What does CUSIP 00162Q486 represent in this 13F holders report?

CUSIP 00162Q486 is the security identifier for SWIN - ALPS ETF TR - ALPS DORESEY used to aggregate holder disclosures.

How many institutions held SWIN - ALPS ETF TR - ALPS DORESEY in Q3 2017?

7 institutional investors reported SWIN - ALPS ETF TR - ALPS DORESEY for Q3 2017. Use the holders table for investor-level position and value details.

ALPS ETF TR - ALPS DORESEY (SWIN)

CUSIP: 00162Q486

Q3 2017 13F Holders as of 30 Sep 2017

Security type / class: Equity / ALPS DORESEY
Total 13F shares: 110,821
Total 13F value: $3,111,000
Share change: +7,038
SEC-reported price per share: $28.07
Number of holders: 7
Value change: +$199,863
Number of buys: 6
Number of sells: 2

Security key

00162Q486

Report period

Q3 2017

Institutions

Top holders

SWIN full security history Ownership snapshot Full 13F holder table Solowin Holdings, Ltd. SEC filings Solowin Holdings, Ltd. company facts

Broader feeds

Latest 13F filings Latest 13D/G filings Investors directory

Ownership snapshot

Top reported holders of SWIN - ALPS ETF TR - ALPS DORESEY (13F + 13D/G + 3/4/5)

Grouped by holder across the latest SEC ownership disclosures. Start with comparable ownership when available, then verify the linked 13F, 13D/G, or 3/4/5 evidence.

Comparable stake leader

Advisor Group, Inc.

Disclosed value leader

Advisor Group, Inc.

Comparable rows

0/7

Latest evidence

30 Jun 2017

13F Highest disclosed value: $1,014,000 7 rows are not safely comparable across share classes. Showing 1-6 of 7 holder rows.

Quick read

Advisor Group, Inc. has the largest disclosed position value at $1.01M.

0 of 7 rows have a safely comparable ownership percentage. Use this as a filing-backed starting point, then open the detailed table for source links, reporting role, position value, share count, and filing date.

Open SEC evidence Opens Advisor Group, Inc.'s linked filing trail.

Disclosed position value Top 5

Advisor Group, Inc. $1.01M

JANE STREET GROUP, LLC $668K

LPL Financial LLC $401K

Private Advisory Group LLC $393K

LADENBURG THALMANN FINANCIAL SERV... $248K

Value bars compare disclosed positions; verify each figure against the linked filing evidence.

Detailed SEC evidence table Showing 1-6 of 7 holder rows

Holder	Evidence	Ownership %	Position	12M Net Δ	As of
Advisor Group, Inc.	13F Company 13F	— denominator unverified	$1,014,000 37,495 shares	—	30 Jun 2017
JANE STREET GROUP, LLC	13F Company 13F	— denominator unverified	$668,000 24,711 shares	—	30 Jun 2017
LPL Financial LLC	13F Company 13F	— denominator unverified	$401,000 14,822 shares	—	30 Jun 2017
Private Advisory Group LLC	13F Company 13F	— denominator unverified	$393,000 14,546 shares	—	30 Jun 2017
LADENBURG THALMANN FINANCIAL SERVICES INC.	13F Company 13F	— denominator unverified	$248,000 9,178 shares	—	30 Jun 2017
NewEdge Advisors, LLC	13F Company 13F	— denominator unverified	$77,088 2,831 shares	—	30 Jun 2017

How to read this table

Rows are grouped by holder and ranked first by SEC-reported ownership % when it is safely comparable, then by disclosed holdings value. — indicates unavailable or non-comparable values; "mixed-class rows" means the latest filing spans non-comparable classes.

13F holder rows

Institutional holders as of Q3 2017

Investor-level positions for this CUSIP, loaded as an interactive table.

Institutions

110,821

Rows available

Investor	Option	Weight %	Change %	SEC-reported value	* Price	Shares	Share Change	Activity	Report Period

^* SEC-reported price is the security price as of the portfolio date and can indicate the last known price at which the security was still held. The marker flags a reported price that did not pass the local price check.

Compare Q3 2017 vs Q2 2017 Across Filers

Q2 2017 holders

Q3 2017 holders

Holder diff

Investor	Q2 2017 Shares	Q3 2017 Shares	Share Diff	Share Chg %	Q2 2017 value	Q3 2017 value	Value change	Value Chg %