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

Institutional Holders (2015Q4)
Portfolio Summary: 35 Institutional holders with a total value of $31,831,512.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 LPL Financial LLC 496,472 15,177,000 47.68%
2 BANK OF AMERICA CORP /DE/ 141,260 4,486,000 14.09%
3 Commonwealth Equity Services, Inc 76,025 2,415,000 7.59%
4 SUSQUEHANNA INTERNATIONAL GROUP, LLP 54,009 1,716,000 5.39%
5 CITADEL ADVISORS LLC 53,083 1,686,000 5.30%
6 Virtu KCG Holdings LLC 30,139 957,000 3.01%
7 JANE STREET GROUP, LLC 17,833 566,000 1.78%
8 RAYMOND JAMES & ASSOCIATES 17,654 561,000 1.76%
9 WELLS FARGO & COMPANY/MN 16,707 531,000 1.67%
10 SUSQUEHANNA INTERNATIONAL GROUP, LLP 16,300 518,000 1.63% Put
11 MURPHY CAPITAL MANAGEMENT INC 13,850 439,000 1.38%
12 Stratos Wealth Partners, LTD. 12,420 394,000 1.24%
13 Janney Montgomery Scott LLC 11,444 363,000 1.14%
14 BAIRD FINANCIAL GROUP, INC. 10,481 333,000 1.05%
15 Sigma Planning Corp 8,194 260,000 0.82%
16 Cambridge Investment Research Advisors, Inc. 7,792 247,000 0.78%
17 Spot Trading L.L.C 7,200 229,000 0.72% Put
18 UBS Group AG 3,820 121,000 0.38%
19 ROYAL BANK OF CANADA 3,775 120,000 0.38%
20 Spot Trading L.L.C 3,100 98,000 0.31%
21 CUTLER GROUP LLC / CA 3,000 95,000 0.30%
22 AMERICAN INTERNATIONAL GROUP, INC. 2,574 81,000 0.25%
23 HAREL INSURANCE INVESTMENTS & FINANCIAL SERVICES LTD. 2,500 79,000 0.25%
24 MANUFACTURERS LIFE INSURANCE COMPANY, THE 2,274 72,000 0.23%
25 Creative Planning 2,230 71,000 0.22%
26 MORGAN STANLEY 2,011 64,000 0.20%
27 MSI Financial Services Inc 1,761 56,000 0.18%
28 NEXT Financial Group, Inc 1,239 39,000 0.12%
29 LADENBURG THALMANN FINANCIAL SERVICES INC. 958 31,000 0.10%
30 MassMutual Private Wealth & Trust, FSB 268 8,512 0.03%
31 COLONY GROUP LLC 200 6,000 0.02%
32 GLENMEDE TRUST CO NA 215 6,000 0.02%
33 CUTLER GROUP LLC / CA 3,700 3,000 0.01% Call
34 CITIGROUP INC 100 3,000 0.01%
35 CUTLER GROUP LLC / CA 500 0 0.00% Put

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.