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MP

Michael J. Purcell

CONFLUENCE INVESTMENT MANAGEMENT LLC
Winnetka, IL
Some features on this profile are disabled
CRD#: 1869196
MP

Professional summary

Michael James Purcell, AIF®, CIMA® is a registered financial advisor currently at CONFLUENCE INVESTMENT MANAGEMENT LLC located in Winnetka, Illinois.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Michael has worked at 6 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

top-8-questions

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.
Member - Jupiter Management LLC (family business)

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael James Purcell'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®
AIF®

Accredited Investment Fiduciary

CIMA®

Certified Investment Management Analyst

Experience

Current

November 12, 2018 - Present

CONFLUENCE INVESTMENT MANAGEMENT LLC

RIA
CRD#: 146019
Winnetka, IL
Past

May 21, 2010 - December 31, 2013

MANNING & NAPIER ADVISORY ADVANTAGE COMPANY, LLC

RIA
CRD#: 106652
NORTHFIELD, IL
Past

May 21, 2010 - August 28, 2017

MANNING & NAPIER ADVISORS, LLC

RIA
CRD#: 105992
NORTHFIELD, IL
Past

May 21, 2010 - August 28, 2017

MANNING & NAPIER INVESTOR SERVICES, INC.

BD
CRD#: 26266
NORTHFIELD, IL
Past

June 30, 2009 - April 30, 2010

FRANKLIN DISTRIBUTORS, LLC

BD
CRD#: 109064
EVANSTON, IL
Past

June 26, 2000 - April 30, 2010

BRANDYWINE GLOBAL INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 110783
WILMINGTON, DE

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".
CI
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
Illinois
(11/12/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 8/17/2009
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 8/25/1998
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 8/28/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/26/2009
General Securities Representative Examination

Current Firm

CI
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
55

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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 Accounts16,134
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.

Company Information

CONFLUENCE INVESTMENT MANAGEMENT LLC

CRD#: 146019Winnetka, IL

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