Wealth manager, wrap-program sponsor · Saint Louis, MO
Confluence Investment Management LLC
SEC-registered investment adviser · CRD 146019 · SEC 801-68723
At a glance
Confluence Investment Management LLC is an SEC-registered investment adviser based in Saint Louis, Missouri, with $6.7 billion in regulatory assets under management as of its Form ADV filed March 25, 2026. Its largest client group by assets is individuals, and it reports 14,486 individual clients. By Form ADV it is a wealth manager (wrap-program sponsor), ranked 253rd of 8,915 wealth managers and 1,745th of 17,210 SEC-registered advisers by assets.
Main office 314-743-5090confluenceinvestment.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $6.7B
- Rank among wealth managers
- #253 of 8,915
- Rank among all SEC RIAs
- #1,745 of 17,210
- Rank in Missouri
- #20 of 196
- Individual clients
- 14,486
- High-net-worth clients
- 1,016
- Accounts
- 14,862
- Discretionary
- 100% of AUM
- Employees
- 55
- Advisory staff
- 25
- Offices
- 4
Owners and executives on its Form ADV
- David B. MiyazakiSVP and Portfolio Manager
- Brian N. HansenPresident / Member
- Joseph J. HanzlikSVP and Equity Analyst
- Mark A. KellerChief Executive Officer and Chief Investment Officer / Member
- Daniel T. WinterSVP and CIO - Value Equities
- Patricia A. DahlSVP and CFO
- William D. OgradyAdvisory Director - Market Strategy
- Tore L. StoleAdvisory Director - Research
- Dustin A. HausladenVP and Equity Analyst
- Thomas W. DuganVP and Portfolio Manager
- John M WobbeVP, Director of Research and Equity Analyst
- Steven P. FarmerChief Compliance Officer
Custody and brokerage
4 custodians
- Stifel, Nicolaus & Company, Incorporated$2.0B40%
- Wells Fargo$1.2B25%
- Robert W. Baird & Co. Incorporated$898M18%
- BNY Pershing$762M16%
Other RIAs using Stifel, Nicolaus & Company, IncorporatedOther multi-custodian RIAs
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Individuals | 13,470 | $4.4B | 65% |
| High-net-worth individuals | 1,016 | $1.8B | 27% |
| Corporations or other businesses | 220 | $321M | 5% |
| Charitable organizations | 102 | $114M | 2% |
| Pension and profit sharing plans | 52 | $71M | 1% |
| Investment companies | 2 | $50M | <1% |
Disciplinary disclosures
Confluence Investment Management LLC reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for individuals and small businesses
- Portfolio management for investment companies
- Portfolio management for businesses and institutions
- Other services
How it’s paid
- A percentage of assets under management
Form ADV and brochures on the SEC’s adviser search ↗confluenceinvestment.com ↗
AtlasMembers
The full record on Confluence Investment Management LLC
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
- Locked
- Growth over one, three and five years
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- Rank against 618 peers of its type and size
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- Owners and executives, with titles and stakes
- 12 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- 1Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Confluence Investment Management LLC manage?
Confluence Investment Management LLC reports $6.7 billion in regulatory assets under management across 14,862 accounts, 100% of it on a discretionary basis, on its Form ADV filed March 25, 2026.
What kind of firm is Confluence Investment Management LLC?
Confluence Investment Management LLC is a wealth manager by its Form ADV answers. At least half of its regulatory assets are managed for individuals and high-net-worth individuals.
Who are Confluence Investment Management LLC’s clients?
By assets, its largest client types are individuals ($4.4 billion, 13,470 clients); high-net-worth individuals ($1.8 billion, 1,016 clients); corporations or other businesses ($321 million, 220 clients).
Does Confluence Investment Management LLC have any disciplinary history?
Confluence Investment Management LLC reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Confluence Investment Management LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-03-25), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →