CONFLUENCE INVESTMENT MANAGEMENT LLC
Adviser information for CONFLUENCE INVESTMENT MANAGEMENT LLC last updated from Form ADV on March 21st, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 54 |
|---|---|
| Investment Advisory/Research | 23 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 15 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 17,208 | $7.2B |
| Non-Discretionary | 0 | $0 |
| Total | 17,208 | $7.2B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 15,801 | $4.8B |
| HNW Individuals | 964 | $1.7B |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 3 | $92.0M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 69 | $82.4M |
| Charitable organizations | 129 | $140.1M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 242 | $309.7M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 6 |
| No. of Non-U.S. Clients | 1 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for investment companiesPortfolio management for businesses or institutional clientsMODEL PROVIDER, UIT SECURITY SELECTION AND SUPERVISION |
|---|---|
| Compensation | % of AUM |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 5.5B |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| PERSONALIZED UMA | WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC |
| CITIGROUP GLOBAL MARKETS INC. | CITIGROUP GLOBAL MARKETS INC. |
| SEPARATELY MANAGED ACCOUNT AND EDWARDS WEALTH MANAGEMENT | BENJAMIN F. EDWARDS & COMPANY, INCORPORATED |
| SEPARATE ACCOUNT MANAGEMENT PROGRAM | D.A. DAVIDSON & CO. |
| BAIRD SMA NETWORK | ROBERT W. BAIRD & CO. INCORPORATED |
| CONNECT PROGRAM | STIFEL, NICOLAUS & COMPANY, INCORPORATED |
| LPL FINANCIAL LLC | LPL FINANCIAL LLC |
Principal Office
20 ALLEN AVENUE, STE 300SAINT LOUIS
MO
United States
Monday - Friday, 8A.M. - 5P.M.
Tel: 314-743-5090, Fax: 314-743-5205
Chief Compliance Officer
STEVEN FARMER
CCO
20 ALLEN AVENUE, STE 300
SAINT LOUIS
MO
United States
Tel:
314-743-5298
Fax:
314-743-5205
S******@***************M
(Full email address available in API data)
Regulatory Contact
STEVEN FARMER
CCO
20 ALLEN AVENUE, STE 300
SAINIT LOUIS
MO
United States
Tel:
314-743-5090
Fax:
314-743-5205
C*********@***************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| HANSEN, BRIAN, NEIL | Individual | – | PRESIDENT / MEMBER | 12/2007 | 25-50% |
| HANZLIK, JOSEPH, JOHN | Individual | – | SVP AND EQUITY ANALYST | 12/2007 | 5-10% |
| KELLER, MARK, ALAN | Individual | – | CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER / MEMBER | 05/2008 | 25-50% |
| MIYAZAKI, DAVID, BRIAN | Individual | – | SVP AND PORTFOLIO MANAGER | 05/2008 | 5-10% |
| WINTER, DANIEL, THOMAS | Individual | – | SVP AND CIO - VALUE EQUITIES | 05/2008 | 5-10% |
| DAHL, PATRICIA, ANNETTE | Individual | – | SVP AND CFO | 02/2008 | 5-10% |
| OGRADY, WILLIAM, DANIEL | Individual | – | EVP AND CHIEF MARKET STRATEGIST | 11/2008 | < 5% |
| STOLE, TORE, LARS | Individual | – | VP AND DIRECTOR OF RESEARCH (EMERITUS) | 09/2009 | < 5% |
| HAUSLADEN, DUSTIN, ANDREW | Individual | – | VP AND EQUITY ANALYST | 09/2009 | < 5% |
| DUGAN, THOMAS, WILLIAM | Individual | – | VP AND PORTFOLIO MANAGER | 12/2011 | < 5% |
| WOBBE, JOHN, M | Individual | – | VP, DIRECTOR OF RESEARCH AND EQUITY ANALYST | 12/2011 | < 5% |
| FARMER, STEVEN, PATRICK | Individual | – | CHIEF COMPLIANCE OFFICER | 07/2019 | < 5% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed July 1st, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| A. O. Smith Corp. | COM | 22M | 273K | – |
| abrdn Physical Silver Shares E | COM | 3M | 96K | – |
| Accenture plc | COM | 994K | 3K | – |
| AerCap Holdings N.V. | COM | 1M | 12K | – |
| AGNC Investment Corp. | COM | 19K | 2K | – |
| AGNC Investment Corp. | COM | 1M | 105K | First Trust Advisors LP |
| Agnico Eagle Mines Ltd. | COM | 1M | 19K | – |
| Air Products and Chemicals Inc | COM | 24M | 92K | – |
| Alcoa Corp. | COM | 455K | 11K | – |
| Allient Inc. | COM | 2M | 68K | – |
| Allient Inc. | COM | 357K | 14K | First Trust Advisors LP |
| Alphabet Inc. | COM | 76M | 417K | – |
| Alphabet Inc. | COM | 275K | 2K | – |
| American Express Co. | COM | 556K | 2K | – |
| American Outdoor Brands Inc. | COM | 2M | 168K | – |
| American Outdoor Brands Inc. | COM | 342K | 38K | First Trust Advisors LP |
| American Water Works Co. Inc. | COM | 19M | 146K | – |
| Ameriprise Financial Inc. | COM | 205K | 480 | – |
| Amphenol Corp. | COM | 25M | 369K | – |
| Amplify Cyber Security ETF | COM | 4M | 55K | – |
| Analog Devices Inc. | COM | 151M | 663K | – |
| Annaly Capital Management Inc. | COM | 12K | 648 | – |
| Annaly Capital Management Inc. | COM | 3M | 135K | First Trust Advisors LP |
| Antero Resources Corp. | COM | 604K | 18K | – |
| Antofagasta PLC ADR | COM | 657K | 24K | – |
| Arcos Dorados Holdings Inc. | COM | 153K | 17K | – |
| Ares Capital Corp. | COM | 77M | 4M | – |
| Ares Capital Corp. | COM | 2M | 100K | First Trust Advisors LP |
| Azek Co. Inc. | COM | 10M | 231K | – |
| Azek Co. Inc. | COM | 721K | 17K | First Trust Advisors LP |
| BAE Systems plc | COM | 682K | 10K | – |
| Bain Capital Specialty Finance | COM | 302K | 19K | – |
| Bain Capital Specialty Finance | COM | 2M | 100K | First Trust Advisors LP |
| Baldwin Group | COM | 11M | 318K | – |
| Baldwin Group | COM | 996K | 28K | First Trust Advisors LP |
| Bank of America Corp. | COM | 24K | 591 | – |
| Bank of America Corp. | COM | 398K | 10K | First Trust Advisors LP |
| Barings BDC Inc. | COM | 1M | 119K | – |
| Barings BDC Inc. | COM | 4M | 390K | First Trust Advisors LP |
| Barrick Gold Corp. | COM | 452K | 27K | – |
| Becton Dickinson and Co. | COM | 19M | 81K | – |
| Berkshire Hathaway Inc. - A | COM | 3M | 5 | – |
| Berkshire Hathaway Inc. - B | COM | 63M | 155K | – |
| Berkshire Hathaway Inc. - B | COM | 2M | 5K | First Trust Advisors LP |
| Betterware de Mexico SAPI de C | COM | 160K | 11K | – |
| BHP Billiton Ltd. | COM | 444K | 8K | – |
| BlackRock TCP Capital Corp. | COM | 597K | 55K | – |
| BlackRock TCP Capital Corp. | COM | 2M | 212K | First Trust Advisors LP |
| Blackstone Group LP | COM | 1M | 11K | First Trust Advisors LP |
| Blackstone Secured Lending Fun | COM | 918K | 30K | – |
| Blackstone Secured Lending Fun | COM | 5M | 160K | First Trust Advisors LP |
| Blue Owl Capital Corp III | COM | 828K | 55K | – |
| Blue Owl Capital Corp III | COM | 3M | 178K | First Trust Advisors LP |
| BNP Paribas S.A. | COM | 658K | 20K | – |
| Booking Holdings Inc. | COM | 49M | 12K | – |
| Broadridge Financial Solutions | COM | 129M | 653K | – |
| Brookfield Asset Management | COM | 3M | 90K | – |
| Brookfield Infrastructure Corp | COM | 78M | 2M | – |
| Brown & Brown Inc. | COM | 49M | 545K | – |
| Brown & Brown Inc. | COM | 700K | 8K | First Trust Advisors LP |
| CAE Inc. | COM | 466K | 25K | – |
| Cameco Corp. | COM | 1M | 21K | – |
| Cannae Holdings Inc. | COM | 2M | 98K | – |
| Cannae Holdings Inc. | COM | 295K | 16K | First Trust Advisors LP |
| Capital Southwest Corp. | COM | 684K | 26K | – |
| Capital Southwest Corp. | COM | 2M | 71K | First Trust Advisors LP |
| CarMax Inc. | COM | 11M | 148K | – |
| Cavco Industries Inc. | COM | 3M | 8K | – |
| Cavco Industries Inc. | COM | 618K | 2K | First Trust Advisors LP |
| Charles River Laboratories Int | COM | 20M | 95K | – |
| Chesapeake Energy Corp. | COM | 611K | 7K | – |
| Chevron Corp. | COM | 118M | 753K | – |
| Chubb Ltd. | COM | 154M | 602K | – |
| Chugai Pharms Co. Ltd | COM | 703K | 40K | – |
| Cisco Systems Inc. | COM | 87M | 2M | – |
| Clorox Co. | COM | 120M | 882K | – |
| Coca-Cola Femsa SAB de CV | COM | 248K | 3K | – |
| Colgate-Palmolive Co. | COM | 134M | 1M | – |
| CONMED Corp. | COM | 3M | 40K | – |
| CONMED Corp. | COM | 740K | 11K | First Trust Advisors LP |
| ConocoPhillips | COM | 596K | 5K | – |
| Constellation Brands | COM | 36M | 141K | – |
| Controladora Vuela Cia de Avia | COM | 178K | 28K | – |
| Core Laboratories N.V. | COM | 2M | 111K | – |
| Core Laboratories N.V. | COM | 596K | 29K | First Trust Advisors LP |
| Costco Wholesale Corp. | COM | 210K | 247 | – |
| Coterra Energy Inc. | COM | 529K | 20K | – |
| Crescent Capital BDC Inc. | COM | 546K | 29K | – |
| Crescent Capital BDC Inc. | COM | 799K | 43K | First Trust Advisors LP |
| Curtiss-Wright Corp. | COM | 314K | 1K | – |
| CyberArk Software Ltd. | COM | 911K | 3K | – |
| DBS Group Holdings Ltd. | COM | 857K | 8K | – |
| Denison Mines Corp. | COM | 484K | 243K | – |
| Diageo plc | COM | 117M | 932K | – |
| Diamondback Energy Inc. | COM | 734K | 4K | – |
| Dimensional National Municipal | COM | 11M | 230K | – |
| Dollar Tree Inc. | COM | 14M | 129K | – |
| Donaldson Co. Inc. | COM | 24M | 335K | – |
| Dow Inc. | COM | 88M | 2M | – |
| Dr Reddy's Laboratories Ltd. | COM | 278K | 4K | – |
| Dun & Bradstreet Holdings Inc. | COM | 38M | 4M | – |
| DuPont de Nemours Inc. | COM | 11M | 140K | – |
| Ecolab Inc. | COM | 28M | 118K | – |
| Ecopetrol S.A. | COM | 171K | 15K | – |
| Ecovyst Inc. | COM | 2M | 227K | – |
| Ecovyst Inc. | COM | 732K | 82K | First Trust Advisors LP |
| Edgewell Personal Care Co. | COM | 3M | 68K | – |
| Edgewell Personal Care Co. | COM | 769K | 19K | First Trust Advisors LP |
| Entergy Corp. | COM | 89M | 832K | – |
| EOG Resources Inc. | COM | 24M | 193K | – |
| Expeditors International of Wa | COM | 24M | 192K | – |
| Exxon Mobil Corp. | COM | 626K | 5K | – |
| Fastenal Co. | COM | 109M | 2M | – |
| Fidelity National Financial In | COM | 118M | 2M | – |
| Fomento Economico Mexicano S.A | COM | 327K | 3K | – |
| Franco-Nevada Corp. | COM | 577K | 5K | – |
| Franklin FTSE Japan ETF | COM | 8M | 286K | – |
| Franklin Street Properties Cor | COM | 2M | 1M | – |
| Freeport-McMoRan Inc. | COM | 609K | 13K | – |
| FS KKR Capital Corp. | COM | 260K | 13K | – |
| FS KKR Capital Corp. | COM | 760K | 39K | First Trust Advisors LP |
| Gates Industrial Corp. plc | COM | 17M | 1M | – |
| Gates Industrial Corp. plc | COM | 695K | 44K | First Trust Advisors LP |
| General Dynamics Corp. | COM | 26M | 89K | – |
| Gilead Sciences Inc. | COM | 83M | 1M | – |
| Glencore plc | COM | 463K | 41K | – |
| Global X Uranium ETF | COM | 12M | 419K | – |
| Gold Fields Ltd. | COM | 284K | 19K | – |
| Goldman Sachs BDC Inc. | COM | 830K | 55K | – |
| Goldman Sachs BDC Inc. | COM | 2M | 135K | First Trust Advisors LP |
| Golub Capital BDC Inc. | COM | 1M | 76K | – |
| Golub Capital BDC Inc. | COM | 4M | 260K | First Trust Advisors LP |
| Graco Inc. | COM | 58M | 727K | – |
| Grupo Financiero Banorte S.A.B | COM | 230K | 6K | – |
| Hagerty Inc. | COM | 3M | 268K | – |
| Hagerty Inc. | COM | 987K | 95K | First Trust Advisors LP |
| Haleon plc | COM | 691K | 84K | – |
| Hayward Holdings Inc. | COM | 2M | 174K | – |
| Hayward Holdings Inc. | COM | 633K | 51K | First Trust Advisors LP |
| HDFC Bank Ltd. | COM | 217K | 3K | – |
| Healthcare Services Group Inc. | COM | 2M | 171K | – |
| Hercules Capital Inc. | COM | 1M | 50K | – |
| Hercules Capital Inc. | COM | 7M | 330K | First Trust Advisors LP |
| Hershey Co. | COM | 132M | 718K | – |
| Hess Corp. | COM | 525K | 4K | – |
| Home Depot Inc. | COM | 129M | 375K | – |
| i3 Verticals Inc. | COM | 6M | 270K | – |
| i3 Verticals Inc. | COM | 809K | 37K | First Trust Advisors LP |
| ICICI Bank Ltd. | COM | 304K | 11K | – |
| ICON plc | COM | 1M | 4K | – |
| Illinois Tool Works Inc. | COM | 58M | 243K | – |
| Infosys Ltd. | COM | 193K | 10K | – |
| ING Groep N.V. | COM | 852K | 50K | – |
| Invesco BulletShares 2024 Muni | COM | 4M | 141K | – |
| Invesco BulletShares 2025 Muni | COM | 5M | 226K | – |
| Invesco BulletShares 2026 Muni | COM | 5M | 234K | – |
| Invesco BulletShares 2027 Muni | COM | 6M | 258K | – |
| Invesco BulletShares 2028 Muni | COM | 7M | 286K | – |
| Invesco BulletShares 2029 Muni | COM | 3M | 124K | – |
| Invesco BulletShares 2030 Muni | COM | 278K | 13K | – |
| Invesco BulletShares 2031 Muni | COM | 6M | 282K | – |
| Invesco BulletShares 2032 Munc | COM | 296K | 12K | – |
| Invesco Bulletshares 2033 Muni | COM | 291K | 11K | – |
| Invesco S&P MidCap Quality ETF | COM | 46M | 470K | – |
| iShares 0-3 Month Treasury Bon | COM | 136M | 1M | – |
| iShares 1-3 Year Treasury Bond | COM | 18M | 221K | – |
| iShares 1-5 Year Investment Gr | COM | 18M | 354K | – |
| iShares 3-7 Year Treasury Bond | COM | 4M | 34K | – |
| iShares Barclays 10-20 Year Tr | COM | 8M | 78K | – |
| iShares BB Rated Corporate Bon | COM | 42M | 918K | – |
| iShares Core S&P US Value ETF | COM | 499K | 6K | – |
| iShares Gold Trust ETF | COM | 601K | 14K | – |
| iShares iBonds Dec 2024 Term M | COM | 1M | 40K | – |
| iShares iBonds Dec 2025 Term C | COM | 5M | 215K | – |
| iShares iBonds Dec 2025 Term M | COM | 1M | 38K | – |
| iShares iBonds Dec 2026 Term C | COM | 22M | 910K | – |
| iShares iBonds Dec 2026 Term M | COM | 2M | 71K | – |
| iShares iBonds Dec 2026 Term T | COM | 20M | 864K | – |
| iShares iBonds Dec 2027 Term C | COM | 4M | 169K | – |
| iShares iBonds Dec 2027 Term M | COM | 1M | 40K | – |
| iShares iBonds Dec 2027 Term T | COM | 31M | 1M | – |
| iShares iBonds Dec 2028 Term M | COM | 277K | 11K | – |
| iShares iBonds Dec 2028 Term T | COM | 10M | 446K | – |
| iShares iBonds Dec 2029 Term M | COM | 290K | 12K | – |
| iShares iBonds Dec 2029 Term T | COM | 8M | 366K | – |
| iShares iBonds Dec 2030 Term T | COM | 8M | 407K | – |
| iShares iBonds Dec 2032 Term T | COM | 10M | 430K | – |
| iShares iBonds Dec 2033 Term C | COM | 8M | 319K | – |
| iShares MBS ETF | COM | 18M | 196K | – |
| iShares National Muni Bond ETF | COM | 2M | 20K | – |
| iShares Russell 1000 Value ETF | COM | 522K | 3K | – |
| iShares US Aerospace & Defense | COM | 5M | 39K | – |
| ITOCHU Corp. | COM | 841K | 9K | – |
| J & J Snack Foods Corp. | COM | 3M | 18K | – |
| J & J Snack Foods Corp. | COM | 836K | 5K | First Trust Advisors LP |
| JBS S.A. | COM | 179K | 15K | – |
| John B Sanfilippo & Son Inc. | COM | 2M | 24K | – |
| John B Sanfilippo & Son Inc. | COM | 756K | 8K | First Trust Advisors LP |
| John Bean Technologies Corp. | COM | 10M | 105K | – |
| John Bean Technologies Corp. | COM | 687K | 7K | First Trust Advisors LP |
| JPMorgan Chase & Co. | COM | 210K | 1K | – |
| Kadant Inc. | COM | 3M | 11K | – |
| Kadant Inc. | COM | 796K | 3K | First Trust Advisors LP |
| Kayne Anderson BDC | COM | 1M | 90K | First Trust Advisors LP |
| KB Financial Group Inc. | COM | 307K | 5K | – |
| Kemper Corp. | COM | 265K | 4K | – |
| Keurig Dr. Pepper Inc. | COM | 12M | 373K | – |
| Keysight Technologies Inc. | COM | 47M | 345K | – |
| Kinder Morgan Inc. | COM | 90M | 5M | – |
| Komatsu Ltd. | COM | 545K | 19K | – |
| L'Oreal S.A. | COM | 906K | 10K | – |
| Lamb Weston Holdings Inc. | COM | 8M | 94K | – |
| Linde plc | COM | 151M | 343K | – |
| Lockheed Martin Corp. | COM | 149M | 319K | – |
| Lowe's Cos. Inc. | COM | 54M | 247K | – |
| LVMH Moet Hennessy Louis Vuitt | COM | 751K | 5K | – |
| Main Street Capital Corp. | COM | 975K | 19K | – |
| Main Street Capital Corp. | COM | 6M | 111K | First Trust Advisors LP |
| MakeMyTrip Ltd. | COM | 583K | 7K | – |
| Markel Corp. Inc. | COM | 61M | 39K | – |
| Markel Corp. Inc. | COM | 236K | 150 | First Trust Advisors LP |
| Marten Transport Ltd. | COM | 2M | 116K | – |
| Marten Transport Ltd. | COM | 737K | 40K | First Trust Advisors LP |
| Martin Marietta Materials Inc. | COM | 35M | 65K | – |
| Masco Corp. | COM | 65M | 974K | – |
| Mastercard Inc. | COM | 83M | 188K | – |
| Materion Corp. | COM | 389K | 4K | – |
| McDonald's Corp. | COM | 22M | 85K | – |
| Medtronic plc | COM | 17M | 215K | – |
| MercadoLibre Inc. | COM | 366K | 223 | – |
| MGP Ingredients Inc. | COM | 2M | 26K | – |
| MGP Ingredients Inc. | COM | 597K | 8K | First Trust Advisors LP |
| Microsoft Corp. | COM | 144M | 322K | – |
| Mitsubishi UFJ Financial | COM | 1M | 96K | – |
| Mitsui & Co. Ltd. | COM | 710K | 773 | – |
| Morningstar Inc. | COM | 19M | 63K | – |
| Morningstar Inc. | COM | 682K | 2K | First Trust Advisors LP |
| Mosaic Co. | COM | 351K | 12K | – |
| Movado Group Inc. | COM | 2M | 86K | – |
| Movado Group Inc. | COM | 648K | 26K | First Trust Advisors LP |
| Nestle S.A. | COM | 18M | 179K | – |
| New Jersey Resources Corp. | COM | 20M | 458K | – |
| New Mountain Finance Corp. | COM | 864K | 71K | – |
| New Mountain Finance Corp. | COM | 4M | 353K | First Trust Advisors LP |
| Newmont Mining Corp. | COM | 454K | 11K | – |
| NIKE Inc. | COM | 17M | 229K | – |
| Nintendo Co. Ltd. | COM | 747K | 56K | – |
| Nordson Corp. | COM | 36M | 156K | – |
| Northern Trust Corp. | COM | 97M | 1M | – |
| Novo Nordisk A.S. | COM | 2M | 11K | – |
| Nuveen Churchill Direct Lendin | COM | 297K | 17K | – |
| Nuveen Churchill Direct Lendin | COM | 2M | 100K | First Trust Advisors LP |
| NXP Semiconductors N.V. | COM | 60M | 222K | – |
| Oaktree Specialty Lending Corp | COM | 570K | 30K | – |
| Oaktree Specialty Lending Corp | COM | 2M | 90K | First Trust Advisors LP |
| OFS Capital Corp. | COM | 869K | 98K | First Trust Advisors LP |
| Oracle Corp. | COM | 83M | 586K | – |
| Pacer US Small Cap Cash Cows 1 | COM | 35M | 812K | – |
| Pagseguro Digital Ltd. | COM | 122K | 10K | – |
| Palmer Square Capital BDC Inc. | COM | 297K | 18K | – |
| Palmer Square Capital BDC Inc. | COM | 1M | 67K | First Trust Advisors LP |
| Paychex Inc. | COM | 135M | 1M | – |
| Paycom Software Inc. | COM | 22M | 153K | – |
| PennantPark Investment Corp. | COM | 332K | 44K | – |
| PennantPark Investment Corp. | COM | 2M | 256K | First Trust Advisors LP |
| PepsiCo Inc. | COM | 151M | 915K | – |
| Perficient Inc. | COM | 3M | 37K | – |
| Perficient Inc. | COM | 809K | 11K | First Trust Advisors LP |
| Ping An Insurance Group Co. of | COM | 120K | 13K | – |
| Polaris Inc. | COM | 81M | 1M | – |
| Portman Ridge Finance Corp. | COM | 308K | 16K | – |
| Portman Ridge Finance Corp. | COM | 863K | 44K | First Trust Advisors LP |
| POSCO Holdings Inc. | COM | 422K | 6K | – |
| Powershares Insured National M | COM | 8M | 358K | – |
| Procter & Gamble Co. | COM | 24M | 144K | – |
| Progressive Corp. | COM | 195M | 937K | – |
| PT Astra International Tbk | COM | 121K | 23K | – |
| Rayonier Inc. | COM | 62M | 2M | – |
| RBC Bearings Inc. | COM | 3M | 13K | – |
| RBC Bearings Inc. | COM | 819K | 3K | First Trust Advisors LP |
| ResMed Inc. | COM | 25M | 129K | – |
| Rheinmetall AG | COM | 1M | 11K | – |
| Rio Tinto plc | COM | 1M | 17K | – |
| Roche Holding A.G. | COM | 448K | 13K | – |
| Royal Gold Inc. | COM | 559K | 4K | – |
| S&P Global Inc. | COM | 84M | 187K | – |
| Safran S.A. | COM | 218K | 4K | – |
| Sandoz Group | COM | 952K | 26K | – |
| SAP S.E. | COM | 936K | 5K | – |
| Sapiens International Corp NV | COM | 3M | 88K | – |
| Sapiens International Corp NV | COM | 828K | 24K | First Trust Advisors LP |
| Seabridge Gold Inc. | COM | 529K | 39K | – |
| Sendas Distribuidora S.A. | COM | 106K | 11K | – |
| Shell plc | COM | 2M | 23K | – |
| Sherwin-Williams Co. | COM | 25M | 84K | – |
| Shinhan Financial Group Co. Lt | COM | 236K | 7K | – |
| Shopify Inc. | COM | 612K | 9K | – |
| Sixth Street Specialty Lending | COM | 1M | 50K | – |
| Sixth Street Specialty Lending | COM | 4M | 197K | First Trust Advisors LP |
| SJW Group | COM | 2M | 41K | – |
| SJW Group | COM | 707K | 13K | First Trust Advisors LP |
| SLR Investment Corp. | COM | 392K | 24K | – |
| SLR Investment Corp. | COM | 3M | 161K | First Trust Advisors LP |
| SMC Corp. | COM | 545K | 23K | – |
| Snap-on Inc. | COM | 144M | 553K | – |
| Sociedad Quimica y Minera de C | COM | 256K | 6K | – |
| Sony Group Corp. | COM | 745K | 9K | – |
| Southern Co. | COM | 132M | 2M | – |
| Southern Copper Corp. | COM | 782K | 7K | – |
| Southwestern Energy Co. | COM | 598K | 89K | – |
| SPDR Energy Select Sector ETF | COM | 4M | 44K | – |
| SPDR Gold MiniShares Trust ETF | COM | 28M | 605K | – |
| SPDR Nuveen Barclays Capital S | COM | 4M | 80K | – |
| SPDR Nuveen S&P High Yield Mun | COM | 7M | 274K | – |
| SPDR Portfolio Developed World | COM | 29M | 822K | – |
| SPDR Portfolio Intermediate Te | COM | 8M | 245K | – |
| SPDR Portfolio Mortgage Backed | COM | 63M | 3M | – |
| SPDR Portfolio S&P 500 Growth | COM | 12M | 144K | – |
| SPDR Portfolio S&P 500 Value E | COM | 18M | 371K | – |
| SPDR S&P 400 Mid Cap Growth ET | COM | 15M | 184K | – |
| SPDR S&P 400 Mid Cap Value ETF | COM | 15M | 212K | – |
| SPDR S&P 500 ETF | COM | 15M | 28K | – |
| SPDR S&P 600 Small Cap Growth | COM | 20M | 236K | – |
| Spectrum Brands Holdings Inc. | COM | 3M | 37K | – |
| Spectrum Brands Holdings Inc. | COM | 637K | 7K | First Trust Advisors LP |
| Starbucks Corp. | COM | 54M | 690K | – |
| Stewart Information Services C | COM | 3M | 48K | – |
| Stewart Information Services C | COM | 686K | 11K | First Trust Advisors LP |
| Stryker Corp. | COM | 87M | 256K | – |
| T. Rowe Price Group Inc. | COM | 115M | 999K | – |
| Taiwan Semiconductor Manufactu | COM | 2M | 11K | – |
| Tencent Holdings Ltd. | COM | 245K | 5K | – |
| Thermo Fisher Scientific Inc. | COM | 48M | 86K | – |
| TJX Cos. Inc. | COM | 96M | 871K | – |
| Toro Co. | COM | 21M | 230K | – |
| TotalEnergies S.E. | COM | 821K | 12K | – |
| Trinity Capital Inc. | COM | 136K | 10K | – |
| Trinity Capital Inc. | COM | 679K | 48K | First Trust Advisors LP |
| TripAdvisor Inc. | COM | 2M | 139K | – |
| TripAdvisor Inc. | COM | 618K | 35K | First Trust Advisors LP |
| U.S. Bancorp | COM | 79M | 2M | – |
| UFP Technologies Inc. | COM | 4M | 14K | – |
| UFP Technologies Inc. | COM | 960K | 4K | First Trust Advisors LP |
| United Parcel Service Inc. | COM | 88M | 643K | – |
| Uranium Energy Corp. | COM | 475K | 79K | – |
| Vale S.A. | COM | 146K | 13K | – |
| Vista Energy S.A.B. de C.V. | COM | 457K | 10K | – |
| Vontier Corp. | COM | 23M | 599K | – |
| W. R. Berkley Corp. | COM | 73M | 923K | – |
| Wal-Mart de Mexico S.A.B. de C | COM | 802K | 24K | – |
| WEC Energy Group Inc. | COM | 120M | 2M | – |
| Weyerhaeuser Co. | COM | 59M | 2M | – |
| Wheaton Precious Metals Corp. | COM | 607K | 12K | – |
| Willis Towers Watson plc | COM | 883K | 3K | – |
| Winnebago Industries Inc. | COM | 2M | 41K | – |
| Winnebago Industries Inc. | COM | 594K | 11K | First Trust Advisors LP |
| Woodside Energy Group Ltd. | COM | 465K | 25K | – |
| Zurich Insurance Group A.G. | COM | 948K | 18K | – |