Unclaimed Profile

Thomas William Dugan

CONFLUENCE INVESTMENT MANAGEMENT LLC·SAINT LOUIS, Missouri

Series 65Clean record21 years registeredCONFLUENCE INVESTMENT MANAGEMENT LLC

20 ALLEN AVENUE, STE 300, SAINT LOUIS, MO 63119CRD# 4862325Firm CRD# 146019

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Thomas William Dugan · SAINT LOUIS, MO

Registration

CRD #4862325 · CONFLUENCE INVESTMENT MANAGEMENT LLC · 21 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: CONFLUENCE INVESTMENT MANAGEMENT LLC

CONFLUENCE INVESTMENT MANAGEMENT LLC

Aug 2008 – Dec 2025

SAINT LOUIS, MO

GALLATIN ASSET MANAGEMENT, INC.

Feb 2007 – Mar 2009

ST. LOUIS, MO

MARTIN CAPITAL MANAGEMENT, LLP

Jan 2005 – Feb 2007

ELKHART, IN

Registrations & Exams

FINRA examinations passed

Series 65

Registration record

First registered · January 1, 2005

Years registered · 21

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

CONFLUENCE INVESTMENT MANAGEMENT LLC

CRD 146019 · SEC 801-68723

AUM

$7.2B

Regulatory assets under management

Employees

17,208 client accounts

Services offered by CONFLUENCE INVESTMENT MANAGEMENT LLC

Per Form ADV

Portfolio management (individuals)

Portfolio management (pooled investments)

Selection of other advisers

Other

Client types served by the firm

Per Form ADV

Individuals

Institutional Investors

View all advisors at CONFLUENCE INVESTMENT MANAGEMENT LLC →

Introduction

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Frequently Asked Questions

What services does Thomas William Dugan offer?

Thomas William Dugan specializes in Investment Management, Wealth Management, Fee-Only Advisory.

What are Thomas William Dugan's credentials?

Thomas William Dugan is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Thomas William Dugan located?

Thomas William Dugan is based in SAINT LOUIS, Missouri, last registered with CONFLUENCE INVESTMENT MANAGEMENT LLC.

How does Thomas William Dugan charge for services?

Thomas William Dugan's firm is compensated through percentage of aum. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is CONFLUENCE INVESTMENT MANAGEMENT LLC?

CONFLUENCE INVESTMENT MANAGEMENT LLC has approximately 54 employees and manages $7.2B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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