ALPS ADVISORS INC

Q3 2020 13F Combination Report, Restatement, Stock Holdings

Signature - Title
Matthew Sutula - Chief Compliance Officer
Location
Denver, CO
Holdings as of
30 Sep 2020
Value $
$6,792,593,000
Num holdings
808
Filing time
05 Nov 2020, 17:09:23 UTC
Form type
13F-HR/A-1 - Restatement
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). Top holdings included BRKA, EPD, MMP, ET, and MPLX.
Previous filing
Q2 2020 - 05 Aug 2020
Next filing
Q4 2020 - 03 Feb 2021
SEC
View on sec.gov
Sym Weight Trade Impact Company Class Share Change Activity Value Change $ Value $ * Price $ Shares Principal
Filing 2020 Q3 - Restatement compared to 2020 Q2 by default. Changes are calculated vs the previous SEC filing.
* 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 04 Nov 2020

List of Other Managers Reporting for ALPS ADVISORS INC:

Name Holdings Value Location File Number
FIDUCIARY MANAGEMENT INC /WI/ $9,094,755,848 Milwaukee, WI 028-01526
TCW GROUP INC $13,960,572,076 Los Angeles, CA 028-02494
Aristotle Capital Management, LLC $49,959,216,827 Los Angeles, CA 028-02634
CONGRESS ASSET MANAGEMENT CO $14,207,840,561 Boston, MA 028-03434
PZENA INVESTMENT MANAGEMENT LLC $33,403,411,445 New York, NY 028-03791
WEATHERBIE CAPITAL, LLC Boston, MA 028-04129
PRINCIPAL FINANCIAL GROUP INC $195,864,471,841 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 $1,112,177,340 Boston, MA 028-10679
Sustainable Growth Advisers, LP $14,420,508,258 Stamford, CT 028-11076
CoreCommodity Management, LLC $473,674,045 Stamford, CT 028-11239
RIVERNORTH CAPITAL MANAGEMENT, LLC $2,115,504,812 West Palm Beach, FL 028-13256
RiverFront Investment Group, LLC $6,063,370,078 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