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

Institutional Holders (2015Q4)
Portfolio Summary: 39 Institutional holders with a total value of $20,515,659.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 MORGAN STANLEY 379,602 4,833,000 23.56%
2 JANE STREET GROUP, LLC 204,366 2,602,000 12.68%
3 Sloane Robinson LLP 141,200 1,918,000 9.35%
4 SPROTT INC. 135,800 1,729,000 8.43%
5 Raymond James Financial Services Advisors, Inc. 93,579 1,191,000 5.81%
6 Virtu Financial LLC 76,740 977,000 4.76%
7 SUSQUEHANNA INTERNATIONAL GROUP, LLP 76,628 975,000 4.75%
8 Commonwealth Equity Services, Inc 74,709 951,000 4.64%
9 LPL Financial LLC 61,586 800,000 3.90%
10 WELLS FARGO & COMPANY/MN 59,876 763,000 3.72%
11 ROYAL BANK OF CANADA 40,390 513,000 2.50%
12 RAYMOND JAMES & ASSOCIATES 39,593 504,000 2.46%
13 CITADEL ADVISORS LLC 38,003 484,000 2.36%
14 Virtu KCG Holdings LLC 24,184 308,000 1.50%
15 Sigma Planning Corp 18,648 237,000 1.16%
16 JPMORGAN CHASE & CO 17,308 220,000 1.07%
17 STIFEL FINANCIAL CORP 16,370 208,000 1.01%
18 First Allied Advisory Services, Inc. 14,793 188,000 0.92%
19 SII INVESTMENTS INC/WI 14,700 187,000 0.91%
20 Cetera Advisor Networks LLC 11,740 150,000 0.73%
21 Cambridge Investment Research Advisors, Inc. 10,668 136,000 0.66%
22 UBS Group AG 10,060 128,000 0.62%
23 LADENBURG THALMANN FINANCIAL SERVICES INC. 9,836 125,000 0.61%
24 WEALTHPLAN PARTNERS, LLC 8,300 105,659 0.52%
25 BANK OF AMERICA CORP /DE/ 7,945 101,000 0.49%
26 Beacon Capital Management, Inc. 3,482 44,000 0.21%
27 Creative Planning 2,247 29,000 0.14%
28 IFP ADVISORS, INC 2,155 27,000 0.13%
29 Tower Research Capital LLC (TRC) 1,652 21,000 0.10%
30 THRIVENT FINANCIAL FOR LUTHERANS 1,131 14,000 0.07%
31 SYNOVUS FINANCIAL CORP 892 11,000 0.05%
32 AMERICAN INTERNATIONAL GROUP, INC. 670 9,000 0.04%
33 ALLEGIS INVESTMENT ADVISORS, LLC 500 6,000 0.03%
34 PINKERTON WEALTH, LLC 465 6,000 0.03%
35 Edge Wealth Management LLC 500 6,000 0.03% SH
36 WFG Advisors, LP 401 5,000 0.02%
37 MSI Financial Services Inc 236 3,000 0.01%
38 HARFST & ASSOCIATES, INC. 100 1,000 0.00%
39 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.