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

Institutional Holders (2016Q3)
Portfolio Summary: 456 Institutional holders with a total value of $3,861,071,949.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 BANK OF MONTREAL /CAN/ 10 0 0.00% Call
2 Parallax Volatility Advisers, L.P. 1 0 0.00%
3 Argentus Capital Management, LLC 0 0 0.00%
4 WELLS FARGO & COMPANY/MN 500 0 0.00% Put
5 GIERL AUGUSTINE INVESTMENT MANAGEMENT INC 100 1,000 0.00%
6 MINICHMACGREGOR WEALTH MANAGEMENT, LLC 147 1,000 0.00%
7 Elite Wealth Management, Inc. 172 2,000 0.00%
8 DELTA ASSET MANAGEMENT LLC/TN 254 3,000 0.00%
9 New Harbor Financial Group, LLC 300 3,000 0.00%
10 Patten Group, Inc. 300 3,768 0.00%
11 ROBLE, BELKO & COMPANY, INC 300 4,000 0.00%
12 MCF Advisors LLC 284 4,000 0.00%
13 MV CAPITAL MANAGEMENT, INC. 396 5,000 0.00%
14 PHYSICIANS FINANCIAL SERVICES, INC. 410 5,000 0.00%
15 CapWealth Advisors, LLC 370 5,000 0.00%
16 Franklin, Parlapiano, Turner & Welch, LLC 400 5,000 0.00%
17 Klingman & Associates, LLC 500 6,000 0.00%
18 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 444 6,000 0.00%
19 KERNODLE & KATON ASSET MANAGEMENT GROUP, LLC 507 6,000 0.00%
20 GENOVESE BURFORD & BROTHERS WEALTH & RETIREMENT PLAN MANAGEMENT, LLC 500 6,000 0.00%
21 MCKINLEY CAPITAL MANAGEMENT LLC 560 7,000 0.00%
22 SECURITY NATIONAL TRUST CO 600 8,000 0.00%
23 KNOTT DAVID M 600 8,000 0.00%
24 WEALTHPLAN PARTNERS, LLC 650 8,119 0.00%
25 JNBA Financial Advisors 810 10,000 0.00%
26 SIGNATUREFD, LLC 810 10,000 0.00%
27 TRUST CO 762 10,000 0.00%
28 WASHINGTON TRUST BANK 870 11,000 0.00%
29 MACROVIEW INVESTMENT MANAGEMENT LLC 866 11,000 0.00%
30 Carroll Financial Associates, Inc. 900 11,000 0.00%
31 FineMark National Bank & Trust 891 11,000 0.00%
32 HAP Trading, LLC 119,300 11,000 0.00% Call
33 SONORA INVESTMENT MANAGEMENT, LLC 1,000 12,690 0.00%
34 Kistler-Tiffany Companies, LLC 1,050 13,000 0.00%
35 BRONFMAN E.L. ROTHSCHILD, L.P. 1,000 13,000 0.00%
36 Gradient Investments LLC 1,144 15,000 0.00%
37 CUTLER GROUP LLC / CA 46,800 15,000 0.00% Put
38 NEWFOUND RESEARCH LLC 1,183 15,000 0.00%
39 CENTRAL TRUST Co 1,150 15,000 0.00%
40 TCI Wealth Advisors, Inc. 1,154 15,000 0.00%
41 Riggs Asset Managment Co. Inc. 1,273 16,000 0.00%
42 CITIZENS FINANCIAL GROUP INC/DE 1,300 16,000 0.00%
43 Bartlett & Co. LLC 1,355 17,000 0.00%
44 COUNTRY TRUST BANK 1,372 17,000 0.00%
45 TOMPKINS FINANCIAL CORP 1,588 20,000 0.00%
46 Lenox Wealth Advisors, LLC 1,800 23,000 0.00%
47 Lowe Wealth Advisors, LLC 1,892 24,000 0.00%
48 VALLEY WEALTH MANAGERS, INC. 2,000 25,000 0.00%
49 KANALY TRUST CO 2,000 25,000 0.00%
50 BALDWIN WEALTH PARTNERS LLC/MA 2,000 25,000 0.00%
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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.