CONFLUENCE INVESTMENT MANAGEMENT LLC

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Confluence Investment Management is based out of St. Louis. Confluence Investment Management is a large advisory firm with 19350 clients and discretionary assets under management (AUM) of $7,006,251,726 (Form ADV from 2020-04-09). Their last reported 13F filing for Q2 2020 included $5,991,744,000 in managed 13F securities and a top 10 holdings concentration of 22.99%. Confluence Investment Management's largest holding is Microsoft Corp. with shares held of 843,575. Confluence Investment Management has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 52 13F filings

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06/30/2020

13F Activity

  • Market Value $5.992 Billion
  • Prior Market Value $5.264 Billion
  • New Purchases19 stocks
  • Additional Purchases86 stocks
  • Sold out of19 stocks
  • Reduced holdings in161 stocks
  • Top 10 Holdings % 22.99 %
  • Turnover % [1]:13.06%
  • Turnover Alt % [2]: 3.35 %
  • Time Held Top20:12.60 quarters
  • Time Held Top10:9.60 quarters
  • Time Held All:15.99 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

06/30/2020

13F Sector Allocation Over Time

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2020-05-15

Performance for Q1 2020: 23.07%
Performance Last 4 Quarters: -5.79%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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This lets you look at individual sub managers or subsidiaries within the 13F filing.

13F Managers

Subsidiaries/Managers included in latest 13F
Name
First Trust Advisors LP

View Last Form Adv Compilation Report on Record

CONFLUENCE INVESTMENT MANAGEMENT LLC
20 ALLEN AVENUE, STE 300
SAINT LOUIS MO    63119
Country: United States

Business Phone: 314-743-5090
Fax: 314-743-5205
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm,Investment advisor to an investment company
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 47
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Fixed fees
Amount of client funds and securities:
Total Number of Clients: 19350
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

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CONFLUENCE INVESTMENT MANAGEMENT LLC

ownership team - last updated 2020-03-09
Name Title Start Date Direct/Indirect % Ownership

CONFLUENCE INVESTMENT MANAGEMENT LLC

ownership team - last updated 2019-07-12
Name Title Start Date Direct/Indirect % Ownership
HANSEN, BRIAN, NEIL PRESIDENT / MEMBER 12/01/2007 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
CONFLUENCE INVESTMENT ADVISORS LLC PRESIDENT direct 2007-12-01
CONFLUENCE INVESTMENT MANAGEMENT LLC PRESIDENT / MEMBER direct 2007-12-01
CONFLUENCE CAPITAL MANAGEMENT LLC PRESIDENT / MANAGING MEMBER direct 2007-12-01
HANZLIK, JOSEPH, JOHN SVP AND EQUITY ANALYST 12/01/2007 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
CONFLUENCE INVESTMENT ADVISORS LLC CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER direct 2007-12-01
CONFLUENCE INVESTMENT MANAGEMENT LLC SVP, CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER direct 2007-12-01
CONFLUENCE INVESTMENT MANAGEMENT LLC SVP, CHIEF COMPLIANCE OFFICER AND EQUITY ANALYST direct 2007-12-01
KELLER, MARK, ALAN CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER / MEMBER 05/01/2008 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
A. G. EDWARDS & SONS, INC. DIRECTOR, SENIOR VICE PRESIDENT direct 2005-03-01
GALLATIN ASSET MANAGEMENT, INC. DIRECTOR, SENIOR VICE PRESIDENT direct 2005-06-01
GALLATIN ASSET MANAGEMENT, INC. DIRECTOR, PRESIDENT AND CIO direct 2007-10-01
CONFLUENCE INVESTMENT MANAGEMENT LLC CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER / MEMBER direct 2008-05-01
MIYAZAKI, DAVID, BRIAN SVP AND PORTFOLIO MANAGER 05/01/2008 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
CONFLUENCE INVESTMENT MANAGEMENT LLC SVP AND PORTFOLIO MANAGER direct 2008-05-01
WINTER, DANIEL, THOMAS SVP AND CIO - VALUE EQUITIES 05/01/2008 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
CONFLUENCE INVESTMENT MANAGEMENT LLC SVP AND PORTFOLIO MANAGER direct 2008-05-01
DAHL, PATRICIA, ANNETTE SVP AND CFO 02/01/2008 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
CONFLUENCE INVESTMENT MANAGEMENT LLC SVP AND PORTFOLIO MANAGER direct 2008-02-01
CONFLUENCE INVESTMENT MANAGEMENT LLC SVP, CFO AND PORTFOLIO MANAGER direct 2008-02-01
OGRADY, WILLIAM, DANIEL EVP AND CHIEF MARKET STRATEGIST 11/01/2008 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
CONFLUENCE INVESTMENT MANAGEMENT LLC EVP AND CHIEF MARKET STRATEGIST direct 2008-11-01
STOLE, TORE, LARS VP AND DIRECTOR OF RESEARCH 09/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
CONFLUENCE INVESTMENT MANAGEMENT LLC VP AND DIRECTOR OF RESEARCH direct 2009-09-01
STEIN, FREDERICK, CHRISTIAN VP AND PORTFOLIO MANAGER 09/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
CONFLUENCE INVESTMENT MANAGEMENT LLC VP AND PORTFOLIO MANAGER direct 2009-09-01
HAUSLADEN, DUSTIN, ANDREW VP AND EQUITY ANALYST 09/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
CONFLUENCE INVESTMENT MANAGEMENT LLC VP AND DIRECTOR OF BUSINESS DEVELOPMENT direct 2009-09-01
CONFLUENCE INVESTMENT MANAGEMENT LLC VP AND EQUITY ANALYST direct 2009-09-01
DUGAN, THOMAS, WILLIAM VP AND PORTFOLIO MANAGER 12/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
CONFLUENCE INVESTMENT MANAGEMENT LLC AVP AND EQUITY ANALYST direct 2011-12-01
CONFLUENCE INVESTMENT MANAGEMENT LLC AVP AND PORTFOLIO MANAGER direct 2011-12-01
CONFLUENCE INVESTMENT MANAGEMENT LLC VP AND PORTFOLIO MANAGER direct 2011-12-01
WOBBE, JOHN, M VP, ASSOC. DIRECTOR OF RESEARCH AND EQUITY ANALYST 12/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
CONFLUENCE INVESTMENT MANAGEMENT LLC AVP AND EQUITY ANALYST direct 2011-12-01
CONFLUENCE INVESTMENT MANAGEMENT LLC VP, ASSOC. DIRECTOR OF RESEARCH AND EQUITY ANALYST direct 2011-12-01
FARMER, STEVEN, PATRICK CHIEF COMPLIANCE OFFICER 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
NORTHERN TRUST INVESTMENTS, INCORPORATED CHIEF COMPLIANCE OFFICER direct 2017-06-01
MESIROW ADVANCED STRATEGIES INC CHIEF COMPLIANCE OFFICER direct 2007-05-01
50 SOUTH CAPITAL ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2015-02-01

CONFLUENCE INVESTMENT MANAGEMENT LLC

ownership team - last updated 2019-06-03
Name Title Start Date Direct/Indirect % Ownership
HANSEN, BRIAN, NEIL PRESIDENT / MEMBER 12/01/2007 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
CONFLUENCE INVESTMENT ADVISORS LLC PRESIDENT direct 2007-12-01
CONFLUENCE INVESTMENT MANAGEMENT LLC PRESIDENT / MEMBER direct 2007-12-01
CONFLUENCE CAPITAL MANAGEMENT LLC PRESIDENT / MANAGING MEMBER direct 2007-12-01
HANZLIK, JOSEPH, JOHN SVP AND EQUITY ANALYST 12/01/2007 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
CONFLUENCE INVESTMENT ADVISORS LLC CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER direct 2007-12-01
CONFLUENCE INVESTMENT MANAGEMENT LLC SVP, CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER direct 2007-12-01
CONFLUENCE INVESTMENT MANAGEMENT LLC SVP, CHIEF COMPLIANCE OFFICER AND EQUITY ANALYST direct 2007-12-01
KELLER, MARK, ALAN CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER / MEMBER 05/01/2008 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
A. G. EDWARDS & SONS, INC. DIRECTOR, SENIOR VICE PRESIDENT direct 2005-03-01
GALLATIN ASSET MANAGEMENT, INC. DIRECTOR, SENIOR VICE PRESIDENT direct 2005-06-01
GALLATIN ASSET MANAGEMENT, INC. DIRECTOR, PRESIDENT AND CIO direct 2007-10-01
CONFLUENCE INVESTMENT MANAGEMENT LLC CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER / MEMBER direct 2008-05-01
MIYAZAKI, DAVID, BRIAN SVP AND PORTFOLIO MANAGER 05/01/2008 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
CONFLUENCE INVESTMENT MANAGEMENT LLC SVP AND PORTFOLIO MANAGER direct 2008-05-01
WINTER, DANIEL, THOMAS SVP AND CIO - VALUE EQUITIES 05/01/2008 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
CONFLUENCE INVESTMENT MANAGEMENT LLC SVP AND PORTFOLIO MANAGER direct 2008-05-01
DAHL, PATRICIA, ANNETTE SVP AND CFO 02/01/2008 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
CONFLUENCE INVESTMENT MANAGEMENT LLC SVP AND PORTFOLIO MANAGER direct 2008-02-01
CONFLUENCE INVESTMENT MANAGEMENT LLC SVP, CFO AND PORTFOLIO MANAGER direct 2008-02-01
OGRADY, WILLIAM, DANIEL EVP AND CHIEF MARKET STRATEGIST 11/01/2008 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
CONFLUENCE INVESTMENT MANAGEMENT LLC EVP AND CHIEF MARKET STRATEGIST direct 2008-11-01
STOLE, TORE, LARS VP AND DIRECTOR OF RESEARCH 09/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
CONFLUENCE INVESTMENT MANAGEMENT LLC VP AND DIRECTOR OF RESEARCH direct 2009-09-01
STEIN, FREDERICK, CHRISTIAN VP AND PORTFOLIO MANAGER 09/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
CONFLUENCE INVESTMENT MANAGEMENT LLC VP AND PORTFOLIO MANAGER direct 2009-09-01
HAUSLADEN, DUSTIN, ANDREW VP AND EQUITY ANALYST 09/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
CONFLUENCE INVESTMENT MANAGEMENT LLC VP AND DIRECTOR OF BUSINESS DEVELOPMENT direct 2009-09-01
CONFLUENCE INVESTMENT MANAGEMENT LLC VP AND EQUITY ANALYST direct 2009-09-01
DUGAN, THOMAS, WILLIAM VP AND PORTFOLIO MANAGER 12/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
CONFLUENCE INVESTMENT MANAGEMENT LLC AVP AND EQUITY ANALYST direct 2011-12-01
CONFLUENCE INVESTMENT MANAGEMENT LLC AVP AND PORTFOLIO MANAGER direct 2011-12-01
CONFLUENCE INVESTMENT MANAGEMENT LLC VP AND PORTFOLIO MANAGER direct 2011-12-01
WOBBE, JOHN, M VP, ASSOC. DIRECTOR OF RESEARCH AND EQUITY ANALYST 12/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
CONFLUENCE INVESTMENT MANAGEMENT LLC AVP AND EQUITY ANALYST direct 2011-12-01
CONFLUENCE INVESTMENT MANAGEMENT LLC VP, ASSOC. DIRECTOR OF RESEARCH AND EQUITY ANALYST direct 2011-12-01
KOCHEVAR, ANNE, STEELE CHIEF COMPLIANCE OFFICER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLAYMORE SECURITIES, INC. MANAGING DIRECTOR AND CHIEF COMPLIANCE OFFICER direct 2004-09-01
CLAYMORE SECURITIES, INC. SENIOR MANAGING DIRECTOR AND CHIEF COMPLIANCE OFFICER direct 2004-09-01
CLAYMORE SECURITIES, INC. MANAGING DIRECTOR AND CCO direct 2004-09-01
GENEVA CAPITAL MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2015-01-01
HENDERSON GLOBAL INVESTORS (NORTH AMERICA) INC. CHIEF COMPLIANCE OFFICER direct 2015-01-01
PRINCETON CLAYMORE INVESTMENT MANAGEMENT LLC V.P., COMPLIANCE direct 2002-12-01
CLAYMORE ADVISORS, LLC SENIOR MANAGING DIRECTOR AND CHIEF COMPLIANCE OFFICER direct 2004-09-01
CLAYMORE ADVISORS, LLC MANAGING DIRECTOR AND CHIEF COMPLIANCE OFFICER direct 2004-09-01
CLAYMORE ADVISORS, LLC MANAGING DIRECTOR AND CCO direct 2004-09-01
DESTRA CAPITAL ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2010-12-01

CONFLUENCE INVESTMENT MANAGEMENT LLC

ownership team - last updated 2019-03-27
Name Title Start Date Direct/Indirect % Ownership
HANSEN, BRIAN, NEIL PRESIDENT / MEMBER 12/01/2007 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
CONFLUENCE INVESTMENT ADVISORS LLC PRESIDENT direct 2007-12-01
CONFLUENCE INVESTMENT MANAGEMENT LLC PRESIDENT / MEMBER direct 2007-12-01
CONFLUENCE CAPITAL MANAGEMENT LLC PRESIDENT / MANAGING MEMBER direct 2007-12-01
HANZLIK, JOSEPH, JOHN SVP AND EQUITY ANALYST 12/01/2007 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
CONFLUENCE INVESTMENT ADVISORS LLC CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER direct 2007-12-01
CONFLUENCE INVESTMENT MANAGEMENT LLC SVP, CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER direct 2007-12-01
CONFLUENCE INVESTMENT MANAGEMENT LLC SVP, CHIEF COMPLIANCE OFFICER AND EQUITY ANALYST direct 2007-12-01
KELLER, MARK, ALAN CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER / MEMBER 05/01/2008 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
A. G. EDWARDS & SONS, INC. DIRECTOR, SENIOR VICE PRESIDENT direct 2005-03-01
GALLATIN ASSET MANAGEMENT, INC. DIRECTOR, SENIOR VICE PRESIDENT direct 2005-06-01
GALLATIN ASSET MANAGEMENT, INC. DIRECTOR, PRESIDENT AND CIO direct 2007-10-01
CONFLUENCE INVESTMENT MANAGEMENT LLC CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER / MEMBER direct 2008-05-01
MIYAZAKI, DAVID, BRIAN SVP AND PORTFOLIO MANAGER 05/01/2008 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
CONFLUENCE INVESTMENT MANAGEMENT LLC SVP AND PORTFOLIO MANAGER direct 2008-05-01
WINTER, DANIEL, THOMAS SVP AND CIO - VALUE EQUITIES 05/01/2008 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
CONFLUENCE INVESTMENT MANAGEMENT LLC SVP AND PORTFOLIO MANAGER direct 2008-05-01
DAHL, PATRICIA, ANNETTE SVP AND CFO 02/01/2008 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
CONFLUENCE INVESTMENT MANAGEMENT LLC SVP AND PORTFOLIO MANAGER direct 2008-02-01
CONFLUENCE INVESTMENT MANAGEMENT LLC SVP, CFO AND PORTFOLIO MANAGER direct 2008-02-01
OGRADY, WILLIAM, DANIEL EVP AND CHIEF MARKET STRATEGIST 11/01/2008 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
CONFLUENCE INVESTMENT MANAGEMENT LLC EVP AND CHIEF MARKET STRATEGIST direct 2008-11-01
STOLE, TORE, LARS VP AND DIRECTOR OF RESEARCH 09/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
CONFLUENCE INVESTMENT MANAGEMENT LLC VP AND DIRECTOR OF RESEARCH direct 2009-09-01
STEIN, FREDERICK, CHRISTIAN VP AND PORTFOLIO MANAGER 09/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
CONFLUENCE INVESTMENT MANAGEMENT LLC VP AND PORTFOLIO MANAGER direct 2009-09-01
HAUSLADEN, DUSTIN, ANDREW VP AND EQUITY ANALYST 09/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
CONFLUENCE INVESTMENT MANAGEMENT LLC VP AND DIRECTOR OF BUSINESS DEVELOPMENT direct 2009-09-01
CONFLUENCE INVESTMENT MANAGEMENT LLC VP AND EQUITY ANALYST direct 2009-09-01
DUGAN, THOMAS, WILLIAM VP AND PORTFOLIO MANAGER 12/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
CONFLUENCE INVESTMENT MANAGEMENT LLC AVP AND EQUITY ANALYST direct 2011-12-01
CONFLUENCE INVESTMENT MANAGEMENT LLC AVP AND PORTFOLIO MANAGER direct 2011-12-01
CONFLUENCE INVESTMENT MANAGEMENT LLC VP AND PORTFOLIO MANAGER direct 2011-12-01
WOBBE, JOHN, M VP, ASSOC. DIRECTOR OF RESEARCH AND EQUITY ANALYST 12/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
CONFLUENCE INVESTMENT MANAGEMENT LLC AVP AND EQUITY ANALYST direct 2011-12-01
CONFLUENCE INVESTMENT MANAGEMENT LLC VP, ASSOC. DIRECTOR OF RESEARCH AND EQUITY ANALYST direct 2011-12-01
KOCHEVAR, ANNE, STEELE CHIEF COMPLIANCE OFFICER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLAYMORE SECURITIES, INC. MANAGING DIRECTOR AND CHIEF COMPLIANCE OFFICER direct 2004-09-01
CLAYMORE SECURITIES, INC. SENIOR MANAGING DIRECTOR AND CHIEF COMPLIANCE OFFICER direct 2004-09-01
CLAYMORE SECURITIES, INC. MANAGING DIRECTOR AND CCO direct 2004-09-01
GENEVA CAPITAL MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2015-01-01
HENDERSON GLOBAL INVESTORS (NORTH AMERICA) INC. CHIEF COMPLIANCE OFFICER direct 2015-01-01
PRINCETON CLAYMORE INVESTMENT MANAGEMENT LLC V.P., COMPLIANCE direct 2002-12-01
CLAYMORE ADVISORS, LLC SENIOR MANAGING DIRECTOR AND CHIEF COMPLIANCE OFFICER direct 2004-09-01
CLAYMORE ADVISORS, LLC MANAGING DIRECTOR AND CHIEF COMPLIANCE OFFICER direct 2004-09-01
CLAYMORE ADVISORS, LLC MANAGING DIRECTOR AND CCO direct 2004-09-01
DESTRA CAPITAL ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2010-12-01

CONFLUENCE INVESTMENT MANAGEMENT LLC

ownership team - last updated 2018-05-21
Name Title Start Date Direct/Indirect % Ownership
HANSEN, BRIAN, NEIL PRESIDENT / MEMBER 12/01/2007 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
CONFLUENCE INVESTMENT ADVISORS LLC PRESIDENT direct 2007-12-01
CONFLUENCE INVESTMENT MANAGEMENT LLC PRESIDENT / MEMBER direct 2007-12-01
CONFLUENCE CAPITAL MANAGEMENT LLC PRESIDENT / MANAGING MEMBER direct 2007-12-01
HANZLIK, JOSEPH, JOHN SVP AND EQUITY ANALYST 12/01/2007 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
CONFLUENCE INVESTMENT ADVISORS LLC CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER direct 2007-12-01
CONFLUENCE INVESTMENT MANAGEMENT LLC SVP, CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER direct 2007-12-01
CONFLUENCE INVESTMENT MANAGEMENT LLC SVP, CHIEF COMPLIANCE OFFICER AND EQUITY ANALYST direct 2007-12-01
KELLER, MARK, ALAN CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER / MEMBER 05/01/2008 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
A. G. EDWARDS & SONS, INC. DIRECTOR, SENIOR VICE PRESIDENT direct 2005-03-01
GALLATIN ASSET MANAGEMENT, INC. DIRECTOR, SENIOR VICE PRESIDENT direct 2005-06-01
GALLATIN ASSET MANAGEMENT, INC. DIRECTOR, PRESIDENT AND CIO direct 2007-10-01
CONFLUENCE INVESTMENT MANAGEMENT LLC CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER / MEMBER direct 2008-05-01
MIYAZAKI, DAVID, BRIAN SVP AND PORTFOLIO MANAGER 05/01/2008 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
CONFLUENCE INVESTMENT MANAGEMENT LLC SVP AND PORTFOLIO MANAGER direct 2008-05-01
WINTER, DANIEL, THOMAS SVP AND PORTFOLIO MANAGER 05/01/2008 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
CONFLUENCE INVESTMENT MANAGEMENT LLC SVP AND PORTFOLIO MANAGER direct 2008-05-01
DAHL, PATRICIA, ANNETTE SVP, CFO AND PORTFOLIO MANAGER 02/01/2008 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
CONFLUENCE INVESTMENT MANAGEMENT LLC SVP AND PORTFOLIO MANAGER direct 2008-02-01
CONFLUENCE INVESTMENT MANAGEMENT LLC SVP, CFO AND PORTFOLIO MANAGER direct 2008-02-01
OGRADY, WILLIAM, DANIEL EVP AND CHIEF MARKET STRATEGIST 11/01/2008 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
CONFLUENCE INVESTMENT MANAGEMENT LLC EVP AND CHIEF MARKET STRATEGIST direct 2008-11-01
STOLE, TORE, LARS VP AND DIRECTOR OF RESEARCH 09/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
CONFLUENCE INVESTMENT MANAGEMENT LLC VP AND DIRECTOR OF RESEARCH direct 2009-09-01
STEIN, FREDERICK, CHRISTIAN VP AND PORTFOLIO MANAGER 09/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
CONFLUENCE INVESTMENT MANAGEMENT LLC VP AND PORTFOLIO MANAGER direct 2009-09-01
HAUSLADEN, DUSTIN, ANDREW VP AND EQUITY ANALYST 09/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
CONFLUENCE INVESTMENT MANAGEMENT LLC VP AND DIRECTOR OF BUSINESS DEVELOPMENT direct 2009-09-01
CONFLUENCE INVESTMENT MANAGEMENT LLC VP AND EQUITY ANALYST direct 2009-09-01
DUGAN, THOMAS, WILLIAM VP AND PORTFOLIO MANAGER 12/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
CONFLUENCE INVESTMENT MANAGEMENT LLC AVP AND EQUITY ANALYST direct 2011-12-01
CONFLUENCE INVESTMENT MANAGEMENT LLC AVP AND PORTFOLIO MANAGER direct 2011-12-01
CONFLUENCE INVESTMENT MANAGEMENT LLC VP AND PORTFOLIO MANAGER direct 2011-12-01
WOBBE, JOHN, M VP, ASSOC. DIRECTOR OF RESEARCH AND EQUITY ANALYST 12/01/2011 Direct less than 5%
Fund Name Position direct/indirect start date end date
CONFLUENCE INVESTMENT MANAGEMENT LLC AVP AND EQUITY ANALYST direct 2011-12-01
CONFLUENCE INVESTMENT MANAGEMENT LLC VP, ASSOC. DIRECTOR OF RESEARCH AND EQUITY ANALYST direct 2011-12-01
KOCHEVAR, ANNE, STEELE CHIEF COMPLIANCE OFFICER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
CLAYMORE SECURITIES, INC. MANAGING DIRECTOR AND CHIEF COMPLIANCE OFFICER direct 2004-09-01
CLAYMORE SECURITIES, INC. SENIOR MANAGING DIRECTOR AND CHIEF COMPLIANCE OFFICER direct 2004-09-01
CLAYMORE SECURITIES, INC. MANAGING DIRECTOR AND CCO direct 2004-09-01
GENEVA CAPITAL MANAGEMENT LLC CHIEF COMPLIANCE OFFICER direct 2015-01-01
HENDERSON GLOBAL INVESTORS (NORTH AMERICA) INC. CHIEF COMPLIANCE OFFICER direct 2015-01-01
PRINCETON CLAYMORE INVESTMENT MANAGEMENT LLC V.P., COMPLIANCE direct 2002-12-01
CLAYMORE ADVISORS, LLC SENIOR MANAGING DIRECTOR AND CHIEF COMPLIANCE OFFICER direct 2004-09-01
CLAYMORE ADVISORS, LLC MANAGING DIRECTOR AND CHIEF COMPLIANCE OFFICER direct 2004-09-01
CLAYMORE ADVISORS, LLC MANAGING DIRECTOR AND CCO direct 2004-09-01
DESTRA CAPITAL ADVISORS LLC CHIEF COMPLIANCE OFFICER direct 2010-12-01

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