Ronald W. Pond

CONFLUENCE INVESTMENT MANAGEMENT LLC

SOLANA BEACH, CA

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CRD#: 1345708

Professional summary

Ronald William Pond is a registered financial advisor currently at CONFLUENCE INVESTMENT MANAGEMENT LLC located in Solana Beach, California.

Ronald is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Ronald has worked at 5 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 24 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ronald William Pond's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

July 16, 2012 - Present

CONFLUENCE INVESTMENT MANAGEMENT LLC

RIA

CRD#: 146019

SOLANA BEACH, CA

Past

May 15, 2008 - April 3, 2012

CARILLON FUND DISTRIBUTORS, INC.

CRD#: 139749

ST. PETERSBURG, FL

Past

December 7, 1998 - April 9, 2008

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

CRD#: 840

SOLANA BEACH, CA

Past

January 1, 1991 - October 13, 1998

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

March 19, 1985 - January 1, 1991

ROTAN MOSLE INC.

CRD#: 727

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CONFLUENCE INVESTMENT MANAGEMENT LLC

CONFLUENCE CAPITAL MANAGEMENT LLC | CONFLUENCE INVESTMENT MANAGEMENT LLC | CONFLUENCE INVESTMENT ADVISORS LLC

CRD#: 146019 / SEC#: 801-68723

RIA

Registered Investment Advisory firm - (1/10/2008 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Missouri
(7/16/2012)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/21/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/1/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 5/1/1985

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 3/16/1985

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/27/2005

General Securities Principal Examination

Principal/Supervisory Exam

Series 8

Date: 2/3/1989

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

CONFLUENCE INVESTMENT MANAGEMENT LLC

CONFLUENCE CAPITAL MANAGEMENT LLC | CONFLUENCE INVESTMENT MANAGEMENT LLC | CONFLUENCE INVESTMENT ADVISORS LLC

CRD#: 146019 / SEC#: 801-68723

RIA

Registered Investment Advisory firm - (1/10/2008 Approved)

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Contact information

Main Address

20 Allen Avenue, Ste 300, Saint Louis, MO 63119

Mailing Address

Phone number

(314) 743-5090

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CONFLUENCE DISCLOSURE BROCHURE (3/21/2025)

Regulatory assets under management

Total Number of Accounts	16,134
AUM (Assets Under Management)	$ 7,251,904,123

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Ronald W. Pond

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ronald William Pond's CRS (Customer Relationship Summary).

Certified licenses

Experience

CARILLON FUND DISTRIBUTORS, INC.

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

UBS FINANCIAL SERVICES INC.

ROTAN MOSLE INC.

Primary Firm SEC Registration

CONFLUENCE INVESTMENT MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/21/1999

Series 63

Date: 5/1/1985

Series 3

Date: 5/1/1985

Series 7

Date: 3/16/1985

Series 24

Date: 1/27/2005

Series 8

Date: 2/3/1989

Current Firm

CONFLUENCE INVESTMENT MANAGEMENT LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CONFLUENCE INVESTMENT MANAGEMENT LLC

TRUST BUT VERIFY

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