Alps Advisors Inc

Q1 2020 13F Combination Report, Stock Holdings

Signature - Title
Matthew Sutula - Chief Compliance Officer
Location
Denver, CO
Holdings as of
March 31, 2020
Value $
$6.46B
Num holdings
785
Date filed
5/6/2020, 11:56 AM
Form type
13F-HR
Description
A portion of the US holdings for this investor are reported in this report and a portion are reported by other reporting manager(s). The Form 13F report requires disclosure of the manager that files the report, the name and class of the security, the CUSIP code, the number of shares as of the end of the calendar quarter for which the report is filed, and the total market value. The market value column should not be used as a substitute for Assets Under Management (AUM), as it does not include cash held in accounts.
Previous filing
Q4 2019 - Feb 7, 2020
Next filing
Q2 2020 - Aug 5, 2020
SEC
View on sec.gov
Filing 2020 Q1 compared to 2019 Q4 by default.
* Reported Price is the price of the security as of the portfolio date. This value is significant in that it is the last known price at which the security was still held.
An asterisk sign (*) next to the price indicates that the price is likely invalid.

Person Signing this Report on Behalf of Reporting Manager:

Name Title City, State Date
Matthew Sutula Chief Compliance Officer Denver, Colorado 4/30/2020

List of Other Managers Reporting for Alps Advisors Inc:

Name Holdings Value Location File Number
Macquarie Investment Management Business Trust Philadelphia, PA 028-05267
Tcw Group Inc $11.2B Los Angeles, CA 028-02494
Aristotle Capital Management, LLC $50.2B Los Angeles, CA 028-02634
Congress Asset Management Co $13.4B Boston, MA 028-03434
Wellington Management Group Llp $520B Boston, MA 028-04557
Pzena Investment Management Llc $28.6B New York, NY 028-03791
Weatherbie Capital, Llc Boston, MA 028-04129
Principal Financial Group Inc $178B Des Moines, IA 028-10106
TCW INVESTMENT MANAGEMENT Co LLC Los Angeles, CA 028-06683
Principal Real Estate Investors Llc Des Moines, IA 028-10400
Clough Capital Partners L P $792M Boston, MA 028-10679
Sustainable Growth Advisers, LP $17.9B Stamford, CT 028-11076
CoreCommodity Management, LLC $615M Stamford, CT 028-11239
Macquarie Group Ltd $76.5B Sydney, Nsw 2000, Australia 028-13120
Rivernorth Capital Management, Llc $1.88B West Palm Beach, FL 028-13256
RiverFront Investment Group, LLC $4.49B Richmond, VA 028-13577

Other Included Managers (5):

Num Name Location File Number
1 Red Rocks Capital LLC Denver, CO 028-14056
2 Morningstar Investment Management LLC Chicago, IL 028-17446
3 Srh Advisors, Llc Salina, KS 028-14185
4 RiverFront Investment Group, LLC Richmond, VA 028-13577
5 Sprott Inc. Toronto, Ontario, Canada 028-14703