CONFLUENCE INVESTMENT MANAGEMENT LLC
|
|
CONFLUENCE INVESTMENT MANAGEMENT LLC
(CRD# 146019)
is an SEC-Registered Investment Advisor (RIA), headquartered in
Saint Louis, MO.
The SEC approved the firm to operate as an RIA in
Jan 2008.
In
Mar 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$7.9 Billion,
with discretion over
70%
of those assets.
Pooled investment vehicles (Private Funds) account for
0%
of RAUM.
Non-US investors represent
0%
.
|
|
CONFLUENCE INVESTMENT MANAGEMENT LLC
also reported in
Mar 2019
-
41
employees,
with
19
performing advisory functions.
-
A total of 3 office locations.
-
No registrations with foreign financial regulatory authorities.
-
NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
|
|
CONFLUENCE INVESTMENT MANAGEMENT LLC has no disclosure events reported to the SEC at this time.
|
|
|
|
|
|
|
|
|
|
CONFLUENCE INVESTMENT MANAGEMENT LLC has Notice Filings with the following State Securities Authorities:
AK-Mar 2016, AL-Mar 2010, AR-Aug 2008, AZ-Aug 2008, CA-Aug 2008
, CO-Aug 2008, CT-Mar 2010, DC-Feb 2015, DE-Feb 2015, FL-Aug 2008
, GA-Aug 2008, HI-Mar 2018, IA-Aug 2008, ID-Mar 2010, IL-Mar 2008
, IN-Aug 2008, KS-Aug 2008, KY-Mar 2012, LA-Feb 2015, MA-Mar 2010
, MD-Mar 2010, ME-Mar 2016, MI-Aug 2008, MN-Mar 2010, MO-Jan 2008
, MS-Aug 2008, MT-Feb 2015, NC-Aug 2008, ND-Feb 2015, NE-Mar 2010
, NH-Mar 2016, NJ-Sep 2008, NM-Mar 2016, NV-Mar 2010, NY-Jul 2008
, OH-Mar 2010, OK-Mar 2010, OR-Aug 2008, PA-Aug 2008, PR-Mar 2018
, RI-Mar 2016, SC-Aug 2008, SD-Feb 2015, TN-Mar 2010, TX-Jul 2008
, UT-Mar 2012, VA-Mar 2010, VI-Mar 2018, VT-Mar 2016, WA-Aug 2008
, WI-Aug 2008, WV-Feb 2015, WY-Mar 2018
|
|
|
|
Disclaimer:
The information presented above was gleaned
from the SEC website and is believed to be
accurate. FindingFraud.org is
presenting this data for informational
purposes only and assumes no responsibility
for errors or omissions. Please note
that we are aware of many instances where
RIAs provided erroneous data to the
SEC. Feel free to contact
FindingFraud.org with questions or concerns.
|
|
|
|
|
|
|
|
