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

Institutional Holders (2016Q3)
Portfolio Summary: 37 Institutional holders with a total value of $46,388,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 Sloane Robinson LLP 954,700 23,451,000 50.55%
2 ROYAL BANK OF CANADA 145,363 3,507,000 7.56%
3 Raymond James Financial Services Advisors, Inc. 134,306 3,241,000 6.99%
4 SPROTT INC. 105,280 2,540,000 5.48%
5 MORGAN STANLEY 99,781 2,408,000 5.19%
6 UBS Group AG 98,949 2,388,000 5.15%
7 WELLS FARGO & COMPANY/MN 48,497 1,171,000 2.52%
8 LPL Financial LLC 47,290 1,012,000 2.18%
9 RAYMOND JAMES & ASSOCIATES 38,811 937,000 2.02%
10 JANE STREET GROUP, LLC 33,582 810,000 1.75%
11 STIFEL FINANCIAL CORP 28,000 676,000 1.46%
12 WEALTHSOURCE PARTNERS, LLC 28,010 676,000 1.46%
13 CIBC WORLD MARKET INC. 24,828 599,000 1.29%
14 BANK OF AMERICA CORP /DE/ 19,165 462,000 1.00%
15 Advisory Services Network, LLC 18,059 436,000 0.94%
16 JPMORGAN CHASE & CO 17,105 413,000 0.89%
17 LADENBURG THALMANN FINANCIAL SERVICES INC. 15,210 367,000 0.79%
18 SII INVESTMENTS INC/WI 14,700 354,000 0.76%
19 Cetera Advisor Networks LLC 14,145 341,000 0.74%
20 NATIONAL PLANNING CORP 9,696 213,000 0.46%
21 Creative Planning 3,697 89,000 0.19%
22 MSI Financial Services Inc 2,286 56,000 0.12%
23 CITIGROUP INC 2,200 53,000 0.11%
24 IFP ADVISORS, INC 2,185 53,000 0.11%
25 JACOBI CAPITAL MANAGEMENT LLC 2,000 43,000 0.09%
26 ADVISOR GROUP, INC. 820 20,000 0.04%
27 BARCLAYS PLC 792 19,000 0.04%
28 THRIVENT FINANCIAL FOR LUTHERANS 545 11,000 0.02%
29 Concert Wealth Management Inc. 575 11,000 0.02%
30 MACROVIEW INVESTMENT MANAGEMENT LLC 400 10,000 0.02%
31 WFG Advisors, LP 401 10,000 0.02%
32 Mariner, LLC 200 5,000 0.01%
33 FLOW TRADERS U.S. LLC 100 2,000 0.00%
34 Beacon Capital Management, Inc. 100 2,000 0.00%
35 Tradewinds Capital Management, LLC 95 2,000 0.00%
36 Parallax Volatility Advisers, L.P. 1 0 0.00%
37 Psagot Value Holdings Ltd. 20 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.