SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
Confluence Investment Management LLC
Saint Louis, MO
CRD 146019
Firm filing updated March 25, 2026 ·
- $6.7BAssets
- 14,862Clients
- 25Advisory staff
- 14,862Accounts
Fees and minimums
All fee types on the form
- Percentage of assets under managementYes
- Hourly chargesNo
- Fixed feesNo
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- Performance-based feesNo
- OtherNo
Who the firm serves
- Individuals13,470
- High net worth individuals1,016
- Corporations or other businesses220
- Charities102
- Pension and profit sharing plans52
- and 1 more2
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 13,470 | $4.4 billion |
| High net worth individuals | 1,016 | $1.8 billion |
| Investment companies | 2 | $49.8 million |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 52 | $71.4 million |
| Charitable organizations | 102 | $114.1 million |
| Corporations or other businesses not listed above | 220 | $321.1 million |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies
- Portfolio management for businesses (other than small businesses) or institutional clients
See all 4 services
- Other: "MODEL PROVIDER, UIT SECURITY SELECTION AND SUPERVISION"
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies
- Portfolio management for businesses (other than small businesses) or institutional clients
- Other: "MODEL PROVIDER, UIT SECURITY SELECTION AND SUPERVISION"
Assets and accounts
- Regulatory assets$6.7 billion
- Accounts14,862
- DiscretionaryAll accounts
People
- Employees55
- Advisory staff25
- Broker-dealer reps0
- Licensed insurance agents0
Advisors
3 advisors with a profile on Advisable
Listed A to Z by last name. Not a ranking.
Registration details
- SEC-registered investment advisor. CRD 146019, SEC file 801-68723.
- Registered with the SEC as an investment advisor (status date on record: January 10, 2008).
Is Confluence Investment Management LLC a fiduciary?
Short answer: Confluence Investment Management LLC is registered with the SEC as an investment advisor.
More detail
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
The firm does not report commissions, a broker-dealer role, a related broker-dealer, or staff who are broker-dealer representatives.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.