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

Institutional Holders (2016Q1)
Portfolio Summary: 40 Institutional holders with a total value of $42,263,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 Sloane Robinson LLP 736,100 13,928,000 32.96%
2 MORGAN STANLEY 219,042 4,079,000 9.65%
3 JANE STREET GROUP, LLC 179,209 3,337,000 7.90%
4 Raymond James Financial Services Advisors, Inc. 137,491 2,560,000 6.06%
5 SPROTT INC. 135,800 2,529,000 5.98%
6 ROYAL BANK OF CANADA 125,040 2,329,000 5.51%
7 UBS Group AG 98,395 1,832,000 4.33%
8 LPL Financial LLC 77,350 1,452,000 3.44%
9 HL FINANCIAL SERVICES LLC 66,781 1,243,000 2.94%
10 WELLS FARGO & COMPANY/MN 64,899 1,208,000 2.86%
11 CITADEL ADVISORS LLC 45,726 850,000 2.01%
12 Virtu Financial LLC 43,552 810,000 1.92%
13 RAYMOND JAMES & ASSOCIATES 42,806 797,000 1.89%
14 Commonwealth Equity Services, Inc 42,367 789,000 1.87%
15 Virtu KCG Holdings LLC 40,298 750,000 1.77%
16 WEALTHSOURCE PARTNERS, LLC 30,662 571,000 1.35%
17 SUSQUEHANNA INTERNATIONAL GROUP, LLP 28,633 532,000 1.26%
18 STIFEL FINANCIAL CORP 22,900 426,000 1.01%
19 Sigma Planning Corp 19,010 354,000 0.84%
20 Cambridge Investment Research Advisors, Inc. 16,899 315,000 0.75%
21 SII INVESTMENTS INC/WI 14,700 274,000 0.65%
22 JPMORGAN CHASE & CO 14,040 261,000 0.62%
23 Cetera Advisor Networks LLC 12,593 235,000 0.56%
24 First Allied Advisory Services, Inc. 11,617 216,000 0.51%
25 LADENBURG THALMANN FINANCIAL SERVICES INC. 11,549 215,000 0.51%
26 BANK OF AMERICA CORP /DE/ 7,676 143,000 0.34%
27 THRIVENT FINANCIAL FOR LUTHERANS 2,150 43,000 0.10%
28 Creative Planning 2,097 39,000 0.09%
29 IFP ADVISORS, INC 1,830 34,000 0.08%
30 Beacon Capital Management, Inc. 1,782 33,000 0.08%
31 Advisors Preferred, LLC 1,024 19,000 0.04%
32 AMERICAN INTERNATIONAL GROUP, INC. 670 12,000 0.03%
33 Tower Research Capital LLC (TRC) 612 11,000 0.03%
34 PINKERTON WEALTH, LLC 465 9,000 0.02%
35 Edge Wealth Management LLC 500 9,000 0.02%
36 WFG Advisors, LP 401 7,000 0.02%
37 CITIGROUP INC 266 5,000 0.01%
38 MSI Financial Services Inc 236 4,000 0.01%
39 Burt Wealth Advisors 135 3,000 0.01%
40 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.