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Jason Oconner Gantt

Confluence Investment Management LLC

Fairfield, CT

CRD 3167869

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Employer firm

Confluence Investment Management LLC CRD 146019

$6.72B regulatory AUM 6 advisory clients

Reported services (Item 5G)

  • Portfolio management (individuals)
  • Portfolio management (investment companies)
  • Portfolio management (institutions)
  • MODEL PROVIDER, UIT SECURITY SELECTION AND SUPERVISION

From the firm’s Form ADV. Read the guides:

Current Employers
Confluence Investment Management Llc

20 Allen Avenue, Ste 300, Saint Louis, MO 63119 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2017-10-10
  • CT RA
    APPROVED
    Since 2017-10-10

Branch Locations

Fairfield, CT • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Capstone Asset Planning Company Houston TX 12/2005 02/2017
Capstone Asset Management Company Houston TX 01/2006 02/2017
Confluence Investment Management Llc Saint Louis MO 03/2017 Present
  • 12/2005 → 02/2017
    Capstone Asset Planning Company
    Houston, TX
  • 01/2006 → 02/2017
    Capstone Asset Management Company
    Houston, TX
  • 03/2017 → Present
    Confluence Investment Management Llc
    Saint Louis, MO
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-05-08
S63 Uniform Securities Agent State Law Examination 2005-12-19
  • S66 Uniform Combined State Law Examination
    2006-05-08
  • S63 Uniform Securities Agent State Law Examination
    2005-12-19

View on SEC IAPD

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