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

Institutional Holders (2014Q3)
Portfolio Summary: 30 Institutional holders with a total value of $17,331,968.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 MORGAN STANLEY 80,326 3,270,000 18.87%
2 WELLS FARGO & COMPANY/MN 71,281 2,902,000 16.74%
3 PNC FINANCIAL SERVICES GROUP, INC. 47,600 1,938,000 11.18%
4 ROYAL BANK OF CANADA 31,070 1,265,000 7.30%
5 BANK OF AMERICA CORP /DE/ 30,115 1,226,000 7.07%
6 JANE STREET GROUP, LLC 20,712 843,000 4.86%
7 Virtu KCG Holdings LLC 16,146 657,000 3.79%
8 STEPHENS INC /AR/ 15,740 641,000 3.70%
9 AMERIPRISE FINANCIAL INC 15,314 624,000 3.60%
10 Bank of New York Mellon Corp 14,147 576,000 3.32%
11 SUSQUEHANNA INTERNATIONAL GROUP, LLP 11,921 485,000 2.80%
12 UBS AG 11,535 470,000 2.71%
13 US BANCORP \DE\ 10,000 407,000 2.35%
14 COLDSTREAM CAPITAL MANAGEMENT INC 9,416 383,000 2.21%
15 BANK OF MONTREAL /CAN/ 8,762 357,000 2.06%
16 INTRUST BANK NA 7,000 285,000 1.64%
17 NEXT Financial Group, Inc 6,025 245,000 1.41%
18 Commonwealth Equity Services, Inc 5,029 205,000 1.18%
19 AMERICAN INTERNATIONAL GROUP, INC. 3,045 123,968 0.72%
20 MSI Financial Services Inc 2,650 108,000 0.62%
21 WFG Advisors, LP 2,098 85,000 0.49%
22 LADENBURG THALMANN FINANCIAL SERVICES INC. 1,375 56,000 0.32%
23 Joel Isaacson & Co., LLC 1,281 52,000 0.30%
24 Pinnacle Summer Investments, Inc. 1,125 46,000 0.27%
25 Private Advisor Group, LLC 604 25,000 0.14%
26 Creative Planning 563 23,000 0.13%
27 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 256 10,000 0.06%
28 CITIGROUP INC 235 10,000 0.06%
29 NEW ENGLAND SECURITIES CORP /MA/ 200 8,000 0.05%
30 Ground Swell Capital, LLC 142 6,000 0.03%

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.