Firm Information

Compensation
Fee-Only (AUM)
Number of Advisors
9 advisors
Number of Clients
16,135 clients
Average Client Portfolio
$449K average
Assets Under Management
$7.3B

Fee Structure

Minimum Investment:$100K
Financial Planning:Investment management only
AUM-Based Fees (Tiered)
Assets Under ManagementAnnual Fee
Up to $500K0.60%
$500K - $1.0M0.55%
$1M+0.50%
Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee

Confluence's fees are based on a percentage of the value of assets under management. Fees can be modified based on account size and service level. Confluence offers certain clients a lower fee schedule than other comparable clients. Fees are generally payable quarterly in advance, but certain sponsors and accounts are billed in arrears. Confluence personnel and family pay reduced (as low as zero) management fees.

Areas of Practice
Investment ManagementHigh Net Worth
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Advisor Information

Office location

Fairfield, CT

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Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Employment History
Current Registrations
Confluence Investment Management LLC
October 2017 - Present · 8 yrs 3 mos
Previous Registrations
Capstone Asset Management Company
May 2006 - February 2017 · 10 yrs 9 mos
Capstone Asset Planning CompanyBroker
January 2006 - February 2017 · 11 yrs 1 mo
Boston Capital Securities, INC.Broker
October 2000 - December 2005 · 5 yrs 2 mos
State Registrations1 state
CT
Advisor
Exams
No exam information available for this advisor.