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

Institutional Holders (2016Q3)
Portfolio Summary: 29 Institutional holders with a total value of $297,423,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 RiverFront Investment Group, LLC 7,762,970 196,715,000 66.14%
2 RAYMOND JAMES & ASSOCIATES 1,645,471 41,697,000 14.02%
3 BB&T SECURITIES, LLC 627,988 15,913,000 5.35%
4 ROYAL BANK OF CANADA 336,907 8,537,000 2.87%
5 STIFEL FINANCIAL CORP 289,205 7,322,000 2.46%
6 MORGAN STANLEY 274,712 6,961,000 2.34%
7 ENVESTNET ASSET MANAGEMENT INC 212,068 5,374,000 1.81%
8 JANE STREET GROUP, LLC 148,149 3,754,000 1.26%
9 UBS Group AG 97,522 2,471,000 0.83%
10 Koshinski Asset Management, Inc. 87,814 2,225,000 0.75%
11 Raymond James Financial Services Advisors, Inc. 66,983 1,697,000 0.57%
12 VICUS CAPITAL 40,050 1,015,000 0.34%
13 CORNERSTONE WEALTH MANAGEMENT, LLC 27,075 686,000 0.23%
14 BAIRD FINANCIAL GROUP, INC. 15,961 404,000 0.14%
15 CITADEL ADVISORS LLC 14,143 358,000 0.12%
16 ADVISOR GROUP, INC. 13,444 341,000 0.11%
17 WELLS FARGO & COMPANY/MN 11,998 304,000 0.10%
18 MSI Financial Services Inc 11,539 292,000 0.10%
19 FDx Advisors, Inc. 11,066 280,000 0.09%
20 SUSQUEHANNA INTERNATIONAL GROUP, LLP 11,032 280,000 0.09%
21 Cambridge Investment Research Advisors, Inc. 10,817 274,000 0.09%
22 Janney Montgomery Scott LLC 9,769 248,000 0.08%
23 IFP ADVISORS, INC 2,437 62,000 0.02%
24 ADVOCACY WEALTH MANAGEMENT SERVICES, LLC 2,404 61,000 0.02%
25 Winch Advisory Services, LLC 2,141 54,000 0.02%
26 LADENBURG THALMANN FINANCIAL SERVICES INC. 1,956 49,000 0.02%
27 Hudock, Inc. 1,738 44,000 0.01%
28 BENJAMIN F. EDWARDS & COMPANY, INC. 200 5,000 0.00%
29 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.