Confluence Investment Management LLC
Firm details
- Headquarters
- Saint Louis, Missouri
- CRD number
- 146019
- Registered since
- January 10, 2008
- Website
- www.confluenceinvestment.com
- Custodians
- STIFEL NICOLAUS & CO., INC., WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC, ROBERT W. BAIRD & CO. INCORPORATED, PERSHING LLC
- Fee structure
- Percentage of AUM
- Client types
- Individuals64.75%
- HNWI26.97%
- Corporations / Businesses4.78%
- Charitable Organizations1.7%
- Pension & Profit Sharing Plans1.06%
- Services
- Portfolio Management for IndividualsPortfolio Management for Investment CompaniesPortfolio Management for Institutional Clients
Firm profile
FINTRXOverview
Confluence Investment Management LLC is an SEC-registered investment adviser organized as an LLC and in operation since 2008. The firm serves both individual and family clients as well as institutional clients, operating primarily on a percentage-of-AUM fee model. Its advisory services cover portfolio management for individuals and small businesses, for investment companies, and for other businesses or institutions. Confluence identifies as an active ESG investor and is structured as an independently owned, non-capital-allocating adviser rather than a pension consultant or related-adviser affiliate.
Assets & Accounts
Public Holdings
Investments & Alternatives
Location & Offices
Investment profile
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient base
Client personas
Asset composition
- Exchange Traded Equities85%
- Public Funds/Mutual Funds15%
Owners & executives
3 of 5
Patricia Dahl
Chief Financial OfficerCRD 2983778
Steven Farmer
Chief Compliance OfficerCRD 2410030
Mark Keller
Chief Executive Officer and Chief Investment OfficerCRD 1026805
Contacts
3 of 13Ronald Pond
Director of SalesCRD 1345708
Michael Purcell
DirectorCRD 1869196
Thomas Dugan
Associate Vice PresidentCRD 4862325
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXETF holdings
1 of 62Active vs passive
$1.3B in ETFs
93%
$1.2B
2%
$85.6M
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| ISHARES 0-3 MONTH TREASURY BOND ETF (SGOV) | BlackRock | Passive | Ultrashort Bond | $281M | 2,788,012 | 21.64% |
Location
Saint Louis, MO
Saint Louis
Location
Saint Louis, MO
Headquartered in Saint Louis, MO, anchoring the St. Louis-St. Charles-Farmington, MO-IL metro in the Midwest.
- Metro area
- St. Louis-St. Charles-Farmington, MO-IL
- Region
- Midwest
- County
- Saint Louis
- Address
- 20 Allen Ave
- Time zone
- CT (UTC-6)
- Office locations
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