.24%
159,121
-32,790
-17% -$796K
CODI icon
94
Compass Diversified
CODI
$795M
$3.85M 0.24%
216,200
– –
GWW icon
95
W.W. Grainger
GWW
$64.7B
$3.77M 0.23%
14,412
+1,231
+9% +$320K
LSTR icon
96
Landstar System
LSTR
$6B
$3.75M 0.23%
66,921
+4,151
+7% +$227K
NKE icon
97
Nike
NKE
$63.3B
$3.67M 0.23%
100,980
+10,302
+11% +$336K
IEF icon
98
iShares 7-10 Year Treasury Bond ETF
IEF
$47.3B
$3.61M 0.22%
35,352
+7,198
+26% +$728K
BCIC
99
BCP Investment Corp
BCIC
$91.3M
$3.49M 0.22%
38,951
+2,192
+6% +$209K
CBSH icon
100
Commerce Bancshares
CBSH
$8.59B
$3.44M 0.21%
148,214
+17,682
+14% +$421K
2 3
4
5 6

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BFS
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EWM
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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.