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

Institutional Holders (2016Q4)
Portfolio Summary: 32 Institutional holders with a total value of $20,469,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 WELLS FARGO & COMPANY/MN 87,963 3,665,000 17.91%
2 PNC FINANCIAL SERVICES GROUP, INC. 60,227 2,509,000 12.26%
3 BANK OF AMERICA CORP /DE/ 57,550 2,398,000 11.72%
4 JANE STREET GROUP, LLC 53,701 2,237,000 10.93%
5 Madrona Financial Services, LLC 41,377 1,724,000 8.42% SH
6 UBS Group AG 32,239 1,343,000 6.56%
7 MORGAN STANLEY 23,290 970,000 4.74%
8 DekaBank Deutsche Girozentrale 36,700 886,000 4.33%
9 Bank of New York Mellon Corp 17,261 719,000 3.51%
10 Virtu KCG Holdings LLC 13,782 574,000 2.80%
11 RAYMOND JAMES & ASSOCIATES 11,299 471,000 2.30%
12 BANK OF MONTREAL /CAN/ 11,412 470,000 2.30%
13 COLDSTREAM CAPITAL MANAGEMENT INC 9,542 398,000 1.94%
14 Commonwealth Equity Services, Inc 9,387 391,000 1.91%
15 CREATIVE FINANCIAL DESIGNS INC /ADV 7,972 332,000 1.62%
16 CAHILL FINANCIAL ADVISORS INC 7,332 306,000 1.49%
17 INTRUST BANK NA 6,000 250,000 1.22%
18 TWO SIGMA SECURITIES, LLC 5,125 214,000 1.05%
19 MSI Financial Services Inc 3,790 158,000 0.77%
20 ADVISOR GROUP, INC. 3,379 141,000 0.69%
21 ENVESTNET ASSET MANAGEMENT INC 2,656 111,000 0.54%
22 Carroll Financial Associates, Inc. 1,185 49,000 0.24%
23 IFP ADVISORS, INC 1,000 42,000 0.21%
24 LADENBURG THALMANN FINANCIAL SERVICES INC. 847 35,000 0.17%
25 ROYAL BANK OF CANADA 680 28,000 0.14%
26 Creative Planning 413 17,000 0.08%
27 GENEOS WEALTH MANAGEMENT INC. 350 14,000 0.07%
28 CITIGROUP INC 333 14,000 0.07%
29 STEWARD PARTNERS INVESTMENT ADVISORY, LLC 55 2,000 0.01%
30 ADVANTAGE INVESTMENT MANAGEMENT, LLC 24 1,000 0.00%
31 Parallax Volatility Advisers, L.P. 1 0 0.00%
32 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 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.