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

Institutional Holders (2016Q2)
Portfolio Summary: 41 Institutional holders with a total value of $61,741,158.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 Sloane Robinson LLP 1,253,700 33,151,000 53.69%
2 Raymond James Financial Services Advisors, Inc. 148,499 3,855,000 6.24%
3 SPROTT INC. 135,800 3,525,000 5.71%
4 MORGAN STANLEY 129,199 3,354,000 5.43%
5 ROYAL BANK OF CANADA 123,772 3,213,000 5.20%
6 UBS Group AG 95,170 2,471,000 4.00%
7 HL FINANCIAL SERVICES LLC 61,915 1,607,000 2.60%
8 WELLS FARGO & COMPANY/MN 54,041 1,403,000 2.27%
9 LPL Financial LLC 40,211 1,155,000 1.87%
10 RAYMOND JAMES & ASSOCIATES 35,752 928,000 1.50%
11 Commonwealth Equity Services, Inc 32,717 849,000 1.38%
12 WEALTHSOURCE PARTNERS, LLC 28,677 744,000 1.21%
13 STIFEL FINANCIAL CORP 26,800 696,000 1.13%
14 Cambridge Investment Research Advisors, Inc. 19,382 503,000 0.81%
15 JANE STREET GROUP, LLC 18,746 487,000 0.79%
16 CITADEL ADVISORS LLC 14,901 387,000 0.63%
17 SII INVESTMENTS INC/WI 14,700 382,000 0.62%
18 JPMORGAN CHASE & CO 14,649 380,000 0.62%
19 BANK OF AMERICA CORP /DE/ 14,041 364,000 0.59%
20 LADENBURG THALMANN FINANCIAL SERVICES INC. 14,003 364,000 0.59%
21 Cetera Advisor Networks LLC 13,222 344,000 0.56%
22 NATIONAL PLANNING CORP 9,315 275,000 0.45%
23 First Allied Advisory Services, Inc. 8,778 228,000 0.37%
24 WEALTHPLAN PARTNERS, LLC 8,300 215,468 0.35%
25 Private Advisor Group, LLC 7,581 208,000 0.34%
26 Advisory Services Network, LLC 4,912 128,000 0.21%
27 Creative Planning 3,287 85,000 0.14%
28 ADVISOR GROUP, INC. 3,170 81,000 0.13%
29 THRIVENT FINANCIAL FOR LUTHERANS 2,150 62,000 0.10%
30 CITIGROUP INC 2,200 57,000 0.09%
31 JACOBI CAPITAL MANAGEMENT LLC 2,000 57,000 0.09%
32 IFP ADVISORS, INC 1,830 48,000 0.08%
33 Advisors Preferred, LLC 1,140 30,000 0.05%
34 MSI Financial Services Inc 969 25,000 0.04%
35 Beacon Capital Management, Inc. 902 23,000 0.04%
36 BARCLAYS PLC 792 21,000 0.03%
37 Edge Wealth Management LLC 500 13,000 0.02% SH
38 PINKERTON WEALTH, LLC 465 12,000 0.02%
39 WFG Advisors, LP 401 10,000 0.02%
40 WOLVERINE TRADING LP /BD 27 690 0.00%
41 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.