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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
OHAI
126
DELISTED
OHA Investment Corporation
OHAI
$3.04M 0.19%
409,869
– –
JWN
127
DELISTED
Nordstrom
JWN
$3.02M 0.19%
53,813
+6,799
+14% +$402K
IBDD
128
DELISTED
iShares iBonds Mar 2023 Term Corporate ETF
IBDD
$2.94M 0.18%
+117,712
New +$2.94M
IBCD
129
DELISTED
iShares iBonds Mar 2020 Term Corporate ex-Financials ETF
IBCD
$2.9M 0.18%
121,060
+8,064
+7% +$192K
PNY
130
DELISTED
PIEDMONT NATURAL GAS CO INC(NC
PNY
$2.88M 0.18%
87,686
+12,790
+17% +$429K
MAIN icon
131
Main Street Capital
MAIN
$5.22B
$2.82M 0.17%
94,234
+20,274
+27% +$604K
IBCE
132
DELISTED
iShares iBonds Mar 2023 Term Corporate ex-Financials ETF
IBCE
$2.81M 0.17%
122,588
+8,904
+8% +$204K
IBM icon
133
IBM
IBM
$224B
$2.81M 0.17%
15,892
+2,335
+17% +$424K
NJR icon
134
New Jersey Resources
NJR
$5.6B
$2.78M 0.17%
126,400
+20,310
+19% +$445K
BKCC
135
DELISTED
BlackRock Capital Investment Corporation
BKCC
$2.73M 0.17%
288,547
-19,608
-6% -$193K
SUNS
136
DELISTED
SLR Senior Investment Corp. Common Stock
SUNS
$2.65M 0.16%
146,272
– –
NPO icon
137
Enpro
NPO
$7.06B
$2.55M 0.16%
42,370
-1,341
-3% -$77.7K
XLB icon
138
State Street Materials Select Sector SPDR ETF
XLB
$8.62B
$2.41M 0.15%
114,548
+8,924
+8% +$183K
ACAS
139
DELISTED
American Capital Ltd
ACAS
$2.35M 0.15%
170,708
-20,375
-11% -$268K
IDU icon
140
iShares US Utilities ETF
IDU
$1.39B
$2.18M 0.14%
46,458
+3,200
+7% +$153K
GAIN icon
141
Gladstone Investment Corp
GAIN
$655M
$2.06M 0.13%
291,979
– –
PDCO
142
DELISTED
Patterson Companies, Inc.
PDCO
$2.05M 0.13%
51,034
+2,208
+5% +$89.4K
ZBRA icon
143
Zebra Technologies
ZBRA
$17.7B
$2.04M 0.13%
44,856
+10,119
+29% +$467K
FDUS icon
144
Fidus Investment
FDUS
$762M
$2.01M 0.12%
103,443
-29,823
-22% -$572K
RBA icon
145
RB Global
RBA
$18B
$2M 0.12%
98,937
+18,479
+23% +$357K
OXSQ icon
146
Oxford Square Capital
OXSQ
$158M
$1.99M 0.12%
204,301
– –
VCSH icon
147
Vanguard Short-Term Corporate Bond ETF
VCSH
$44.7B
$1.85M 0.11%
23,202
-13,492
-37% -$1.07M
FULL
148
DELISTED
Full Circle Capital Corporation
FULL
$1.84M 0.11%
215,559
-960
-0.4% -$7.81K
IBCB
149
DELISTED
ISHARES IBONDS MAR 2016 CORPORATE EX-FINANCIALS ETF
IBCB
$1.79M 0.11%
17,845
+1,069
+6% +$107K
BSCH
150
DELISTED
Guggenheim BulletShares 2017 Corporate Bond ETF
BSCH
$1.79M 0.11%
79,221
+2,669
+3% +$59.8K
4 5
6
7 8

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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.