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ALPS EQUAL
ALPS EQUAL. Institutional holdings reported to the SEC.

Institutional Holders (2015Q3)
Portfolio Summary: 25 Institutional holders with a total value of $48,852,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 BANK OF AMERICA CORP /DE/ 373,331 19,376,000 39.66%
2 UBS Group AG 175,832 9,126,000 18.68%
3 MORGAN STANLEY 114,290 5,932,000 12.14%
4 Bernicke Wealth Management, Ltd. 56,228 2,918,000 5.97%
5 SUSQUEHANNA INTERNATIONAL GROUP, LLP 46,018 2,388,000 4.89%
6 JANE STREET GROUP, LLC 27,438 1,424,000 2.91%
7 WELLS FARGO & COMPANY/MN 26,496 1,375,000 2.81%
8 LPL Financial LLC 21,156 1,141,000 2.34%
9 ROCKLAND TRUST CO 21,145 1,097,000 2.25%
10 CITADEL ADVISORS LLC 21,139 1,097,000 2.25%
11 Virtu KCG Holdings LLC 16,319 847,000 1.73%
12 Stratos Wealth Partners, LTD. 15,937 827,000 1.69%
13 ENVESTNET ASSET MANAGEMENT INC 8,427 437,000 0.89%
14 ROYAL BANK OF CANADA 6,118 317,000 0.65%
15 Commonwealth Equity Services, Inc 4,697 244,000 0.50%
16 AMERICAN INTERNATIONAL GROUP, INC. 1,475 76,000 0.16%
17 Tower Research Capital LLC (TRC) 1,078 56,000 0.11%
18 US BANCORP \DE\ 1,050 54,000 0.11%
19 MSI Financial Services Inc 850 44,000 0.09%
20 Blume Capital Management, Inc. 800 42,000 0.09%
21 PNC FINANCIAL SERVICES GROUP, INC. 395 21,000 0.04%
22 Sandy Spring Bank 150 8,000 0.02%
23 Creative Planning 100 5,000 0.01%
24 Parallax Volatility Advisers, L.P. 1 0 0.00%
25 LBA Wealth Management, LLC 5 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.