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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
451 ROPES WEALTH ADVISORS LLC 2,953 37,000 0.00%
452 LEGACY ADVISORS, LLC 2,966 37,000 0.00%
453 Vantage Investment Advisors, LLC 2,803 35,000 0.00%
454 HOWE & RUSLING INC 2,500 32,000 0.00%
455 Ameritas Investment Partners, Inc. 2,490 31,000 0.00%
456 HIGH POINT BANK & TRUST CO 2,465 31,000 0.00%
457 RISK PARADIGM GROUP, LLC 2,356 29,685 0.00%
458 Winslow, Evans & Crocker, Inc. 2,350 29,610 0.00%
459 SONORA INVESTMENT MANAGEMENT, LLC 1,995 25,137 0.00%
460 KANALY TRUST CO 2,000 25,000 0.00%
461 VALLEY WEALTH MANAGERS, INC. 2,000 25,000 0.00%
462 BALDWIN WEALTH PARTNERS LLC/MA 2,000 25,000 0.00%
463 MassMutual Private Wealth & Trust, FSB 1,941 24,457 0.00%
464 WEBSTER BANK, N. A. 1,911 24,000 0.00%
465 Lowe Wealth Advisors, LLC 1,892 24,000 0.00%
466 Tower Research Capital LLC (TRC) 1,904 24,000 0.00%
467 UBS AM, a distinct business unit of UBS ASSET MANAGEMENT AMERICAS LLC 1,750 22,000 0.00%
468 TOMPKINS FINANCIAL CORP 1,588 20,000 0.00%
469 CLEARSTEAD TRUST, LLC 1,500 19,000 0.00%
470 COUNTRY TRUST BANK 1,372 17,000 0.00%
471 Bartlett & Co. LLC 1,355 17,000 0.00%
472 Riggs Asset Managment Co. Inc. 1,273 16,000 0.00%
473 Gradient Investments LLC 1,226 15,000 0.00%
474 NEWFOUND RESEARCH LLC 1,183 15,000 0.00%
475 CENTRAL TRUST Co 1,150 14,000 0.00%
476 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 1,137 14,000 0.00%
477 Ledyard National Bank 1,000 13,000 0.00%
478 CENTERSTAR FUND, LLC 46,200 13,000 0.00% Call PRN
479 BRONFMAN E.L. ROTHSCHILD, L.P. 1,000 13,000 0.00%
480 Kistler-Tiffany Companies, LLC 1,050 13,000 0.00%
481 WESTWOOD HOLDINGS GROUP INC 1,007 13,000 0.00%
482 Carroll Financial Associates, Inc. 900 11,000 0.00%
483 MACROVIEW INVESTMENT MANAGEMENT LLC 883 11,000 0.00%
484 IHT WEALTH MANAGEMENT, LLC 705 9,000 0.00%
485 INTERACTIVE FINANCIAL ADVISORS, INC. 653 8,000 0.00%
486 Transamerica Financial Advisors, LLC 574 8,000 0.00%
487 SECURITY NATIONAL TRUST CO 600 8,000 0.00%
488 ADVANTAGE INVESTMENT MANAGEMENT, LLC 600 8,000 0.00%
489 KNOTT DAVID M 600 8,000 0.00%
490 Pinnacle Holdings, LLC 580 7,308 0.00%
491 MCKINLEY CAPITAL MANAGEMENT LLC 560 7,000 0.00%
492 KERNODLE & KATON ASSET MANAGEMENT GROUP, LLC 507 6,000 0.00%
493 FineMark National Bank & Trust 400 5,000 0.00%
494 HAP Trading, LLC 300,000 5,000 0.00% Put
495 PHYSICIANS FINANCIAL SERVICES, INC. 408 5,000 0.00%
496 Glassman Wealth Services 390 5,000 0.00%
497 MV CAPITAL MANAGEMENT, INC. 396 5,000 0.00%
498 Portfolio Strategies Inc 350 4,000 0.00%
499 Patten Group, Inc. 300 4,000 0.00%
500 ROYAL FUND MANAGEMENT, LLC 395 4,000 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.