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

Institutional Holders (2016Q1)
Portfolio Summary: 24 Institutional holders with a total value of $56,178,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 UBS Group AG 1,200,079 36,361,000 64.72%
2 MORGAN STANLEY 294,077 8,910,000 15.86%
3 SUSQUEHANNA INTERNATIONAL GROUP, LLP 82,971 2,511,000 4.47%
4 BANK OF AMERICA CORP /DE/ 52,426 1,588,000 2.83%
5 LPL Financial LLC 47,100 1,406,000 2.50%
6 WFG Advisors, LP 42,563 1,290,000 2.30%
7 Texas Yale Capital Corp. 27,335 828,000 1.47%
8 AMERICAN INTERNATIONAL GROUP, INC. 22,073 669,000 1.19%
9 Raymond James Financial Services Advisors, Inc. 14,015 425,000 0.76%
10 WELLS FARGO & COMPANY/MN 13,306 403,000 0.72%
11 CITADEL ADVISORS LLC 13,121 397,000 0.71%
12 Concert Wealth Management Inc. 13,125 396,000 0.70%
13 JANE STREET GROUP, LLC 8,068 244,000 0.43%
14 ROYAL BANK OF CANADA 7,685 233,000 0.41%
15 J.P. Morgan Private Wealth Advisors LLC 7,565 229,000 0.41%
16 MSI Financial Services Inc 3,313 100,000 0.18%
17 CITIGROUP INC 2,502 76,000 0.14%
18 LADENBURG THALMANN FINANCIAL SERVICES INC. 1,614 49,000 0.09%
19 Creative Planning 1,300 39,000 0.07%
20 BANK OF MONTREAL /CAN/ 400 12,000 0.02%
21 FIFTH THIRD BANCORP 326 10,000 0.02%
22 PNC FINANCIAL SERVICES GROUP, INC. 50 2,000 0.00%
23 CUTLER GROUP LLC / CA 100 0 0.00% Put
24 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.