CONFLUENCE INVESTMENT MANAGEMENT LLC

CRD

146019

SEC file #

801-68723

EIN

753099290

DBA names

—

Economics

AUM

$6.72B

AUM band

$1B+

AUM trajectory

'20 · $5.49B

'21 · $7.02B

'22 · $6.89B

'23 · $7.76B

'25 · $7.25B

'26 · $6.72B

'20'26

$5.49B → $6.72B▲ +22%

sec adv history

Client mix

Individuals Other	13,470
Individuals High Net Worth	1,016
Corporations	220
Charitable Organizations	102
Pension Profit Sharing Plans	52

Operations

Employees (total)

Advisory staff (per ADV)

Advisory staff (5-yr trend)

'20 · 19 advisors

'21 · 20 advisors

'22 · 20 advisors

'23 · 16 advisors

'25 · 24 advisors

'26 · 25 advisors

'20'26

19 advisors → 25 advisors▲ +32%

sec adv history

Primary office

SAINT LOUIS MO

Branches

—

Custodian & Brokerage

Primary custodian

Wells Fargolow confidence

adv brochure

Services offered

Portfolio mgmt — individualsPortfolio mgmt — investment companiesPortfolio mgmt — businessesOther Advisory Services

Fee basis

% of AUM

Filings

Latest ADV filing

03/25/2026

ADV-W filed at

—

Website

vimeo.com/confluenceim

Compliance

Disclosures (firm)

Trademark

—

Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name

HANSEN, BRIAN, NEIL

Top Owner Pct

37.5

Top Owner Entity Kind

Owner Count

Control Persons

HANSEN, BRIAN, NEIL

KELLER, MARK, ALAN

Solo Advisor Indicator

Succession Risk Solo Owner

Is Parent Owned Subsidiary

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed

sec adv w

Web presence ★

Stale website = winding down

Web Signal Quality

Rdap Domain

VIMEO.COM

Rdap Domain Creation Date

2004-12-15T08:38:55Z

Rdap Firm Age Years

Rdap Firm Age Band

20+y

Rdap Registrar

MarkMonitor Inc.

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book

Yes

Form 5500 Plan Count

Form 5500 Total Compensation

231,901

Form 5500 Compensation Trajectory 3y

2025	231,901
2026	0

Form 5500 Plan Count Trajectory 3y

2025	3
2026	3

Schedule C Total Compensation

231,901

Schedule C Service Provider Rows

SEC EDGAR

Edgar Cik

0001573876

Edgar Registered

Yes

Edgar Filing Count

Edgar First Filing Date

2013-04-09

Edgar Last Filing Date

2026-05-15

Edgar 13f Count

Edgar 13f Latest AUM Estimate

Filing Date2026-05-15

Accession0001573876-26-000004

Compliance & brand

Firm Registration Status

active

sec adv w

All other collected signals (17)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed

sec adv w

Bc Firm Active Bc Count

brokercheck firm search

Bc Firm Active IA Count

brokercheck firm search

Bc Firm IAR Count

brokercheck firm search

Custodian Candidates

Full

Wells Fargo	5
Pershing	4
Lpl Financial	4
E*trade	4

adv brochure

Edgar Addresses

Mailing

6600 PEACHTREE DUNWOODY RD.EMBASSY ROW 600, SUITE 575ATLANTA, GA 30328

Business

6600 PEACHTREE DUNWOODY RD.EMBASSY ROW 600, SUITE 575ATLANTA, GA 30328

Edgar EIN

753099290

Edgar Recent Filings

13F-HR2026-05-15 · 0001573876-26-000004

13F-HR2026-02-17 · 0001573876-26-000002

Firm Has Custody

Mailing Office Differs

Rdap Domain Expiration Date

2026-12-15T08:38:55Z

Rdap Domain Last Changed

2025-11-13T12:01:58Z

Rdap Nameservers

Ns-1463.awsdns-54.orgNs-1886.awsdns-43.co.ukNs-682.awsdns-21.netNs-70.awsdns-08.com

Rdap Secure Dns Enabled

Rdap Status

Client Delete ProhibitedClient Transfer ProhibitedClient Update Prohibited

Top Owner CRD

4010114

Trust Company Affiliate

IAR · Direct Owner · 37.5%

People (18)

KELLER, MARK, ALAN

MIYAZAKI, DAVID, BRIAN

IAR · Direct Owner · 7.5%

2225242

PATRICIA ANNETTE DAHL

HANZLIK, JOSEPH, JOHN

Direct Owner · 7.5%

3208927

FARMER, STEVEN, PATRICK

2410030

OGRADY, WILLIAM, DANIEL

1600492

THOMAS WILLIAM DUGAN

HAUSLADEN, DUSTIN, ANDREW

4862325

4810861

TORE LARS STOLE

1470364

JOHN M WOBBE