0001442055-13-000009.txt : 20131017 0001442055-13-000009.hdr.sgml : 20131017 20131016181722 ACCESSION NUMBER: 0001442055-13-000009 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20130930 FILED AS OF DATE: 20131017 DATE AS OF CHANGE: 20131016 EFFECTIVENESS DATE: 20131017 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: 131154937 BUSINESS ADDRESS: STREET 1: 20 ALLEN AVENUE, SUITE 300 CITY: ST. LOUIS STATE: MO ZIP: 63119 BUSINESS PHONE: 314-743-5090 MAIL ADDRESS: STREET 1: 20 ALLEN AVENUE, SUITE 300 CITY: ST. LOUIS STATE: MO ZIP: 63119 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001442056 XXXXXXXX 09-30-2013 09-30-2013 CONFLUENCE INVESTMENT MANAGEMENT LLC

20 ALLEN AVENUE, SUITE 300 ST. LOUIS MO 63119

13F COMBINATION REPORT 028-13334 028-06487 First Trust Advisors L.P. N Joseph Hanzlik 314-743-5096 Joseph Hanzlik Saint Louis MO 10-16-2013 1 254 1613265 false 1 028-06487 First Trust Advisors L.P. INFORMATION TABLE 2 oct13ver3.xml 13F iShares Corporate ex Fin COM 46432FAD9 1794 17845 SH SOLE 17845 0 0 iShares Corporate ex Fin COM 46432FAG2 4778 48209 SH SOLE 48209 0 0 Guggenheim BulletShares C COM 18383M563 1207 55170 SH SOLE 55170 0 0 Guggenheim BulletShares C COM 18383M555 1255 56414 SH SOLE 56414 0 0 Guggenheim BulletShares C COM 18383M548 1792 79221 SH SOLE 79221 0 0 Guggenheim BulletShares C COM 18383M530 1778 85129 SH SOLE 85129 0 0 Guggenheim BulletShares C COM 18383M522 1761 85504 SH SOLE 85504 0 0 Guggenheim BulletShares C COM 18383M514 1741 85093 SH SOLE 85093 0 0 3M Company COM 88579Y101 27188 227685 SH SOLE 227685 0 0 Aberdeen Asia Pacific Prime In COM 003009107 418 68916 SH SOLE 68916 0 0 Affiliated Managers Group Inc. COM 008252108 426 2334 SH SOLE 2334 0 0 Agrium Inc. COM 008916108 343 4084 SH SOLE 4084 0 0 Air Products & Chemicals Inc. COM 009158106 3276 30736 SH SOLE 30736 0 0 American Capital Ltd. COM 02503Y103 2347 170708 SH DFND 0 170708 0 American Express Company COM 025816109 13694 181331 SH SOLE 181331 0 0 Analog Devices, Inc. COM 032654105 3224 68521 SH SOLE 68521 0 0 Annaly Capital Management Inc. COM 035710409 4108 354717 SH DFND 0 354717 0 Apollo Investment Corp. COM 03761U106 3891 477362 SH DFND 0 477362 0 Ares Capital Corp. COM 04010L103 37072 2144130 SH DFND 0 2144130 0 Ares Commercial Real Estate COM 04013V108 249 20000 SH DFND 0 20000 0 Australian Dollar Trust - Curr COM 23129U101 215 2302 SH SOLE 2302 0 0 Automatic Data Processing, Inc COM 053015103 3441 47536 SH SOLE 47536 0 0 Bank of Marin (CA) COM 063425102 1284 30899 SH DFND 0 30899 0 Barclays 3-7 Year Treasury Bon COM 464288661 724 5964 SH SOLE 5964 0 0 Barclays Capital High Yield Bo COM 78464A417 18170 456008 SH SOLE 456008 0 0 Barrick Gold Corp. 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