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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
+6.69%
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
$1.81B
AUM Growth
+$194M
Cap. Flow
+$94.1M
Cap. Flow %
5.2%
Top 10 Hldgs %
20.73%
Holding
272
New
18
Increased
142
Reduced
83
Closed
17

Top Buys

Rank Stock Value
1
NTRS icon
Northern Trust
NTRS
+$16.8M
2
CVX icon
Chevron
CVX
+$12.6M
3
IJK icon
iShares S&P Mid-Cap 400 Growth ETF
IJK
+$11.3M
4
NXPI icon
NXP Semiconductors
NXPI
+$9.92M
5
RYN icon
Rayonier
RYN
+$8.28M

Top Sells

Rank Stock Value
1
RLI icon
RLI Corp
RLI
+$21.2M
2
DJP icon
iPath Bloomberg Commodity Index Total Return ETN due 12 June 2036
DJP
+$10.6M
3
JNK icon
State Street SPDR Bloomberg High Yield Bond ETF
JNK
+$7.59M
4
LDR
Landauer Inc
LDR
+$7.53M
5
HYG icon
iShares iBoxx $ High Yield Corporate Bond ETF
HYG
+$7.53M

Sector Composition

Rank Sector Weight
1 Financials 21.26%
2 Industrials 12.98%
3 Healthcare 8.69%
4 Technology 8.3%
5 Energy 5.76%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
BCIC
126
BCP Investment Corp
BCIC
$90.6M
$3.31M 0.18%
41,016
+2,065
+5% +$172K
TFI icon
127
State Street SPDR Nuveen ICE Municipal Bond ETF
TFI
$3.13B
$3.17M 0.18%
70,195
+31,080
+79% +$1.42M
IBDD
128
DELISTED
iShares iBonds Mar 2023 Term Corporate ETF
IBDD
$3.11M 0.17%
125,112
+7,400
+6% +$185K
IBCD
129
DELISTED
iShares iBonds Mar 2020 Term Corporate ex-Financials ETF
IBCD
$3.1M 0.17%
129,040
+7,980
+7% +$193K
IBCE
130
DELISTED
iShares iBonds Mar 2023 Term Corporate ex-Financials ETF
IBCE
$2.99M 0.17%
131,308
+8,720
+7% +$201K
HTS
131
DELISTED
HATTERAS FINANCIAL CORP
HTS
$2.88M 0.16%
176,282
– –
OHAI
132
DELISTED
OHA Investment Corporation
OHAI
$2.83M 0.16%
378,341
-31,528
-8% -$239K
MCGC
133
DELISTED
MCG CAP CORP
MCGC
$2.76M 0.15%
627,656
-16,000
-2% -$76.5K
ACAS
134
DELISTED
American Capital Ltd
ACAS
$2.67M 0.15%
170,708
– –
SUNS
135
DELISTED
SLR Senior Investment Corp. Common Stock
SUNS
$2.67M 0.15%
146,272
– –
IEI icon
136
iShares 3-7 Year Treasury Bond ETF
IEI
$17.8B
$2.61M 0.14%
21,778
+15,814
+265% +$1.92M
BKCC
137
DELISTED
BlackRock Capital Investment Corporation
BKCC
$2.6M 0.14%
278,851
-9,696
-3% -$92.3K
SHM icon
138
State Street SPDR Nuveen ICE Short Term Municipal Bond ETF
SHM
$3.47B
$2.58M 0.14%
53,181
+17,755
+50% +$862K
ZBRA icon
139
Zebra Technologies
ZBRA
$17.6B
$2.49M 0.14%
46,037
+1,181
+3% +$59.2K
MAIN icon
140
Main Street Capital
MAIN
$5.31B
$2.48M 0.14%
75,934
-18,300
-19% -$571K
NPO icon
141
Enpro
NPO
$7.07B
$2.37M 0.13%
41,029
-1,341
-3% -$76.9K
RBA icon
142
RB Global
RBA
$20.7B
$2.36M 0.13%
102,882
+3,945
+4% +$80.7K
GAIN icon
143
Gladstone Investment Corp
GAIN
$671M
$2.35M 0.13%
291,979
– –
XLB icon
144
State Street Materials Select Sector SPDR ETF
XLB
$8.52B
$2.31M 0.13%
99,866
-14,682
-13% -$323K
PDCO
145
DELISTED
Patterson Companies, Inc.
PDCO
$2.19M 0.12%
53,151
+2,117
+4% +$87.8K
VCSH icon
146
Vanguard Short-Term Corporate Bond ETF
VCSH
$44.7B
$1.96M 0.11%
24,544
+1,342
+6% +$107K
IDU icon
147
iShares US Utilities ETF
IDU
$1.41B
$1.95M 0.11%
40,642
-5,816
-13% -$280K
BSCH
148
DELISTED
Guggenheim BulletShares 2017 Corporate Bond ETF
BSCH
$1.92M 0.11%
84,911
+5,690
+7% +$129K
BSCI
149
DELISTED
Invesco BulletShares 2018 Corporate Bond ETF
BSCI
$1.9M 0.1%
90,648
+5,519
+6% +$116K
IBCB
150
DELISTED
ISHARES IBONDS MAR 2016 CORPORATE EX-FINANCIALS ETF
IBCB
$1.88M 0.1%
18,963
+1,118
+6% +$112K
4 5
6
7 8

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EWM
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Confluence Investment Management's Q4 2013 Portfolio in Review

As of Q4 2013, Confluence Investment Management held 272 positions worth $1.81B, up 12% from $1.61B the previous quarter. Its ten largest holdings account for 21% of the portfolio.

Confluence Investment Management deployed $94.1M of net new capital in Q4 2013, opening 18 new positions and adding to 142 existing holdings. Its largest new stake was Northern Trust: 293,257 shares worth $18.1M.

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

On the sell side, the largest reduction was State Street SPDR Bloomberg High Yield Bond ETF, an estimated $7.59M trimmed.

  • Confluence Investment Management's largest Q4 2013 buy was Northern Trust: 293,257 shares worth $18.1M.
  • Confluence Investment Management added most to Chevron in Q4 2013, an estimated $12.6M increase.
  • Confluence Investment Management's biggest Q4 2013 reduction was State Street SPDR Bloomberg High Yield Bond ETF, cutting an estimated $7.59M.
  • Confluence Investment Management fully exited RLI Corp in Q4 2013, selling an estimated $21.2M.
  • Confluence Investment Management's ten largest holdings make up 21% of its $1.81B portfolio in Q4 2013.
  • Confluence Investment Management opened 18 new positions and closed 17 in Q4 2013.
  • Confluence Investment Management's portfolio value rose 12% quarter-over-quarter to $1.81B.

Based on Confluence Investment Management's 13F filing for Q4 2013, filed 4 Feb 2014.