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

Institutional Holders (2016Q4)
Portfolio Summary: 512 Institutional holders with a total value of $4,331,059,017.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 WELLS FARGO & COMPANY/MN 500 0 0.00% Put
2 Parallax Volatility Advisers, L.P. 1 0 0.00%
3 Cable Hill Partners, LLC 0 0 0.00%
4 MINICHMACGREGOR WEALTH MANAGEMENT, LLC 150 1,000 0.00%
5 PACIFIC CENTER FOR FINANCIAL SERVICES 100 1,000 0.00%
6 GIERL AUGUSTINE INVESTMENT MANAGEMENT INC 100 1,000 0.00%
7 CUTLER GROUP LLC / CA 7,300 2,000 0.00% Put
8 SIMPLEX TRADING, LLC 177 2,000 0.00%
9 DELTA ASSET MANAGEMENT LLC/TN 254 3,000 0.00%
10 WESTSIDE INVESTMENT MANAGEMENT, INC. 260 3,312 0.00%
11 Sunbelt Securities, Inc. 302 3,810 0.00%
12 ROYAL FUND MANAGEMENT, LLC 395 4,000 0.00%
13 Portfolio Strategies Inc 350 4,000 0.00%
14 MCF Advisors LLC 283 4,000 0.00%
15 Patten Group, Inc. 300 4,000 0.00%
16 HAP Trading, LLC 300,000 5,000 0.00% Put
17 FineMark National Bank & Trust 400 5,000 0.00%
18 MV CAPITAL MANAGEMENT, INC. 396 5,000 0.00%
19 PHYSICIANS FINANCIAL SERVICES, INC. 408 5,000 0.00%
20 Glassman Wealth Services 390 5,000 0.00%
21 KERNODLE & KATON ASSET MANAGEMENT GROUP, LLC 507 6,000 0.00%
22 MCKINLEY CAPITAL MANAGEMENT LLC 560 7,000 0.00%
23 Pinnacle Holdings, LLC 580 7,308 0.00%
24 Transamerica Financial Advisors, LLC 574 8,000 0.00%
25 SECURITY NATIONAL TRUST CO 600 8,000 0.00%
26 ADVANTAGE INVESTMENT MANAGEMENT, LLC 600 8,000 0.00%
27 KNOTT DAVID M 600 8,000 0.00%
28 INTERACTIVE FINANCIAL ADVISORS, INC. 653 8,000 0.00%
29 IHT WEALTH MANAGEMENT, LLC 705 9,000 0.00%
30 Carroll Financial Associates, Inc. 900 11,000 0.00%
31 MACROVIEW INVESTMENT MANAGEMENT LLC 883 11,000 0.00%
32 Ledyard National Bank 1,000 13,000 0.00%
33 Kistler-Tiffany Companies, LLC 1,050 13,000 0.00%
34 BRONFMAN E.L. ROTHSCHILD, L.P. 1,000 13,000 0.00%
35 WESTWOOD HOLDINGS GROUP INC 1,007 13,000 0.00%
36 CENTERSTAR FUND, LLC 46,200 13,000 0.00% Call PRN
37 CENTRAL TRUST Co 1,150 14,000 0.00%
38 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 1,137 14,000 0.00%
39 Gradient Investments LLC 1,226 15,000 0.00%
40 NEWFOUND RESEARCH LLC 1,183 15,000 0.00%
41 Riggs Asset Managment Co. Inc. 1,273 16,000 0.00%
42 COUNTRY TRUST BANK 1,372 17,000 0.00%
43 Bartlett & Co. LLC 1,355 17,000 0.00%
44 CLEARSTEAD TRUST, LLC 1,500 19,000 0.00%
45 TOMPKINS FINANCIAL CORP 1,588 20,000 0.00%
46 UBS AM, a distinct business unit of UBS ASSET MANAGEMENT AMERICAS LLC 1,750 22,000 0.00%
47 Tower Research Capital LLC (TRC) 1,904 24,000 0.00%
48 WEBSTER BANK, N. A. 1,911 24,000 0.00%
49 Lowe Wealth Advisors, LLC 1,892 24,000 0.00%
50 MassMutual Private Wealth & Trust, FSB 1,941 24,457 0.00%
Page 1 of 11

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.