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Investment Adviser Firm Summary

CONFLUENCE INVESTMENT MANAGEMENT LLC (CRD# 146019 / SEC# 801-68723)
Alternate Names: CONFLUENCE CAPITAL MANAGEMENT LLC , CONFLUENCE INVESTMENT ADVISORS LLC , CONFLUENCE INVESTMENT MANAGEMENT LLC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 01/10/2008

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 03/26/2010
Alaska 03/14/2016
Arizona 08/11/2008
Arkansas 08/11/2008
California 08/11/2008
Colorado 08/11/2008
Connecticut 03/26/2010
Delaware 02/18/2015
District of Columbia 02/18/2015
Florida 08/12/2008
Georgia 08/11/2008
Hawaii 03/16/2018
Idaho 03/26/2010
Illinois 03/03/2008
Indiana 08/11/2008
Iowa 08/12/2008
Kansas 08/11/2008
Kentucky 03/12/2012
Louisiana 02/18/2015
Maine 03/14/2016
Maryland 03/26/2010
Massachusetts 03/26/2010
Michigan 08/11/2008
Minnesota 03/26/2010
Mississippi 08/11/2008
Missouri 01/10/2008
Montana 02/18/2015
Nebraska 03/26/2010
Nevada 03/26/2010
New Hampshire 03/14/2016
New Jersey 09/08/2008
New Mexico 03/14/2016
New York 07/18/2008
North Carolina 08/11/2008
North Dakota 02/18/2015
Ohio 03/26/2010
Oklahoma 03/26/2010
Oregon 08/11/2008
Pennsylvania 08/11/2008
Puerto Rico 03/16/2018
Rhode Island 03/14/2016
South Carolina 08/11/2008
South Dakota 02/18/2015
Tennessee 03/26/2010
Texas 07/18/2008
Utah 03/12/2012
Vermont 03/14/2016
Virgin Islands 03/16/2018
Virginia 03/26/2010
Washington 08/11/2008
West Virginia 02/18/2015
Wisconsin 08/11/2008
Wyoming 03/16/2018

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser