Dark
Light
System
Security
ALPS ETF TR
ALPS ETF TR. Institutional holdings reported to the SEC.

Institutional Holders (2016Q4)
Portfolio Summary: 28 Institutional holders with a total value of $16,434,143.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 RAYMOND JAMES & ASSOCIATES 145,822 3,342,000 20.34%
2 BANK OF AMERICA CORP /DE/ 124,587 2,855,000 17.37%
3 CITADEL ADVISORS LLC 64,035 1,468,000 8.93%
4 SUSQUEHANNA INTERNATIONAL GROUP, LLP 61,347 1,406,000 8.56%
5 UBS Group AG 57,452 1,317,000 8.01%
6 GOLDMAN SACHS GROUP INC 50,036 1,147,000 6.98%
7 JANE STREET GROUP, LLC 45,633 1,046,000 6.36%
8 LPL Financial LLC 26,827 621,000 3.78%
9 ROYAL BANK OF CANADA 22,305 511,000 3.11%
10 Prospera Financial Services Inc 18,275 443,000 2.70%
11 Virtu KCG Holdings LLC 14,295 328,000 2.00%
12 SUSQUEHANNA INTERNATIONAL GROUP, LLP 13,800 316,000 1.92% Call
13 MORGAN STANLEY 12,895 295,000 1.80%
14 Janney Montgomery Scott LLC 11,653 267,000 1.62%
15 Commonwealth Equity Services, Inc 11,072 254,000 1.55%
16 AMERIPRISE FINANCIAL INC 9,868 226,000 1.38%
17 WELLS FARGO & COMPANY/MN 9,063 208,000 1.27%
18 ADVISOR GROUP, INC. 5,876 134,000 0.82%
19 MSI Financial Services Inc 4,740 109,000 0.66%
20 MANUFACTURERS LIFE INSURANCE COMPANY, THE 3,072 70,000 0.43%
21 CITIGROUP INC 1,090 25,000 0.15%
22 LADENBURG THALMANN FINANCIAL SERVICES INC. 481 11,000 0.07%
23 IFP ADVISORS, INC 450 10,000 0.06%
24 ENVESTNET ASSET MANAGEMENT INC 332 8,000 0.05%
25 Creative Planning 293 7,000 0.04%
26 MassMutual Private Wealth & Trust, FSB 268 6,143 0.04%
27 GLENMEDE TRUST CO NA 215 4,000 0.02%
28 CUTLER GROUP LLC / CA 300 0 0.00% Call

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.