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First Trust/confluence Small Cap Value Fund Class I (0P0000PP90)
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13/11 - Delayed Data. Currency in USD
- Morningstar Rating:
- Total Assets: 20.28M
First Trust/Confluence Small Cap Value Fund Class
32.570
-0.270
-0.82%
- Overview
- Profile
- Historical Data
- Holdings
0P0000PP90 Overview
On this page you'll find an in-depth profile of First Trust/confluence Small Cap Value Fund Class I. Learn about the key management, total assets, investment strategy and contact information of 0P0000PP90 among other information.
Investment Strategy
The investment seeks to provide long-term capital appreciation. The fund seeks to achieve its investment objective by investing, under normal market conditions, at least 80% of its net assets (including investment borrowings) in equity securities of U.S. listed companies with small market capitalizations ("Small-Cap Companies") at the time of investment. Currently, a company will be considered to be a Small-Cap Company if its market capitalization at the time of purchase is within the range of companies in the Russell 2000 ® Index or the S&P SmallCap 600 Index during the most recent 12-month period (based on month-end data).
Contact Information
Address
120 E. Liberty Drive, Suite 400
Wheaton,IL 60187
United States
Wheaton,IL 60187
United States
Phone
+1 8006211675
Top Executives
| Name | Title | Since | Until |
|---|---|---|---|
| Thomas Dugan | Portfolio Manager | 2015 | Now |
| Biography | Tom Dugan performs market research as a member of the Equity Investment Committee and has portfolio management responsibilities for all of Confluence’s equity investment strategies, with particular focus on the Increasing Dividend Equity Account (IDEA) strategy. Tom, like all portfolio managers at Confluence, is also an analyst. As an equity analyst, his primary areas of coverage include Insurance, Asset Management, Financial Tech and Industrials. Tom has nearly 15 years of value-oriented equity research experience. Prior to joining Confluence, Tom served as an equity analyst with Gallatin Asset Management, the investment management arm of A.G. Edwards, Inc. Previously, Tom was an equity analyst with Martin Capital Management in Elkhart, Indiana. Tom graduated summa cum laude with a Bachelor of Science in business administration in finance and economics from Rockhurst University. He earned his Master of Business Administration from the Kelley School of Business at Indiana University and is a CFA charter holder. | ||
| Daniel T. Winter | Senior Vice President | 2011 | Now |
| Biography | Daniel Winter, serves as Senior Vice President and Chief Investment Officer - Value Equity of Confluence. Prior to joining Confluence in May 2008, Mr. Winter served as a Portfolio Manager and Analyst with Gallatin Asset Management, the investment management arm of A.G. Edwards, Inc. While at Gallatin, Mr. Winter chaired the portfolio management team responsible for the firm’s six value-oriented equity strategies. His responsibilities also included directing the strategy implementation and trading execution for the equity portfolios. Additionally, Mr. Winter co-managed the First Trust/Gallatin Specialty Finance and Financial Opportunities Fund (NYSE: FGB), a closed-end fund whose primary focus was on Business Development Companies, a role he continues in his current capacity at Confluence. Mr. Winter also served as a portfolio manager for the Cyclical Growth ETF Portfolio and the Cyclical Growth and Income ETF Portfolio which were offered through variable annuities. He was also a member of the firm’s Allocation Advisor Committee which oversaw the A.G. Edwards exchange-traded fund focused strategies. Prior to joining the firm’s Asset Management division in 1996, Mr. Winter served as a portfolio manager for A.G. Edwards Trust Company. Mr. Winter earned a Bachelor of Arts in business management from Eckerd College and a Master of Business Administration from Saint Louis University. Mr. Winter is a CFA charterholder. | ||
| Mark A. Keller | CEO | 2011 | Now |
| Biography | As Chief Investment Officer, Mark provides overall leadership and oversees all of Confluence’s investment strategies and investment operations, including equity strategies (value and international), asset allocation and alternative investments. In addition to his active involvement in the investment decisions of the firm, Mark has been instrumental in product development. Mark has over 40 years of investment experience, with a focus on value-oriented equity analysis and management. Prior to joining Confluence, Mark was a senior vice president of A.G. Edwards & Sons, Inc. and of Gallatin Asset Management, Inc., and was a member of the Board of Directors of both companies. From 1994 to May 2008, he was Chief Investment Officer of Gallatin Asset Management, Inc., and its predecessor organization, A.G. Edwards Asset Management, the investment management arm of A.G. Edwards, Inc. Mark and his team were responsible for the management of over $10 billion of assets across various equity, asset allocation and fixed income strategies. From 1999 to 2008, Mark was Chairman of the A.G. Edwards Investment Strategy Committee, which set investment policy and established asset allocation models for the entire organization. He was a founding member of this body and served on it for over 20 years. Mark began his career with A.G. Edwards in 1978, serving as an equity analyst for the firm's Securities Research Department from 1979 to 1994. During his last five years in Securities Research, Mark was equity strategist and manager of the firm's Focus List. Mark earned his Bachelor of Arts from Wheaton College (Illinois) and is a CFA charter holder. | ||
| Chris Stein | Portfolio Manager | 2011 | 2021 |
| Biography | Chris Stein serves as Vice President and Portfolio Manager of Confluence. Mr. Stein joined Confluence in August 2008. Previously, Mr. Stein served as a Portfolio Manager and Analyst with Gallatin Asset Management, the investment management arm of A.G. Edwards, Inc. Mr. Stein was part of the portfolio management team responsible for Gallatin’s Large Cap Value, Small Cap Value, Equity Income, Value Opportunities and All Cap Global separately managed accounts. His analytical coverage was primarily focused on companies within the consumer discretionary sector. Additionally, Mr. Stein assisted the A.G. Edwards Trust Company in constructing and managing individual stock portfolios. Prior to joining the Asset Management division in 2001, Mr. Stein was an associate analyst covering the media and entertainment sector for A.G. Edwards’ securities research. Prior to joining A.G. Edwards in 1998, he was a financial consultant with Renaissance Financial. Mr. Stein earned a Bachelor of Science in Accounting and a Bachelor of Science in Finance from the University of Dayton. Mr. Stein also received a Master of Business Administration from St. Louis University. | ||
| David Miyazaki | Portfolio Manager | 2011 | 2015 |
| Biography | David is a portfolio manager at Confluence and manages specialty finance portfolios with an emphasis on business development companies (BDCs). This work includes co-managing the First Trust Specialty Finance and Financial Opportunities Fund (NYSE: FGB). David is also a member of the firm’s Asset Allocation Investment Committee. In addition, he works with the firm’s balanced portfolios, with a particular focus on the fixed income investments. Prior to joining Confluence in 2008, David served as a portfolio manager and analyst with Gallatin Asset Management, the buy-side subsidiary of A.G. Edwards, Inc. At. Gallatin, David was responsible for separately managed accounts and co-managed the aforementioned FGB closed-end fund, as well as A.G. Edwards’ ETF-based asset allocation program. David also served as a member of the A.G. Edwards Investment Strategy Committee. Before joining A.G. Edwards in 1999, David was a portfolio manager at Koch Industries, where he managed a short-term interest rate arbitrage portfolio. Previously, he was also a private placement debt analyst at Prudential Capital Group and worked as a mortgage bond trader for Barre & Company. He has over 20 years of financial experience, starting in the industry in 1992. David received a Bachelor of Business Administration from Texas Christian University and is a CFA charterholder. | ||
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