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ALPS ETF TR
ALPS ETF TR. Institutional holdings reported to the SEC.

Institutional Holders (2015Q2)
Portfolio Summary: 37 Institutional holders with a total value of $26,133,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 MORGAN STANLEY 354,343 5,645,000 21.60%
2 BANK OF AMERICA CORP /DE/ 246,191 3,922,000 15.01%
3 SPROTT INC. 168,100 2,678,000 10.25%
4 SUSQUEHANNA INTERNATIONAL GROUP, LLP 108,249 1,724,000 6.60%
5 BAIRD FINANCIAL GROUP, INC. 103,539 1,649,000 6.31%
6 Commonwealth Equity Services, Inc 75,539 1,203,000 4.60%
7 UBS Group AG 64,097 1,021,000 3.91%
8 STIFEL FINANCIAL CORP 52,575 838,000 3.21%
9 HL FINANCIAL SERVICES LLC 50,979 812,000 3.11%
10 Virtu KCG Holdings LLC 47,613 758,000 2.90%
11 ROYAL BANK OF CANADA 47,640 758,000 2.90%
12 Raymond James Financial Services Advisors, Inc. 44,706 712,000 2.72%
13 RAYMOND JAMES & ASSOCIATES 35,713 569,000 2.18%
14 JANE STREET GROUP, LLC 34,692 553,000 2.12%
15 Virtu Financial LLC 30,788 490,000 1.88%
16 CITADEL ADVISORS LLC 28,888 460,000 1.76%
17 Sigma Planning Corp 24,806 395,000 1.51%
18 Sloane Robinson LLP 22,900 365,000 1.40%
19 LPL Financial LLC 22,465 363,000 1.39%
20 SII INVESTMENTS INC/WI 14,700 234,000 0.90%
21 Benchmark Capital Advisors 14,000 223,000 0.85%
22 PLANNING ALTERNATIVES LTD /ADV 13,200 210,000 0.80%
23 HRT FINANCIAL LP 10,163 161,000 0.62%
24 MSI Financial Services Inc 7,192 115,000 0.44%
25 LADENBURG THALMANN FINANCIAL SERVICES INC. 6,596 105,000 0.40%
26 Beacon Capital Management, Inc. 2,803 45,000 0.17%
27 FMA ADVISORY INC 2,005 32,000 0.12%
28 PRELUDE CAPITAL MANAGEMENT, LLC 2,000 32,000 0.12%
29 WELLS FARGO & COMPANY/MN 1,685 26,000 0.10%
30 Edge Wealth Management LLC 500 8,000 0.03%
31 WFG Advisors, LP 500 8,000 0.03%
32 PINKERTON WEALTH, LLC 465 7,000 0.03%
33 Tradewinds Capital Management, LLC 300 5,000 0.02%
34 CITIGROUP INC 215 3,000 0.01%
35 CANADA LIFE ASSURANCE Co 160 3,000 0.01%
36 MYCIO WEALTH PARTNERS, LLC 50 1,000 0.00%
37 Parallax Volatility Advisers, L.P. 1 0 0.00%

From 2023-01-03 onward, the SEC requires values to be reported in nearest dollars. Earlier filings reported values in thousands; therefore, positions shown as $0 in older filings may represent actual values between $0–$999.