-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, GHVipwIxy3z7zEL+qOt2+BguRjPwg/nRTH57ITQcQPDEzhADaednUP04XVR6yLQm bOlW6HnMHngjychNUU/oIg== 0001442055-09-000002.txt : 20091019 0001442055-09-000002.hdr.sgml : 20091019 20091019114044 ACCESSION NUMBER: 0001442055-09-000002 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090930 FILED AS OF DATE: 20091019 DATE AS OF CHANGE: 20091019 EFFECTIVENESS DATE: 20091019 FILER: COMPANY DATA: COMPANY CONFORMED NAME: CONFLUENCE INVESTMENT MANAGEMENT LLC CENTRAL INDEX KEY: 0001442056 IRS NUMBER: 261764456 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-13334 FILM NUMBER: 091125060 BUSINESS ADDRESS: STREET 1: 349 MARSHALL AVENUE, SUITE 302 CITY: ST. LOUIS STATE: MO ZIP: 63119 BUSINESS PHONE: 314-743-5090 MAIL ADDRESS: STREET 1: 349 MARSHALL AVENUE, SUITE 302 CITY: ST. LOUIS STATE: MO ZIP: 63119 13F-HR 1 cimformsept.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: SEPTEMBER 30, 2009 Check here if Amendment [ ]; Amendment Number: ------ This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Confluence Investment Management LLC Address: 349 Marshall Avenue, Suite 302 Saint Louis, MO 63119 Form 13F File Number: The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Joseph J. Hanzlik Title: Senior Vice President / CFO Phone: 314-743-5096 Signature, Place, and Date of Signing: /s/ Joseph J. Hanzlik Saint Louis, MO October 19, 2009 Report Type (Check only one.): [X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 154 Form 13F Information Table Value Total: $439,463 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. NONE Form 13F INFORMATION TABLE TITLE OF VALUE SHARES SH/ PUT/ INVSTMT VOTING AUTHTY NAME OF ISSUER CLASS CUSIP ($000) PRN AMT PRN CALL DSCRETN SOLE SHARED NONE - ---------------------------- -------- -------- -------- ------- --- ---- ------- ----- ------ ---- APOLLO INVESTMENT CORP COM 03761U106 5986 626764 SH SOLE 626764 0 0 AFFILIATED MANAGERS GROUP COM 008252108 727 11186 SH SOLE 11186 0 0 ARES CAPITAL CORP COM 04010L103 16282 1477526 SH SOLE 1477526 0 0 AVERY DENNISON CORP COM 053611109 3381 93886 SH SOLE 93886 0 0 AMERICAN EXPRESS CO COM 025816109 4843 142869 SH SOLE 142869 0 0 BED BATH & BEYOND INC COM 075896100 4024 107180 SH SOLE 107180 0 0 BLACKROCK KELSO CAPITAL CORP COM 092533108 7332 988087 SH SOLE 988087 0 0 BURLINGTON NORTHERN COM 12189T104 286 3581 SH SOLE 3581 0 0 BROADRIDGE FINANCIAL SOLUTIONS COM 11133T103 407 20273 SH SOLE 20273 0 0 BERKSHIRE HATH HLD A COM 084670108 303 3 SH SOLE 3 0 0 BERKSHIRE HATHAWAY INC CL.B COM 084670207 4616 1389 SH SOLE 1389 0 0 BROWN & BROWN INC COM 115236101 520 27159 SH SOLE 27159 0 0 PEABODY ENERGY CORP COM 704549104 5886 158129 SH SOLE 158129 0 0 CADBURY PLC COM 12721E102 7314 142823 SH SOLE 142823 0 0 Barclays Intermediate Credit B COM 464288638 790 7635 SH SOLE 7635 0 0 Compass Diversified Holdings COM 20451Q104 1963 187500 SH SOLE 187500 0 0 DJ-UBS Livestock Subindex Tota COM 06739H743 660 24183 SH SOLE 24183 0 0 CALIFORNIA PIZZA KITCHEN COM 13054D109 779 49885 SH SOLE 49885 0 0 CPI CORP COM 125902106 334 26776 SH SOLE 26776 0 0 Barclays 1-3 Year Credit Bond COM 464288646 922 8835 SH SOLE 8835 0 0 CHEVRON CORP COM 166764100 6358 90279 SH SOLE 90279 0 0 CEMEX S A B DE CV SPONS COM 151290889 406 31392 SH SOLE 31392 0 0 Dreyfus Chinese Yuan Fund - Wi COM 97717W182 645 25428 SH SOLE 25428 0 0 Cypress Sharpridge Investments COM 23281A307 1650 116200 SH SOLE 116200 0 0 CYPRESS SHARPRIDGE INV 144A COM 23281A505 192 192307 SH SOLE 192307 0 0 DU PONT (E.I.) DE NEMOURS & CO COM 263534109 2752 85627 SH SOLE 85627 0 0 DB Commodity Short - Powershar COM 25154H467 1246 28890 SH SOLE 28890 0 0 DIAGEO PLC COM 25243Q205 7269 118220 SH SOLE 118220 0 0 QUEST DIAGNOSTICS INC COM 74834L100 4149 79506 SH SOLE 79506 0 0 DJ-UBS Commodity Index Total R COM 06738c778 6906 179100 SH SOLE 179100 0 0 DIONEX CORPORATION COM 254546104 573 8812 SH SOLE 8812 0 0 ENCANA CORP COM 292505104 386 6694 SH SOLE 6694 0 0 MSCI EAFE Index Fund ETF - iSh COM 464287465 3329 60872 SH SOLE 60872 0 0 ENTERPRISE FINANCIAL SERVICES COM 293712105 330 35670 SH SOLE 35670 0 0 EMERSON ELECTRIC CO COM 291011104 7228 180345 SH SOLE 180345 0 0 AMBASSADORS GROUP INC COM 023177108 825 52744 SH SOLE 52744 0 0 MSCI Pacific ex-Japan Index Fu COM 464286665 1519 37467 SH SOLE 37467 0 0 Powershares short MSCI Emergin COM 74347R396 579 13592 SH SOLE 13592 0 0 FINANCIAL FEDERAL CORP COM 317492106 1340 54300 SH SOLE 54300 0 0 FIDELITY NATIONAL FINANCIAL IN COM 31620R105 4951 328316 SH SOLE 328316 0 0 Fifth Street Finance COM 31678A103 2594 237366 SH SOLE 237366 0 0 FORWARD AIR CORP COM 349853101 1367 59065 SH SOLE 59065 0 0 Japanese Yen - CurrencyShares COM 23130a102 664 6000 SH SOLE 6000 0 0 GLADSTONE INVESTMENT CORP COM 376546107 889 183333 SH SOLE 183333 0 0 GRACO INC. COM 384109104 3240 116237 SH SOLE 116237 0 0 GLADSTONE CAPITAL CORP COM 376535100 4918 550672 SH SOLE 550672 0 0 Gold Trust - SPDR COM 78463V107 795 8042 SH SOLE 8042 0 0 GSC INVESTMENT CORP COM 362493108 180 50500 SH SOLE 50500 0 0 GLADSTONE COMMERCIAL CORP COM 376536108 480 35079 SH SOLE 35079 0 0 GLAXOSMITHKLINE PLC COM 37733W105 3096 78373 SH SOLE 78373 0 0 HOME DEPOT INC COM 437076102 2642 99178 SH SOLE 99178 0 0 HIBBETT SPORTS, INC. COM 428567101 517 28361 SH SOLE 28361 0 0 HATTERAS FINANCIAL CORP 144A COM 41902R202 100 100000 SH SOLE 100000 0 0 HERCULES TECHNOLOGY GROWTH COM 427096508 5251 534739 SH SOLE 534739 0 0 HEARTLAND EXPRESS INC COM 422347104 511 35506 SH SOLE 35506 0 0 HATTERAS FINL CORP COM COM 41902R103 995 33195 SH SOLE 33195 0 0 iBoxx $ High Yield Corporate B COM 464288513 8641 100072 SH SOLE 100072 0 0 Utilities Sector- iShares DJ U COM 464287697 1415 20015 SH SOLE 20015 0 0 IDEXX LABORATORIES, INC. COM 45168D104 430 8606 SH SOLE 8606 0 0 Barclays 3-7 Year Treasury Bon COM 464288661 1946 17298 SH SOLE 17298 0 0 S&P Midcap 400 Value- iShares COM 464287705 1135 18029 SH SOLE 18029 0 0 S&P Midcap 400 Growth- iShares COM 464287606 1148 15562 SH SOLE 15562 0 0 ILLINOIS TOOL WORKS INC COM 452308109 3548 83071 SH SOLE 83071 0 0 S&P 500 Value - iShares COM 464287408 848 16573 SH SOLE 16573 0 0 S&P 500 Index- iShares COM 464287200 678 6392 SH SOLE 6392 0 0 S&P 500 Growth - iShares COM 464287309 852 15787 SH SOLE 15787 0 0 Russell 2000 Value- iShares COM 464287630 2986 52921 SH SOLE 52921 0 0 Russell 2000 Growth- iShares COM 464287648 2924 44700 SH SOLE 44700 0 0 Telecom Sector- iShares DJ US COM 464287713 1313 69604 SH SOLE 69604 0 0 JOHNSON & JOHNSON COM 478160104 7744 127188 SH SOLE 127188 0 0 Barclays Capital High Yield Bo COM 78464A417 11798 306512 SH SOLE 306512 0 0 JOHN WILEY & SONS INC CL.A COM 968223206 909 26129 SH SOLE 26129 0 0 KOHLBERG CAPITAL CORP COM 500233101 3331 552458 SH SOLE 552458 0 0 KENNETH COLE PRODUCTIONS COM 193294105 299 29807 SH SOLE 29807 0 0 LANDAUER INC COM 51476K103 2643 48066 SH SOLE 48066 0 0 LINEAR TECHNOLOGY CORP COM 535678106 2994 108376 SH SOLE 108376 0 0 LOWE'S COMPANIES INC COM 548661107 5539 264538 SH SOLE 264538 0 0 iBoxx $ Investment Grade Corpo COM 464287242 9510 89144 SH SOLE 89144 0 0 MAIN STREET CAPITAL CORPORATIO COM 56035L104 281 19774 SH SOLE 19774 0 0 Barclays MBS Bond Fund - iShar COM 464288588 4835 45279 SH SOLE 45279 0 0 MCDONALD'S CORP COM 580135101 430 7541 SH SOLE 7541 0 0 MCG CAPITAL CORP COM 58047P107 1043 248843 SH SOLE 248843 0 0 MERCURY GENERAL CORP COM 589400100 2971 82119 SH SOLE 82119 0 0 MEDICAL ACTION INDUSTRIES COM 58449L100 1867 154706 SH SOLE 154706 0 0 MFA Mortgage Investments COM 55272X102 3343 420000 SH SOLE 420000 0 0 MOHAWK INDUSTRIES INC COM 608190104 1720 36069 SH SOLE 36069 0 0 MCGRAW-HILL COS., INC. (THE) COM 580645109 2398 95400 SH SOLE 95400 0 0 MARKEL CORP COM 570535104 4521 13706 SH SOLE 13706 0 0 3M COMPANY COM 88579Y101 3437 46571 SH SOLE 46571 0 0 MICROSOFT CORP COM 594918104 7890 306776 SH SOLE 306776 0 0 MVC CAPITAL INC COM 553829102 6451 734794 SH SOLE 734794 0 0 NGP CAPITAL RESOURCES CO COM 62912R107 2581 355541 SH SOLE 355541 0 0 ANNALY CAPITAL MANAGEMENT COM 035710409 6800 374867 SH SOLE 374867 0 0 NORTHSTAR RLTY FIN CORP COM 0 COM 66704R100 2194 625061 SH SOLE 625061 0 0 PAYCHEX INC COM 704326107 3175 109288 SH SOLE 109288 0 0 PATRIOT CAPITAL FUNDING INC CO COM 70335Y104 2449 600171 SH SOLE 600171 0 0 PLUM CREEK TIMBER CO INC COM 729251108 2748 89690 SH SOLE 89690 0 0 PATTERSON COMPANIES INC COM 703395103 927 34036 SH SOLE 34036 0 0 PEPSICO INC COM 713448108 7583 129269 SH SOLE 129269 0 0 PFIZER INC COM 717081103 6286 379815 SH SOLE 379815 0 0 PROCTER & GAMBLE CO COM 742718109 284 4901 SH SOLE 4901 0 0 PENNANTPARK INVESTMENT CO COM 708062104 6511 802879 SH SOLE 802879 0 0 PANERA BREAD CO COM 69840W108 500 9096 SH SOLE 9096 0 0 PROSPECT CAPITAL CORP COM 74348T102 9369 874775 SH SOLE 874775 0 0 ROSS STORES INC COM 778296103 1189 24893 SH SOLE 24893 0 0 RAYONIER INC COM 754907103 3464 84678 SH SOLE 84678 0 0 Proshares Short Financials COM 74347R230 589 13116 SH SOLE 13116 0 0 ProShares Short S&P 500 COM 74347R503 556 9884 SH SOLE 9884 0 0 Barclays Short Term Municipal COM 78464A425 1131 46997 SH SOLE 46997 0 0 SHERWIN-WILLIAMS CO COM 824348106 2897 48153 SH SOLE 48153 0 0 SIGMA ALDRICH CORP COM 826552101 1087 20143 SH SOLE 20143 0 0 ST MARY LAND & EXPLORATION COM 792228108 604 18616 SH SOLE 18616 0 0 SCOTTS MIRACLE-GRO CO. COM 810186106 490 11415 SH SOLE 11415 0 0 SNAP-ON INC COM 833034101 2823 81200 SH SOLE 81200 0 0 SMITH & NEPHEW PLC COM 83175M205 363 8072 SH SOLE 8072 0 0 SOUTHERN COMPANY COM 842587107 2808 88678 SH SOLE 88678 0 0 SONIC CORP COM 835451105 1789 161779 SH SOLE 161779 0 0 SOURCE CAPITAL INC COM 836144105 2948 70699 SH SOLE 70699 0 0 SIMPSON MANUFACTURING IN COM 829073105 449 17777 SH SOLE 17777 0 0 MEDALLION FINL CORP COM 583928106 3841 459504 SH SOLE 459504 0 0 Triangle Capital Corporation COM 895848109 1402 113601 SH SOLE 113601 0 0 TCF FINANCIAL CORP COM 872275102 1948 149383 SH SOLE 149383 0 0 Barclays Capital Municipal Bon COM 78464A458 1166 50170 SH SOLE 50170 0 0 TARGET CORP COM 87612E106 232 4977 SH SOLE 4977 0 0 TICC CAPITAL CORP COM COM 87244T109 2396 475485 SH SOLE 475485 0 0 TJX COMPANIES, INC. COM 872540109 4105 110510 SH SOLE 110510 0 0 Barclays 20+ Year Treasury Bon COM 464287432 1142 11576 SH SOLE 11576 0 0 THERMO FISHER SCIENTIFIC, INC COM 883556102 4182 95754 SH SOLE 95754 0 0 TYCO INTERNATIONAL LTD COM H89128104 4531 131416 SH SOLE 131416 0 0 DB US Dollar Index - Powershar COM 73936D107 2511 110197 SH SOLE 110197 0 0 VISA INC. COM 92826C839 240 3471 SH SOLE 3471 0 0 REIT Index ETF- Vanguard COM 922908553 4054 97811 SH SOLE 97811 0 0 VECTREN CORP COM 92240G101 2663 115572 SH SOLE 115572 0 0 WESTAMERICA BANCORPORATION COM 957090103 1283 24672 SH SOLE 24672 0 0 WATERS CORP COM 941848103 5876 105198 SH SOLE 105198 0 0 WELLS FARGO & CO COM 949746101 4087 145041 SH SOLE 145041 0 0 WAL-MART STORES INC COM 931142103 4218 85921 SH SOLE 85921 0 0 BERKLEY W R COM 084423102 5499 217517 SH SOLE 217517 0 0 WESCO FINANCIAL CORP COM 950817106 400 1229 SH SOLE 1229 0 0 WEST PHARMACEUTICAL SERVICES, COM 955306105 353 8695 SH SOLE 8695 0 0 WHITE MTNS INS GROUP LTD COM G9618E107 886 2886 SH SOLE 2886 0 0 WEIGHT WATCHERS INTERNATIONAL, COM 948626106 276 10074 SH SOLE 10074 0 0 WESTERN UNION COMPANY COM 959802109 4435 234412 SH SOLE 234412 0 0 Materials Select Sector SPDR COM 81369Y100 2172 70189 SH SOLE 70189 0 0 Energy Select Sector SPDR COM 81369Y506 6304 116920 SH SOLE 116920 0 0 Financial Select Sector SPDR COM 81369Y605 5323 356299 SH SOLE 356299 0 0 Industrial Select Sector SPDR COM 81369Y704 5323 202093 SH SOLE 202093 0 0 Technology Select Sector SPDR COM 81369Y803 6938 332453 SH SOLE 332453 0 0 Consumer Staple Select Sector COM 81369Y308 2772 108863 SH SOLE 108863 0 0 Utilities Select Sector SPDR COM 81369Y886 654 22307 SH SOLE 22307 0 0 Healthcare Select Sector SPDR COM 81369Y209 2518 87823 SH SOLE 87823 0 0 Consumer Discretionary Select COM 81369Y407 4418 160821 SH SOLE 160821 0 0 EXXON MOBIL CORP COM 30231G102 4236 61738 SH SOLE 61738 0 0 ZEBRA TECHNOLOGIES CORP COM 989207105 431 16627 SH SOLE 16627 0 0
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