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

Institutional Holders (2016Q4)
Portfolio Summary: 39 Institutional holders with a total value of $45,682,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 Sloane Robinson LLP 1,076,700 20,569,000 45.03%
2 WELLS FARGO & COMPANY/MN 338,560 6,385,000 13.98%
3 UBS Group AG 142,722 2,692,000 5.89%
4 MORGAN STANLEY 119,855 2,261,000 4.95%
5 Raymond James Financial Services Advisors, Inc. 110,752 2,089,000 4.57%
6 SPROTT INC. 110,245 2,079,000 4.55%
7 ROYAL BANK OF CANADA 85,109 1,606,000 3.52%
8 SUSQUEHANNA INTERNATIONAL GROUP, LLP 76,805 1,448,000 3.17%
9 LPL Financial LLC 40,660 800,000 1.75%
10 RAYMOND JAMES & ASSOCIATES 41,110 775,000 1.70%
11 CITADEL ADVISORS LLC 34,761 656,000 1.44%
12 STIFEL FINANCIAL CORP 28,400 538,000 1.18%
13 WEALTHSOURCE PARTNERS, LLC 28,016 528,000 1.16%
14 CIBC WORLD MARKET INC. 26,164 493,000 1.08%
15 LADENBURG THALMANN FINANCIAL SERVICES INC. 24,273 458,000 1.00%
16 Prospera Financial Services Inc 17,530 370,000 0.81%
17 JPMORGAN CHASE & CO 17,342 327,000 0.72%
18 Cetera Advisor Networks LLC 15,869 299,000 0.65%
19 SII INVESTMENTS INC/WI 14,700 277,000 0.61%
20 BANK OF AMERICA CORP /DE/ 12,203 231,000 0.51%
21 Private Advisor Group, LLC 11,268 220,000 0.48%
22 NATIONAL PLANNING CORP 9,696 214,000 0.47%
23 CITIGROUP INC 4,000 75,000 0.16%
24 IFP ADVISORS, INC 2,635 50,000 0.11%
25 MSI Financial Services Inc 2,286 43,000 0.09%
26 JACOBI CAPITAL MANAGEMENT LLC 2,000 41,000 0.09%
27 IHT WEALTH MANAGEMENT, LLC 1,840 36,000 0.08%
28 Creative Planning 1,697 32,000 0.07%
29 D.A. DAVIDSON & CO. 910 17,000 0.04%
30 BARCLAYS PLC 792 15,000 0.03%
31 ADVISOR GROUP, INC. 820 15,000 0.03%
32 Edge Wealth Management LLC 500 10,000 0.02%
33 PINKERTON WEALTH, LLC 465 9,000 0.02%
34 WFG Advisors, LP 401 8,000 0.02%
35 MACROVIEW INVESTMENT MANAGEMENT LLC 400 8,000 0.02%
36 FLOW TRADERS U.S. LLC 316 6,000 0.01%
37 Tradewinds Capital Management, LLC 95 2,000 0.00%
38 Parallax Volatility Advisers, L.P. 1 0 0.00%
39 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.