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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
+2.65%
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
$3.83B
AUM Growth
+$196M
Cap. Flow
+$121M
Cap. Flow %
3.16%
Top 10 Hldgs %
20.72%
Holding
240
New
10
Increased
140
Reduced
61
Closed
17

Top Buys

Rank Stock Value
1
NXPI icon
NXP Semiconductors
NXPI
+$33.3M
2
AGN
Allergan plc
AGN
+$27.9M
3
FAST icon
Fastenal
FAST
+$15.3M
4
LOW icon
Lowe's Companies
LOW
+$13M
5
PGR icon
Progressive
PGR
+$12.5M

Top Sells

Rank Stock Value
1
WFC icon
Wells Fargo
WFC
+$22.1M
2
CVX icon
Chevron
CVX
+$18.4M
3
IJK icon
iShares S&P Mid-Cap 400 Growth ETF
IJK
+$17M
4
IJJ icon
iShares S&P Mid-Cap 400 Value ETF
IJJ
+$15M
5
VCLT icon
Vanguard Long-Term Corporate Bond ETF
VCLT
+$9.36M

Sector Composition

Rank Sector Weight
1 Financials 20.58%
2 Industrials 11.93%
3 Healthcare 10.91%
4 Technology 9.14%
5 Consumer Staples 9%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
PXD
201
DELISTED
Pioneer Natural Resource Co.
PXD
$315K 0.01%
1,699
-329
-16% -$56K
DD icon
202
DuPont de Nemours
DD
$19.1B
$314K 0.01%
2,393
+773
+48% +$103K
IJR icon
203
iShares Core S&P Small-Cap ETF
IJR
$113B
$311K 0.01%
5,018
– –
IVE icon
204
iShares S&P 500 Value ETF
IVE
$49.8B
$304K 0.01%
3,204
-1,600
-33% -$152K
VWO icon
205
Vanguard FTSE Emerging Markets ETF
VWO
$123B
$298K 0.01%
7,923
-2,062
-21% -$76.8K
VMC icon
206
Vulcan Materials
VMC
$36.7B
$262K 0.01%
2,308
-425
-16% -$50.1K
HNRG icon
207
Hallador Energy
HNRG
$713M
$254K 0.01%
32,281
-6,131
-16% -$36.8K
AA icon
208
Alcoa
AA
$12.4B
$253K 0.01%
10,364
-1,857
-15% -$45.3K
SLV icon
209
iShares Silver Trust
SLV
$28.8B
$250K 0.01%
13,727
-2,252
-14% -$41.9K
PCH
210
DELISTED
PotlatchDeltic
PCH
$232K 0.01%
5,972
-1,158
-16% -$43.5K
V icon
211
Visa
V
$683B
$231K 0.01%
2,798
-182
-6% -$14.6K
SAND
212
DELISTED
Sandstorm Gold
SAND
$228K 0.01%
45,349
-8,368
-16% -$46.9K
WTV icon
213
WisdomTree US Value Fund
WTV
$3.37B
$228K 0.01%
+7,166
New +$228K
FMC icon
214
FMC
FMC
$1.3B
$206K 0.01%
4,924
-887
-15% -$36.5K
HCAP
215
DELISTED
Harvest Capital Credit Corporation
HCAP
$203K 0.01%
16,699
– –
FYC icon
216
First Trust Small Cap Growth AlphaDEX Fund
FYC
$1.34B
$201K 0.01%
5,955
-2,781
-32% -$92.1K
KO icon
217
Coca-Cola
KO
$374B
$201K 0.01%
+4,761
New +$209K
AG icon
218
First Majestic Silver
AG
$8.13B
$107K ﹤0.01%
10,342
-1,928
-16% -$28.2K
DGAZ
219
DELISTED
VelocityShares 3x Inverse Natural Gas ETN linked to the S&P GSCI Natural Gas Index Excess Return
DGAZ
$69K ﹤0.01%
+113
New +$78.5K
CC icon
220
Chemours
CC
$2.57B
– –
-77,523
Closed -$639K
FNK icon
221
First Trust Mid Cap Value AlphaDEX Fund
FNK
$233M
– –
-8,583
Closed -$240K
FNY icon
222
First Trust Mid Cap Growth AlphaDEX Fund
FNY
$600M
– –
-12,317
Closed -$370K
FRI icon
223
First Trust S&P REIT Index Fund
FRI
$196M
– –
-9,800
Closed -$242K
GLAD icon
224
Gladstone Capital
GLAD
$430M
– –
-49,523
Closed -$717K
HRZN icon
225
Horizon Technology Finance
HRZN
$308M
– –
-179,012
Closed -$2.18M
6 7 8
9
10

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Confluence Investment Management's Q3 2016 Portfolio in Review

As of Q3 2016, Confluence Investment Management held 240 positions worth $3.83B, up 5.4% from $3.64B the previous quarter. Its ten largest holdings account for 21% of the portfolio.

Confluence Investment Management deployed $121M of net new capital in Q3 2016, opening 10 new positions and adding to 140 existing holdings. Its largest new stake was Allergan plc: 114,238 shares worth $26.3M.

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 Chevron, an estimated $18.4M trimmed.

  • Confluence Investment Management's largest Q3 2016 buy was Allergan plc: 114,238 shares worth $26.3M.
  • Confluence Investment Management added most to NXP Semiconductors in Q3 2016, an estimated $33.3M increase.
  • Confluence Investment Management's biggest Q3 2016 reduction was Chevron, cutting an estimated $18.4M.
  • Confluence Investment Management fully exited Wells Fargo in Q3 2016, selling an estimated $22.1M.
  • Confluence Investment Management's ten largest holdings make up 21% of its $3.83B portfolio in Q3 2016.
  • Confluence Investment Management opened 10 new positions and closed 17 in Q3 2016.
  • Confluence Investment Management's portfolio value rose 5.4% quarter-over-quarter to $3.83B.

Based on Confluence Investment Management's 13F filing for Q3 2016, filed 4 Nov 2016.