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

Institutional Holders (2015Q4)
Portfolio Summary: 33 Institutional holders with a total value of $28,503,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 AFFINITY WEALTH MANAGEMENT LLC 180,521 7,677,000 26.93%
2 AMERIPRISE FINANCIAL INC 81,665 3,473,000 12.18%
3 WELLS FARGO & COMPANY/MN 75,611 3,216,000 11.28%
4 PNC FINANCIAL SERVICES GROUP, INC. 60,227 2,562,000 8.99%
5 MORGAN STANLEY 44,438 1,890,000 6.63%
6 BANK OF AMERICA CORP /DE/ 41,896 1,782,000 6.25%
7 CITADEL ADVISORS LLC 24,570 1,047,000 3.67%
8 Bank of New York Mellon Corp 20,127 856,000 3.00%
9 SUSQUEHANNA INTERNATIONAL GROUP, LLP 17,407 742,000 2.60%
10 COLDSTREAM CAPITAL MANAGEMENT INC 15,942 678,000 2.38%
11 JANE STREET GROUP, LLC 14,009 596,000 2.09%
12 WHALEROCK POINT PARTNERS, LLC 13,000 552,000 1.94%
13 BANK OF MONTREAL /CAN/ 12,462 530,000 1.86%
14 RAYMOND JAMES & ASSOCIATES 12,036 512,000 1.80%
15 Commonwealth Equity Services, Inc 11,006 468,000 1.64%
16 UBS Group AG 9,679 411,000 1.44%
17 Virtu KCG Holdings LLC 6,098 259,000 0.91%
18 INTRUST BANK NA 6,000 255,000 0.89%
19 CAHILL FINANCIAL ADVISORS INC 5,318 227,000 0.80%
20 MSI Financial Services Inc 4,858 207,000 0.73%
21 ENVESTNET ASSET MANAGEMENT INC 4,059 173,000 0.61%
22 AMERICAN INTERNATIONAL GROUP, INC. 3,825 163,000 0.57%
23 Pinnacle Summer Investments, Inc. 1,247 53,000 0.19%
24 DekaBank Deutsche Girozentrale 1,600 44,000 0.15%
25 IFP ADVISORS, INC 1,000 43,000 0.15%
26 LADENBURG THALMANN FINANCIAL SERVICES INC. 692 29,000 0.10%
27 Creative Planning 413 18,000 0.06%
28 Tower Research Capital LLC (TRC) 272 12,000 0.04%
29 CITIGROUP INC 285 12,000 0.04%
30 ROYAL BANK OF CANADA 246 10,000 0.04%
31 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 126 5,000 0.02%
32 Carroll Financial Associates, Inc. 32 1,000 0.00%
33 Parallax Volatility Advisers, L.P. 1 0 0.00%

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.