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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
51 Commonwealth Equity Services, Inc 744,052 9,442,000 0.24%
52 RELATIVE VALUE PARTNERS GROUP, LLC 743,414 9,434,000 0.24%
53 Private Advisor Group, LLC 742,307 9,277,000 0.24%
54 LAZARD ASSET MANAGEMENT LLC 723,830 9,185,000 0.24%
55 WELLINGTON MANAGEMENT GROUP LLP 715,300 9,077,000 0.24%
56 FAIRVIEW CAPITAL INVESTMENT MANAGEMENT, LLC 708,513 8,991,000 0.23%
57 Dakota Wealth Management 704,743 8,943,000 0.23%
58 HSBC HOLDINGS PLC 677,500 8,597,000 0.22%
59 THRIVENT FINANCIAL FOR LUTHERANS 675,615 8,574,000 0.22%
60 Cambridge Investment Research Advisors, Inc. 607,201 7,705,000 0.20%
61 Swift Run Capital Management, LLC 605,200 7,680,000 0.20%
62 SUSQUEHANNA INTERNATIONAL GROUP, LLP 571,400 7,251,000 0.19% Put
63 Boston Partners 556,198 7,058,000 0.18%
64 MSI Financial Services Inc 545,528 6,923,000 0.18%
65 Frontier Wealth Management LLC 529,298 6,717,000 0.17%
66 Weatherstone Capital Management 528,888 6,712,000 0.17%
67 SUSQUEHANNA INTERNATIONAL GROUP, LLP 527,500 6,694,000 0.17% Call
68 BB&T SECURITIES, LLC 512,695 6,506,000 0.17%
69 STEPHENS INC /AR/ 507,227 6,437,000 0.17%
70 HANCOCK WHITNEY CORP 505,625 6,416,000 0.17%
71 BARCLAYS PLC 501,557 6,364,000 0.16%
72 FIRST PREMIER BANK 488,637 6,201,000 0.16%
73 Arete Wealth Advisors, LLC 482,621 6,124,000 0.16%
74 ST GERMAIN D J CO INC 479,195 6,081,000 0.16%
75 ADVISOR CONSULTANT NETWORK INC 475,767 6,038,000 0.16%
76 Country Club Trust Company, n.a. 475,767 6,038,000 0.16%
77 Mariner, LLC 475,332 6,032,000 0.16%
78 JANE STREET GROUP, LLC 473,300 6,006,000 0.16% Call
79 Neumann Capital Management, LLC 470,208 5,967,000 0.15%
80 PINNACLE ASSOCIATES LTD 450,460 5,716,000 0.15%
81 Windsor Capital Management, LLC 436,709 5,541,000 0.14%
82 GOLDMAN SACHS GROUP INC 435,000 5,520,000 0.14% Call
83 ADVISOR GROUP, INC. 434,411 5,514,000 0.14%
84 MOODY LYNN & LIEBERSON, LLC 404,387 5,132,000 0.13%
85 First Heartland Consultants, Inc. 386,935 4,910,000 0.13%
86 BAIRD FINANCIAL GROUP, INC. 385,488 4,892,000 0.13%
87 New England Investment & Retirement Group, Inc. 369,007 4,683,000 0.12%
88 Guild Investment Management, Inc. 366,100 4,646,000 0.12%
89 FINANCIAL STRATEGY NETWORK, LLC 369,596 4,605,000 0.12%
90 United Asset Strategies, Inc. 355,335 4,509,000 0.12%
91 Wharton Business Group, LLC 354,270 4,496,000 0.12%
92 EVERGREEN CAPITAL MANAGEMENT LLC 346,948 4,403,000 0.11%
93 B & T Capital Management DBA Alpha Capital Management 341,505 4,333,000 0.11%
94 American Assets Investment Management, LLC 340,000 4,315,000 0.11%
95 Spot Trading L.L.C 334,000 4,238,000 0.11% Put
96 OLIVER LUXXE ASSETS LLC 333,965 4,238,000 0.11%
97 CLIFTONLARSONALLEN WEALTH ADVISORS, LLC 333,870 4,237,000 0.11%
98 JANE STREET GROUP, LLC 327,100 4,151,000 0.11% Put
99 DEGREEN CAPITAL MANAGEMENT LLC 326,519 4,124,000 0.11%
100 BOKF, NA 319,508 4,055,000 0.11%
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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.