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Confluence Investment Management LLC




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ETF Holdings

Name Assets
iShares S&P Mid-Cap 400 Growth ETF $19,033,000
iShares S&P Mid-Cap 400 Value ETF $18,610,000
iShares 20+ Year Treasury Bond ETF $16,292,000
Vanguard Long-Term Corporate Bond Index Fund $15,264,000
iShares iBoxx $ Investment Grade Corporate Bond ETF $14,280,000
iShares Core S&P US Value ETF $12,835,000
iShares US Technology ETF $12,617,000
Vanguard Intermediate-Term Corporate Bond Index Fund $9,720,000
iShares Russell Mid-Cap Growth ETF $9,592,000
iShares 10+ Year Credit Bond ETF $9,414,000
iShares Russell 2000 Value ETF $9,098,000
iShares Russell 2000 Growth ETF $9,014,000
Consumer Discretionary Select Sector SPDR Fund $8,938,000
iShares S&P Small-Cap 600 Growth ETF $8,512,000
VanEck Vectors AMT-Free Long Municipal Index ETF $8,449,000
SPDR Bloomberg Barclays Intermediate Term Corporate Bond ETF $7,965,000
iShares S&P Small-Cap 600 Value ETF $7,359,000
iShares 7-10 Year Treasury Bond ETF $6,744,000
iShares Residential Real Estate Capped ETF $6,603,000
Vanguard Small-Cap Growth Index Fund $6,600,000
iShares US Financials ETF $5,193,000
Vanguard REIT Index Fund $4,832,000
Industrial Select Sector SPDR Fund $4,624,000
Health Care Select Sector SPDR Fund $4,594,000
Consumer Staples Select Sector SPDR Fund $4,579,000
SPDR Nuveen Bloomberg Barclays Municipal Bond ETF $4,209,000
iShares Intermediate Credit Bond ETF $4,078,000
Guggenheim BulletShares 2017 Corporate Bond ETF $3,088,000
Guggenheim BulletShares 2018 Corporate Bond ETF $3,072,000
iShares MBS ETF $3,056,000
iShares iBonds Sep 2018 Term Muni Bond ETF $2,736,000
iShares US Utilities ETF $1,918,000
iShares National Muni Bond ETF $1,828,000
iShares iBonds Sep 2020 Term Muni Bond ETF $1,816,000
SPDR S&P 500 ETF Trust $1,772,000
Energy Select Sector SPDR Fund $1,664,000
iShares Core S&P 500 ETF $1,654,000
iShares Russell 1000 Value ETF $1,520,000
iShares Gold Trust $1,142,000
iShares S&P 500 Value ETF $554,000
iShares iBoxx $ High Yield Corporate Bond ETF $550,000
SPDR Bloomberg Barclays High Yield Bond ETF $538,000
iShares S&P 500 Growth ETF $492,000
iShares Russell 1000 Growth ETF $346,000
iShares Core S&P Small-Cap ETF $273,000
iShares 1-3 Year Credit Bond ETF $244,000
First Trust Mid Cap Value AlphaDEX Fund $222,000
Vanguard European Stock Index Fund $202,000
iShares MSCI Japan ETF $130,000



    Last updated on June 5, 2019
      • $5.5B
        Total Assets Under Management
      • N/A
        Total Assets Under Advisement
      • 19K
      • $291.8K
        Estimated Average Account Balance


    Firm Services

    There is no Services data available to display at this time.

    Firm Client types

    There is no client type data to display at this time.


    Current Advisors

    # of advisors


    name start date
    Daniel Thomas Winter
    June 2008
    Gregory Allen Tropf
    May 2018
    Stephen Allen Mikez
    January 2016
    Tore Lars Stole
    August 2008
    David Brian Miyazaki
    June 2008



      There is no ownership data available to display at this time.

      Executives and Control Persons

      Name Title Tenure Date % Ownership
      Brian Neil Hansen President / Member December, 2007 25% to 50%
      Mark Alan Keller Chief Executive Officer And Chief Investment Officer / Member May, 2008 25% to 50%
      David Brian Miyazaki Svp And Portfolio Manager May, 2008 5% to 10%
      William Daniel Ogrady Evp And Chief Market Strategist November, 2008 5% to 10%
      Patricia Annette Dahl Svp And Cfo February, 2008 5% to 10%
      Daniel Thomas Winter Svp And Cio - Value Equities May, 2008 5% to 10%
      Joseph John Hanzlik Svp And Equity Analyst December, 2007 5% to 10%
      John M Wobbe Vp, Assoc. Director Of Research And Equity Analyst December, 2011 less than 5%
      Thomas William Dugan Vp And Portfolio Manager December, 2011 less than 5%
      Dustin Andrew Hausladen Vp And Equity Analyst September, 2009 less than 5%
      Frederick Christian Stein Vp And Portfolio Manager September, 2009 less than 5%
      Tore Lars Stole Vp And Director Of Research September, 2009 less than 5%
      Anne Steele Kochevar Chief Compliance Officer January, 2018 less than 5%
        Source: SEC


        Types of Compensation Arrangements

        • Percentage Of Assets
        • Fixed Fees