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ALPS ETF TRUST U S EQUITY HIGH VOLATILITY
ALPS ETF TRUST U S EQUITY HIGH VOLATILITY. Institutional holdings reported to the SEC.

Institutional Holders (2015Q3)
Portfolio Summary: 29 Institutional holders with a total value of $29,602,635.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 UNIPLAN INVESTMENT COUNSEL, INC. 630,145 13,214,000 44.64%
2 BANK OF AMERICA CORP /DE/ 359,366 7,536,000 25.46%
3 FINANCIAL ENHANCEMENT GROUP LLC 68,872 1,444,000 4.88%
4 LPL Financial LLC 65,152 1,390,000 4.70%
5 FIFTH THIRD BANCORP 33,616 705,000 2.38%
6 Commonwealth Equity Services, Inc 33,588 704,000 2.38%
7 Virtu KCG Holdings LLC 22,561 473,000 1.60%
8 SIGNET FINANCIAL MANAGEMENT, LLC 22,527 472,000 1.59%
9 COLONY GROUP LLC 19,470 408,000 1.38%
10 JANE STREET GROUP, LLC 19,363 406,000 1.37%
11 ENVESTNET ASSET MANAGEMENT INC 18,764 393,000 1.33%
12 VSR Financial Services, Inc. 18,498 388,000 1.31%
13 STEPHENS INC /AR/ 17,372 364,000 1.23%
14 AMERIPRISE FINANCIAL INC 17,198 361,000 1.22%
15 UBS Group AG 13,839 290,000 0.98%
16 NATIXIS ADVISORS, LLC 11,962 251,000 0.85%
17 J.P. Morgan Private Wealth Advisors LLC 10,983 230,000 0.78%
18 LADENBURG THALMANN FINANCIAL SERVICES INC. 6,550 137,000 0.46%
19 Carnick & Kubik, LLC 5,900 123,723 0.42%
20 Cordasco Financial Network 4,500 94,000 0.32%
21 Chicago Partners Investment Group LLC 3,900 82,000 0.28%
22 AMERICAN INTERNATIONAL GROUP, INC. 3,087 65,000 0.22%
23 Regal Investment Advisors LLC 1,615 33,000 0.11%
24 Winslow, Evans & Crocker, Inc. 664 13,912 0.05%
25 Argentus Capital Management, LLC 443 9,000 0.03%
26 GUPTA WEALTH MANAGEMENT LLC 390 8,000 0.03%
27 Burt Wealth Advisors 270 5,000 0.02%
28 US BANCORP \DE\ 136 3,000 0.01%
29 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.