-----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, J0JSfg91EEhasf89Ctn7r6SsWg81rWRDZs0klzCru+fJWyAFCODq2mquv3j558d7 GVb48yl2N73kxABdXQ5MhA== 0001442056-09-000006.txt : 20090430 0001442056-09-000006.hdr.sgml : 20090430 20090430144424 ACCESSION NUMBER: 0001442056-09-000006 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090331 FILED AS OF DATE: 20090430 DATE AS OF CHANGE: 20090430 EFFECTIVENESS DATE: 20090430 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: 09782921 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 cimformmar.txt MARCH 2009 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: MARCH 31, 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 April 30, 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: 133 Form 13F Information Table Value Total: $235,900 (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 - ---------------------------- --------- ------ -------- ------ --- ---- ------- ----- ------ ---- ARBOR RLTY TR INC COM 038923108 167 232000 SH SOLE 232000 0 0 APOLLO INVESTMENT CORP COM 03761U106 2719 781367 SH SOLE 781367 0 0 AFFILIATED MANAGERS GR COM 008252108 297 7130 SH SOLE 7130 0 0 ARES CAPITAL CORP COM 04010L103 7017 1449747 SH SOLE 1449747 0 0 AVERY DENNISON CORP COM 053611109 1230 55081 SH SOLE 55081 0 0 AMERICAN EXPRESS CO COM 025816109 1585 116268 SH SOLE 116268 0 0 BED BATH & BEYOND INC COM 075896100 2715 109678 SH SOLE 109678 0 0 BLACKROCK KELSO CAPITA COM 092533108 3790 904470 SH SOLE 904470 0 0 BERKSHIRE HATHAWAY INC COM 084670207 2735 970 SH SOLE 970 0 0 BROWN & BROWN INC COM 115236101 387 20446 SH SOLE 20446 0 0 PEABODY ENERGY CORP COM 704549104 3269 130565 SH SOLE 130565 0 0 CADBURY PLC COM 12721E102 3816 125937 SH SOLE 125937 0 0 COMPASS DIVERSIFIED HO COM 20451Q104 426 47800 SH SOLE 47800 0 0 CALIFORNIA PIZZA KITCH COM 13054D109 560 42783 SH SOLE 42783 0 0 CPI CORP COM 125902106 187 25319 SH SOLE 25319 0 0 ISHARES LEHMAN 1-3 YR COM 464288646 3502 35405 SH SOLE 35405 0 0 CHEVRON CORP COM 166764100 4813 71578 SH SOLE 71578 0 0 CEMEX S A B DE CV SPON COM 151290889 80 12854 SH SOLE 12854 0 0 CYPRESS SHARPRIDGE INV COM 23281A505 192 192307 SH SOLE 192307 0 0 POWERSHARES DB ENERGY COM 73936B101 675 34950 SH SOLE 34950 0 0 DIAGEO PLC ADR 25243Q205 4299 96060 SH SOLE 96060 0 0 QUEST DIAGNOSTICS INC COM 74834L100 2973 62610 SH SOLE 62610 0 0 GOLD SHORT EXCHANGE TR COM 25154H731 585 23658 SH SOLE 23658 0 0 DIONEX CORPORATION COM 254546104 338 7157 SH SOLE 7157 0 0 DR PEPPER SNAPPLE COM 26138E109 302 17831 SH SOLE 17831 0 0 ENTERPRISE FINANCIAL S COM 293712105 221 22653 SH SOLE 22653 0 0 EMERSON ELECTRIC CO COM 291011104 4007 140218 SH SOLE 140218 0 0 AMBASSADORS GROUP INC COM 023177108 317 39017 SH SOLE 39017 0 0 FINANCIAL FEDERAL CORP COM 317492106 541 25559 SH SOLE 25559 0 0 FIDELITY NATIONAL FINA COM 31620R105 3400 174271 SH SOLE 174271 0 0 FIFTH STREET FINANCE COM 31678A103 1950 252000 SH SOLE 252000 0 0 FORWARD AIR CORP COM 349853101 339 20874 SH SOLE 20874 0 0 CURRENCYSHARES AUSTRAL COM 23129U101 735 10551 SH SOLE 10551 0 0 CURRENCYSHARES BRITISH COM 23129S106 673 4692 SH SOLE 4692 0 0 CHINA FTSE INDEX FUND COM 464287184 704 24686 SH SOLE 24686 0 0 GLADSTONE INVESTMENT C COM 376546107 700 183333 SH SOLE 183333 0 0 GRACO INC. COM 384109104 1863 109127 SH SOLE 109127 0 0 GRAMERCY CAP CORP COM COM 384871109 204 209900 SH SOLE 209900 0 0 GLADSTONE CAPITAL CORP COM 376535100 4355 695646 SH SOLE 695646 0 0 GSC INVESTMENT CORP COM 362493108 113 50500 SH SOLE 50500 0 0 GLADSTONE COMMERCIAL C COM 376536108 286 32262 SH SOLE 32262 0 0 GLAXOSMITHKLINE PLC COM 37733W105 1836 59088 SH SOLE 59088 0 0 HIGHLAND DISTRESSED OP COM 430067108 103 51797 SH SOLE 51797 0 0 HOME DEPOT INC COM 437076102 2303 97762 SH SOLE 97762 0 0 HATTERAS FINANCIAL COR COM 41902R202 100 100000 SH SOLE 100000 0 0 HERCULES TECHNOLOGY GR COM 427096508 2683 536566 SH SOLE 536566 0 0 HEARTLAND EXPRESS INC COM 422347104 409 27646 SH SOLE 27646 0 0 HATTERAS FINL CORP COM COM 41902R103 1329 53195 SH SOLE 53195 0 0 HIGH YIELD CORPORATE B COM 464288513 6156 90804 SH SOLE 90804 0 0 UTILITIES SECTOR- ISHA COM 464287697 516 8482 SH SOLE 8482 0 0 IDEXX LABORATORIES, IN COM 45168D104 308 8905 SH SOLE 8905 0 0 IRON MOUNTAIN INC COM 462846106 216 9755 SH SOLE 9755 0 0 ILLINOIS TOOL WORKS IN COM 452308109 2391 77508 SH SOLE 77508 0 0 S&P 500 VALUE - ISHARE COM 464287408 517 13897 SH SOLE 13897 0 0 S&P 500 INDEX- ISHARES COM 464287200 279 3500 SH SOLE 3500 0 0 S&P 500 GROWTH - ISHAR COM 464287309 580 13856 SH SOLE 13856 0 0 RUSSELL 2000 VALUE- IS COM 464287630 421 10678 SH SOLE 10678 0 0 RUSSELL 2000 GROWTH- I COM 464287648 462 10053 SH SOLE 10053 0 0 TELECOM SECTOR- ISHARE COM 464287713 510 31985 SH SOLE 31985 0 0 IPATH DJ AIG COPPER TR COM 06739F101 669 25876 SH SOLE 25876 0 0 JOHNSON & JOHNSON COM 478160104 5375 102179 SH SOLE 102179 0 0 HIGH YIELD BOND- SPDR COM 78464A417 4401 149502 SH SOLE 149502 0 0 JOHN WILEY & SONS INC COM 968223206 451 15146 SH SOLE 15146 0 0 KOHLBERG CAPITAL CORP COM 500233101 1802 588827 SH SOLE 588827 0 0 KENNETH COLE PRODUCTIO COM 193294105 203 31795 SH SOLE 31795 0 0 LANDAUER INC COM 51476K103 1970 38867 SH SOLE 38867 0 0 LOWE'S COMPANIES INC COM 548661107 3491 191313 SH SOLE 191313 0 0 INVESTMENT GRADE CORPO COM 464287242 2451 26037 SH SOLE 26037 0 0 MAIN STREET CAPITAL CO COM 56035L104 158 15875 SH SOLE 15875 0 0 LEHMAN MBS FIXED-RATE COM 464288588 2188 20652 SH SOLE 20652 0 0 MCG CAPITAL CORP COM 58047P107 556 434661 SH SOLE 434661 0 0 MERCURY GENERAL CORP COM 589400100 1827 61521 SH SOLE 61521 0 0 MEDICAL ACTION INDUSTR COM 58449L100 1055 127304 SH SOLE 127304 0 0 MFA MORTGAGE INVESTMEN COM 55272X102 2646 450000 SH SOLE 450000 0 0 MOHAWK INDUSTRIES INC COM 608190104 962 32203 SH SOLE 32203 0 0 MARKEL CORP COM 570535104 2695 9494 SH SOLE 9494 0 0 3M COMPANY COM 88579Y101 2226 44768 SH SOLE 44768 0 0 MICROSOFT CORP COM 594918104 4535 246872 SH SOLE 246872 0 0 MVC CAPITAL INC COM 553829102 5776 686812 SH SOLE 686812 0 0 NGP CAPITAL RESOURCES COM 62912R107 1754 352879 SH SOLE 352879 0 0 ANNALY CAPITAL MANAGEM COM 035710409 4675 337084 SH SOLE 337084 0 0 NORTHSTAR RLTY FIN COR COM 66704R100 1926 830061 SH SOLE 830061 0 0 PAYCHEX INC COM 704326107 2103 81936 SH SOLE 81936 0 0 PATRIOT CAPITAL FUNDIN COM 70335Y104 1101 601874 SH SOLE 601874 0 0 PLUM CREEK TIMBER CO I COM 729251108 2102 72317 SH SOLE 72317 0 0 PATTERSON COMPANIES IN COM 703395103 443 23488 SH SOLE 23488 0 0 PEPSICO INC COM 713448108 5049 98068 SH SOLE 98068 0 0 PFIZER INC COM 717081103 3864 283695 SH SOLE 283695 0 0 PENNANTPARK INVESTMENT COM 708062104 2759 735732 SH SOLE 735732 0 0 PANERA BREAD CO COM 69840W108 417 7463 SH SOLE 7463 0 0 PROSPECT CAPITAL CORP COM 74348T102 8429 989326 SH SOLE 989326 0 0 ROSS STORES INC COM 778296103 952 26538 SH SOLE 26538 0 0 RAYONIER INC COM 754907103 2795 92478 SH SOLE 92478 0 0 ISTAR FINANCIAL INC COM 45031U101 424 150802 SH SOLE 150802 0 0 LEHMAN SHORT TERM MUNI COM 78464A425 824 34619 SH SOLE 34619 0 0 SHERWIN-WILLIAMS CO COM 824348106 2455 47233 SH SOLE 47233 0 0 SIGMA ALDRICH CORP COM 826552101 447 11823 SH SOLE 11823 0 0 ST MARY LAND & EXPLORA COM 792228108 191 14435 SH SOLE 14435 0 0 SCOTTS MIRACLE-GRO CO. COM 810186106 402 11576 SH SOLE 11576 0 0 SNAP-ON INC COM 833034101 1904 75838 SH SOLE 75838 0 0 SOUTHERN COMPANY COM 842587107 2181 71223 SH SOLE 71223 0 0 SONIC CORP COM 835451105 1116 111423 SH SOLE 111423 0 0 SOURCE CAPITAL INC COM 836144105 1622 57097 SH SOLE 57097 0 0 SIMPSON MANUFACTURING COM 829073105 310 17192 SH SOLE 17192 0 0 MEDALLION FINL CORP COM 583928106 3405 459504 SH SOLE 459504 0 0 TCF FINANCIAL CORP COM 872275102 2363 200927 SH SOLE 200927 0 0 LEHMAN MUNICIPAL BOND COM 78464A458 839 37980 SH SOLE 37980 0 0 TICC CAPITAL CORP COM COM 87244T109 1667 475485 SH SOLE 475485 0 0 TJX COMPANIES, INC. COM 872540109 1768 68941 SH SOLE 68941 0 0 THERMO FISHER SCIENTIF COM 883556102 2613 73246 SH SOLE 73246 0 0 TYCO INTERNATIONAL LTD COM H89128104 2072 105931 SH SOLE 105931 0 0 REIT INDEX ETF- VANGUA COM 922908553 958 39472 SH SOLE 39472 0 0 VECTREN CORP COM 92240G101 1983 94011 SH SOLE 4011 0 0 WESTAMERICA BANCORPORA COM 957090103 1541 33822 SH SOLE 33822 0 0 WATERS CORP COM 941848103 3046 82448 SH SOLE 82448 0 0 WELLS FARGO & CO COM 949746101 1620 113778 SH SOLE 113778 0 0 WAL-MART STORES INC COM 931142103 3057 58671 SH SOLE 58671 0 0 WESCO FINANCIAL CORP COM 950817106 304 1103 SH SOLE 1103 0 0 WEST PHARMACEUTICAL SE COM 955306105 291 8881 SH SOLE 8881 0 0 WHITE MTNS INS GROUP L COM G9618E107 1498 8714 SH SOLE 8714 0 0 WESTERN UNION COMPANY COM 959802109 2313 184020 SH SOLE 184020 0 0 HOMEBUILDERS SELECT IN COM 78464A888 1148 108084 SH SOLE 108084 0 0 MATERIALS SELECT SECTO COM 81369Y100 402 18078 SH SOLE 18078 0 0 ENERGY SELECT SECTOR S COM 81369Y506 1640 38616 SH SOLE 38616 0 0 FINANCIAL SELECT SECTO COM 81369Y605 1383 156928 SH SOLE 156928 0 0 INDUSTRIAL SELECT SECT COM 81369Y704 3937 213605 SH SOLE 213605 0 0 TECHNOLOGY SELECT SECT COM 81369Y803 2146 137364 SH SOLE 137364 0 0 CONSUMER STAPLE SELECT COM 81369Y308 1104 52341 SH SOLE 52341 0 0 HEALTHCARE SELECT SECT COM 81369Y209 945 39049 SH SOLE 39049 0 0 CONSUMER DISCRETIONARY COM 81369Y407 2278 115924 SH SOLE 115924 0 0 EXXON MOBIL CORP COM 30231G102 2797 41068 SH SOLE 41068 0 0 PROSHARES ULTRASHORT Y COM 74347W858 612 24309 SH SOLE 24309 0 0 ZEBRA TECHNOLOGIES COR COM 989207105 299 15707 SH SOLE 15707 0 0
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