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ALPS SPROTT
ALPS SPROTT. Institutional holdings reported to the SEC.

Institutional Holders (2015Q3)
Portfolio Summary: 37 Institutional holders with a total value of $17,334,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 MORGAN STANLEY 368,427 4,635,000 26.74%
2 SPROTT INC. 167,600 2,108,000 12.16%
3 BANK OF AMERICA CORP /DE/ 166,488 2,094,000 12.08%
4 Sloane Robinson LLP 153,100 2,000,000 11.54%
5 Commonwealth Equity Services, Inc 74,214 934,000 5.39%
6 Virtu Financial LLC 73,301 927,000 5.35%
7 ROYAL BANK OF CANADA 51,065 643,000 3.71%
8 Raymond James Financial Services Advisors, Inc. 49,464 622,000 3.59%
9 LPL Financial LLC 31,962 443,000 2.56%
10 RAYMOND JAMES & ASSOCIATES 32,188 405,000 2.34%
11 Virtu KCG Holdings LLC 30,448 383,000 2.21%
12 UBS Group AG 28,105 354,000 2.04%
13 Sigma Planning Corp 19,033 239,000 1.38%
14 First Allied Advisory Services, Inc. 15,011 189,000 1.09%
15 SII INVESTMENTS INC/WI 14,700 185,000 1.07%
16 PLANNING ALTERNATIVES LTD /ADV 13,200 166,000 0.96%
17 Cetera Advisor Networks LLC 12,316 155,000 0.89%
18 Benchmark Capital Advisors 12,000 151,000 0.87%
19 SUSQUEHANNA INTERNATIONAL GROUP, LLP 11,750 149,000 0.86%
20 Cambridge Investment Research Advisors, Inc. 10,768 135,000 0.78%
21 CITADEL ADVISORS LLC 10,562 134,000 0.77%
22 LADENBURG THALMANN FINANCIAL SERVICES INC. 8,083 102,000 0.59%
23 Beacon Capital Management, Inc. 3,478 44,000 0.25%
24 BROWN BROTHERS HARRIMAN & CO 2,700 34,000 0.20%
25 Creative Planning 2,197 28,000 0.16%
26 PRELUDE CAPITAL MANAGEMENT, LLC 2,000 25,000 0.14%
27 WELLS FARGO & COMPANY/MN 620 8,000 0.05%
28 AMERICAN INTERNATIONAL GROUP, INC. 670 8,000 0.05%
29 Regal Investment Advisors LLC 571 7,000 0.04%
30 WFG Advisors, LP 500 6,000 0.03%
31 PINKERTON WEALTH, LLC 465 6,000 0.03%
32 Edge Wealth Management LLC 500 6,000 0.03%
33 CITIGROUP INC 407 5,000 0.03%
34 MSI Financial Services Inc 236 3,000 0.02%
35 HARFST & ASSOCIATES, INC. 100 1,000 0.01%
36 WEALTHFRONT CORP 1 0 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.