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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
-1.13%
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
$7.13B
AUM Growth
-$398M
Cap. Flow
-$289M
Cap. Flow %
-4.05%
Top 10 Hldgs %
20.62%
Holding
310
New
8
Increased
136
Reduced
141
Closed
11

Top Buys

Rank Stock Value
1
BIPC icon
Brookfield Infrastructure
BIPC
+$44.8M
2
MBB icon
iShares MBS ETF
MBB
+$17.7M
3
KDP icon
Keurig Dr Pepper
KDP
+$12.9M
4
SLG icon
SL Green Realty
SLG
+$9.06M
5
EMXC icon
iShares MSCI Emerging Markets ex China ETF
EMXC
+$8.33M

Top Sells

Rank Stock Value
1
LIN icon
Linde
LIN
+$38.1M
2
CRL icon
Charles River Laboratories
CRL
+$24.9M
3
PEP icon
PepsiCo
PEP
+$16.5M
4
BSCO
Invesco BulletShares 2024 Corporate Bond ETF
BSCO
+$11.5M
5
GGG icon
Graco
GGG
+$11.2M

Sector Composition

Rank Sector Weight
1 Financials 18.7%
2 Industrials 13.71%
3 Technology 13.44%
4 Consumer Discretionary 9.7%
5 Consumer Staples 7.49%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
BBDC icon
151
Barings BDC
BBDC
$965M
$4.97M 0.07%
451,204
+945
+0.2% +$10.2K
MDYG icon
152
State Street SPDR S&P 400 Mid Cap Growth ETF
MDYG
$2.95B
$4.96M 0.07%
65,628
+23,073
+54% +$1.79M
NWN icon
153
Northwest Natural Holdings
NWN
$2.12B
$4.92M 0.07%
107,028
+618
+0.6% +$31.6K
PNNT
154
Pennant Park Investment Corp
PNNT
$241M
$4.67M 0.07%
720,384
+1,391
+0.2% +$9.13K
SCM icon
155
Stellus Capital Investment Corp
SCM
$243M
$4.55M 0.06%
348,445
+1,226
+0.4% +$16.1K
TSLX icon
156
Sixth Street Specialty
TSLX
$1.81B
$4.54M 0.06%
204,589
+1,287
+0.6% +$29.5K
NTUS
157
DELISTED
Natus Medical Inc
NTUS
$4.53M 0.06%
180,763
+1,230
+0.7% +$31.3K
NP
158
DELISTED
Neenah, Inc. Common Stock
NP
$4.41M 0.06%
94,499
+1,381
+1% +$67.3K
IBMO icon
159
iShares iBonds Dec 2026 Term Muni Bond ETF
IBMO
$576M
$4.34M 0.06%
161,349
-23,144
-13% -$626K
XLF icon
160
State Street Financial Select Sector SPDR ETF
XLF
$58.2B
$4.31M 0.06%
114,937
+3,850
+3% +$144K
IBMN
161
DELISTED
iShares iBonds Dec 2025 Term Muni Bond ETF
IBMN
$4.13M 0.06%
147,570
+3,872
+3% +$109K
IBML
162
DELISTED
iShares iBonds Dec 2023 Term Muni Bond ETF
IBML
$4.12M 0.06%
158,408
+4,394
+3% +$115K
RVNU icon
163
Xtrackers Municipal Infrastructure Revenue Bond Active ETF
RVNU
$144M
$4.1M 0.06%
141,241
-17,937
-11% -$530K
OFS icon
164
OFS Capital
OFS
$51.9M
$4.01M 0.06%
387,302
-1,219
-0.3% -$12.2K
XLI icon
165
State Street Industrial Select Sector SPDR ETF
XLI
$33.7B
$3.83M 0.05%
39,191
+1,819
+5% +$187K
XLB icon
166
State Street Materials Select Sector SPDR ETF
XLB
$8.66B
$3.77M 0.05%
95,346
+4,838
+5% +$201K
GSBD icon
167
Goldman Sachs BDC
GSBD
$1.1B
$3.52M 0.05%
191,909
+1,570
+0.8% +$30K
XHB icon
168
State Street SPDR S&P Homebuilders ETF
XHB
$1.56B
$3.49M 0.05%
48,681
+1,683
+4% +$127K
IBTD
169
DELISTED
iShares iBonds Dec 2023 Term Treasury ETF
IBTD
$3.21M 0.05%
125,389
-39,265
-24% -$1.01M
PAHC icon
170
Phibro Animal Health
PAHC
$1.39B
$3.11M 0.04%
144,469
-67,792
-32% -$1.63M
IGSB icon
171
iShares 1-5 Year Investment Grade Corporate Bond ETF
IGSB
$23B
$2.95M 0.04%
+53,924
New +$2.95M
OBDC icon
172
Blue Owl Capital
OBDC
$5.74B
$2.94M 0.04%
208,107
+1,378
+0.7% +$20K
MUB icon
173
iShares National Muni Bond ETF
MUB
$45.5B
$2.88M 0.04%
24,757
+723
+3% +$84.8K
TFI icon
174
State Street SPDR Nuveen ICE Municipal Bond ETF
TFI
$3.14B
$2.87M 0.04%
55,638
+1,624
+3% +$84.7K
CSWC icon
175
Capital Southwest
CSWC
$1.6B
$2.69M 0.04%
106,898
+488
+0.5% +$12.7K
5 6
7
8 9

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Confluence Investment Management's Q3 2021 Portfolio in Review

As of Q3 2021, Confluence Investment Management held 310 positions worth $7.13B, down 5.3% from $7.52B the previous quarter. Its ten largest holdings account for 21% of the portfolio.

Confluence Investment Management withdrew a net $289M in Q3 2021, closing 11 positions and reducing 141 holdings. Its most notable exit was Invesco BulletShares 2024 Corporate Bond ETF, an estimated $11.5M position sold in full.

By sector, the portfolio is most concentrated in Financials at 19% of assets, up from 18% a quarter earlier, followed by Industrials and Technology.

Against the trend, Confluence Investment Management opened a new position in Keurig Dr Pepper worth $12.6M.

  • Confluence Investment Management's largest Q3 2021 buy was Keurig Dr Pepper: 367,980 shares worth $12.6M.
  • Confluence Investment Management added most to Brookfield Infrastructure in Q3 2021, an estimated $44.8M increase.
  • Confluence Investment Management's biggest Q3 2021 reduction was Linde, cutting an estimated $38.1M.
  • Confluence Investment Management fully exited Invesco BulletShares 2024 Corporate Bond ETF in Q3 2021, selling an estimated $11.5M.
  • Confluence Investment Management's ten largest holdings make up 21% of its $7.13B portfolio in Q3 2021.
  • Confluence Investment Management opened 8 new positions and closed 11 in Q3 2021.
  • Confluence Investment Management's portfolio value fell 5.3% quarter-over-quarter to $7.13B.

Based on Confluence Investment Management's 13F filing for Q3 2021, filed 4 Oct 2021.