Dark
Light
System
Security
ALPS ETF TR
ALPS ETF TR. Institutional holdings reported to the SEC.

Institutional Holders (2016Q3)
Portfolio Summary: 28 Institutional holders with a total value of $59,103,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 BANK OF AMERICA CORP /DE/ 404,449 23,911,000 40.46%
2 MORGAN STANLEY 132,313 7,822,000 13.23%
3 UBS Group AG 128,098 7,573,000 12.81%
4 CHOREO, LLC 80,132 4,737,000 8.01%
5 Bernicke Wealth Management, Ltd. 45,535 2,692,000 4.55%
6 JANE STREET GROUP, LLC 41,559 2,457,000 4.16%
7 WELLS FARGO & COMPANY/MN 36,787 2,175,000 3.68%
8 SUSQUEHANNA INTERNATIONAL GROUP, LLP 31,399 1,856,000 3.14%
9 CITADEL ADVISORS LLC 18,784 1,110,000 1.88%
10 Stratos Wealth Partners, LTD. 17,651 1,044,000 1.77%
11 LPL Financial LLC 15,881 926,000 1.57%
12 AMERIPRISE FINANCIAL INC 15,391 910,000 1.54%
13 Commonwealth Equity Services, Inc 8,384 496,000 0.84%
14 Raymond James Financial Services Advisors, Inc. 4,084 241,000 0.41%
15 RAYMOND JAMES & ASSOCIATES 3,981 235,000 0.40%
16 Private Advisor Group, LLC 4,035 235,000 0.40%
17 ROYAL BANK OF CANADA 3,473 205,000 0.35%
18 IFP ADVISORS, INC 3,350 198,000 0.34%
19 MSI Financial Services Inc 1,584 94,000 0.16%
20 GENEOS WEALTH MANAGEMENT INC. 1,105 65,000 0.11%
21 US BANCORP \DE\ 1,050 62,000 0.10%
22 PNC FINANCIAL SERVICES GROUP, INC. 318 19,000 0.03%
23 ADVISOR GROUP, INC. 300 18,000 0.03%
24 Tower Research Capital LLC (TRC) 200 12,000 0.02%
25 NEXT Financial Group, Inc 130 8,000 0.01%
26 PHYSICIANS FINANCIAL SERVICES, INC. 37 2,000 0.00%
27 LBA Wealth Management, LLC 5 0 0.00%
28 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.