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 institutional RIA that manages portfolios for individuals, families and institutional clients on a fee basis (percentage of AUM). The firm provides portfolio management for individuals and small businesses, investment companies, and other businesses or institutions. It identifies as an active ESG investor and combines a predominantly equity-centric public market sleeve with allocations to multiple types of alternative strategies and mutual funds.
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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