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

Institutional Holders (2014Q3)
Portfolio Summary: 347 Institutional holders with a total value of $3,626,073,024.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 MORGAN STANLEY 33,866,908 649,229,000 17.90%
2 BANK OF AMERICA CORP /DE/ 18,528,311 355,188,000 9.80%
3 WELLS FARGO & COMPANY/MN 13,684,167 262,325,000 7.23%
4 ROYAL BANK OF CANADA 9,907,458 189,926,000 5.24%
5 UBS AG 9,579,181 183,633,000 5.06%
6 GOLDMAN SACHS GROUP INC 6,861,541 131,535,000 3.63%
7 AVIANCE CAPITAL MANAGEMENT, LLC 6,386,219 122,424,000 3.38%
8 THOMASPARTNERS, INC. 5,967,310 114,393,000 3.15%
9 MANAGED ACCOUNT ADVISORS LLC 5,382,434 103,181,000 2.85%
10 MDE Group 4,030,229 77,259,000 2.13%
11 LPL Financial LLC 3,939,827 74,789,000 2.06%
12 FMR LLC 2,961,377 56,770,000 1.57%
13 HUNTINGTON NATIONAL BANK 2,849,409 54,623,000 1.51% PRN
14 BB&T SECURITIES, LLC 242,341 46,456,000 1.28%
15 COMMERCE BANK 2,335,874 44,778,000 1.23%
16 GUGGENHEIM CAPITAL LLC 2,269,284 43,503,000 1.20%
17 Brouwer & Janachowski, LLC 2,093,758 40,137,000 1.11%
18 Cerity Partners OCIO LLC 2,053,696 39,369,000 1.09%
19 TIAA CREF TRUST CO FSB/MO 2,042,820 39,161,000 1.08%
20 CITIGROUP INC 1,905,127 36,521,000 1.01%
21 Robert W. Baird & Co. Inc 1,767,687 33,887,000 0.93% SH
22 COMERICA BANK 1,737,619 33,311,000 0.92%
23 AMERIPRISE FINANCIAL INC 1,723,797 33,033,000 0.91%
24 RAYMOND JAMES & ASSOCIATES 1,451,463 27,825,000 0.77%
25 Wharton Business Group, LLC 1,368,277 26,230,000 0.72%
26 CREDIT SUISSE AG/ 1,304,174 25,001,000 0.69%
27 JPMORGAN CHASE & CO 1,151,460 22,074,000 0.61%
28 Commonwealth Equity Services, Inc 899,964 17,252,000 0.48%
29 FRONTIER INVESTMENT MGMT CO 879,175 16,810,000 0.46%
30 HighTower Advisors, LLC 825,643 15,828,000 0.44%
31 Windsor Capital Management, LLC 819,453 15,709,000 0.43%
32 FOSTER DYKEMA CABOT & CO INC/MA 755,374 14,481,000 0.40%
33 Pictet North America Advisors SA 748,446 14,348,000 0.40%
34 PRINCIPAL FINANCIAL GROUP INC 734,658 14,083,000 0.39%
35 RAND WEALTH, LLC 728,536 13,966,000 0.39%
36 STIFEL FINANCIAL CORP 724,430 13,887,000 0.38%
37 OLD NATIONAL BANCORP /IN/ 671,005 12,863,000 0.35%
38 ATWOOD & PALMER INC 654,588 12,548,000 0.35%
39 DEUTSCHE BANK AG\ 642,215 12,310,000 0.34%
40 TRUSTMARK BANK TRUST DEPARTMENT 611,347 11,720,000 0.32%
41 FAIRVIEW CAPITAL INVESTMENT MANAGEMENT, LLC 572,525 10,975,000 0.30%
42 PINNACLE ASSOCIATES LTD 531,311 10,185,000 0.28%
43 ParenteBeard Wealth Management, LLC 526,773 10,098,000 0.28%
44 Creative Planning 516,212 9,896,000 0.27%
45 Spectrum Management Group, LLC 511,470 9,805,000 0.27%
46 Weiss Multi-Strategy Advisers LLC 500,000 9,585,000 0.26% Put
47 COBIZ WEALTH, LLC 488,083 9,357,000 0.26%
48 NORTHEAST INVESTMENT MANAGEMENT 459,576 8,810,000 0.24%
49 AMERICAN INTERNATIONAL GROUP, INC. 458,465 8,788,767 0.24%
50 ENVESTNET ASSET MANAGEMENT INC 450,748 8,641,000 0.24%
Page 1 of 7

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.