Confluence Investment Management LLC

Confluence Investment Management LLC (CRD# 146019) is a financial advisory firm headquartered in Saint Louis, MO. They manage $3,882,179,000 in 10,239 accounts and serve the financial needs of clients across 49 states (or territories).

By the Numbers
  • Total Assets Under Management
    3,882
    MILLION
  • Total Number of Accounts
    10,239
    ACCOUNTS
  • Average Account Value
    $379,156
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Performance-based fees
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for investment companies (as well as "business development companies")
  • Portfolio management for businesses (other than small businesses) or institutional clients
Types of Clients
Registered States
Advisors affiliated with a RIA are permitted to work with up to five clients in nearly-all states* without explicit registration. The map below shows states where this firm has explicit registration only.

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

Financial Advisors at Confluence Investment Management LLC
Showing 1 - 10 of 12 top financial advisors.
1
Mark A. Keller
CRD#: 1026805
20 Allen Avenue, Ste 300, Saint Louis, MO 63119
96
Wealthminder
score

Mark Keller (CRD# 1026805) is an Investment Advisor Representative working at Confluence Investment Management LLC in Saint Louis, MO and has over 35 years of experience in the finance industry.

2
David B. Miyazaki
CRD#: 2225242
20 Allen Avenue, Ste 300, Saint Louis, MO 63119
96
Wealthminder
score

David Miyazaki (CRD# 2225242) is an Investment Advisor Representative working at Confluence Investment Management LLC in Saint Louis, MO and has over 17 years of experience in the finance industry.

3
Ronald W. Pond
CRD#: 1345708
Solana Beach, CA
96
Wealthminder
score

Ronald Pond (CRD# 1345708) is an Investment Advisor Representative working at Confluence Investment Management LLC in Solana Beach, CA and has over 32 years of experience in the finance industry.

4
Daniel T. Winter
CRD#: 1851089
20 Allen Avenue, Ste 300, Saint Louis, MO 63119
96
Wealthminder
score

Daniel Winter (CRD# 1851089) is an Investment Advisor Representative working at Confluence Investment Management LLC in Saint Louis, MO and has over 19 years of experience in the finance industry.

5
Patricia A. Dahl
CRD#: 2983778
20 Allen Avenue, Ste 300, Saint Louis, MO 63119
93
Wealthminder
score

Patricia Dahl (CRD# 2983778) is an Investment Advisor Representative working at Confluence Investment Management LLC in Saint Louis, MO and has over 19 years of experience in the finance industry.

6
Thomas W. Dugan
CRD#: 4862325
20 Allen Avenue, Ste 300, Saint Louis, MO 63119
93
Wealthminder
score

Thomas Dugan (CRD# 4862325) is an Investment Advisor Representative working at Confluence Investment Management LLC in Saint Louis, MO and has over 12 years of experience in the finance industry.

7
Thomas W. Knowles
CRD#: 1856002
Fuquay Varina, NC
93
Wealthminder
score

Thomas Knowles (CRD# 1856002) is an Investment Advisor Representative working at Confluence Investment Management LLC in Fuquay Varina, NC and has over 25 years of experience in the finance industry.

8
Stephen A. Mikez
CRD#: 1441159
Lombard, IL
93
Wealthminder
score

Stephen Mikez (CRD# 1441159) is an Investment Advisor Representative working at Confluence Investment Management LLC in Lombard, IL and has over 31 years of experience in the finance industry.

9
John H. Pierucki
CRD#: 1831483
Charlotte, NC
93
Wealthminder
score

John Pierucki (CRD# 1831483) is an Investment Advisor Representative working at Confluence Investment Management LLC in Charlotte, NC and has over 25 years of experience in the finance industry.

10
Frederick C. Stein
CRD#: 2856553
20 Allen Avenue, Ste 300, Saint Louis, MO 63119
93
Wealthminder
score

Frederick Stein (CRD# 2856553) is an Investment Advisor Representative working at Confluence Investment Management LLC in Saint Louis, MO and has over 20 years of experience in the finance industry.

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Advisor profile scores displayed on this site are derived using the following criteria. Step 1: An advisor profile rating starts with a baseline score of 90 points. Step 2: The advisor score is increased from the baseline after screening for 3 criteria: years of experience, industry credentials and completeness of profile. Step 3: The advisor score is decreased after screening for publicly available disclosure events such as litigation or regulatory matters. Such decreases relate to the existence of a disclosure and, in most cases, do not account for timing, magnitude or severity of such disclosure. Many other factors are not considered in the scoring such as financial stability, fees, affiliations and educational background, and you should carefully consider these factors. The criteria are based on information Wealthminder deems helpful and available at the time of the scoring. Scores do not vary based on qualitative feedback from users. Advisor presentation and visibility and allocation of proposals will vary for advisors who pay a marketing plan program fee. Wealthminder does not recommend or provide any warranty or guarantee of the quality or suitability of any specific advisor or products or services offered by such advisor. Please consult regulatory sites for additional information about advisors’ background.