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ALPS ETF TR
ALPS ETF TR. Institutional holdings reported to the SEC.

Institutional Holders (2017Q1)
Portfolio Summary: 26 Institutional holders with a total value of $39,093,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 Sloane Robinson LLP 836,100 17,243,000 44.11%
2 WELLS FARGO & COMPANY/MN 321,548 6,460,000 16.52%
3 MORGAN STANLEY 116,383 2,338,000 5.98%
4 Raymond James Financial Services Advisors, Inc. 112,302 2,256,000 5.77%
5 SPROTT INC. 107,285 2,155,000 5.51%
6 ROYAL BANK OF CANADA 88,811 1,784,000 4.56%
7 RAYMOND JAMES & ASSOCIATES 55,566 1,116,000 2.85%
8 LADENBURG THALMANN FINANCIAL SERVICES INC. 53,516 1,075,000 2.75%
9 SCOTIA CAPITAL INC. 43,750 879,000 2.25%
10 LPL Financial LLC 39,272 805,000 2.06%
11 Virtu Financial LLC 37,039 744,000 1.90%
12 STIFEL FINANCIAL CORP 27,000 540,000 1.38%
13 Cetera Advisor Networks LLC 18,026 361,000 0.92%
14 Prospera Financial Services Inc 14,270 297,000 0.76%
15 SII INVESTMENTS INC/WI 14,700 295,000 0.75%
16 BANK OF AMERICA CORP /DE/ 13,153 264,000 0.68%
17 NATIONAL PLANNING CORP 9,696 201,000 0.51%
18 JPMORGAN CHASE & CO 4,470 90,000 0.23%
19 CITIGROUP INC 4,000 80,000 0.20%
20 Creative Planning 2,404 48,000 0.12%
21 D.A. DAVIDSON & CO. 910 18,000 0.05%
22 BARCLAYS PLC 792 16,000 0.04%
23 HAREL INSURANCE INVESTMENTS & FINANCIAL SERVICES LTD. 600 12,000 0.03%
24 WFG Advisors, LP 401 8,000 0.02%
25 MACROVIEW INVESTMENT MANAGEMENT LLC 400 8,000 0.02%
26 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.