ALPS ADVISORS INC

Q3 2021 13F Combination Report, Stock Holdings

Signature - Title
Matthew Sutula - Chief Compliance Officer
Location
Denver, CO
Holdings as of
September 30, 2021
Value $
$10.4B
Num holdings
906
Date filed
11/15/2021, 12:33 PM
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
Q2 2021 - Aug 11, 2021
Next filing
Q4 2021 - Feb 9, 2022
Sym Weight Trade Impact Company Class Shares Change Activity Value Change $ Value $ * Price $ Shares Principal
Filing 2021 Q3 compared to 2021 Q2 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 11/12/2021

List of Other Managers Reporting for ALPS ADVISORS INC:

Name Holdings Value Location File Number
PRINCIPAL FINANCIAL GROUP INC $182B Des Moines, IA 028-10106
Aristotle Capital Management, LLC $54.9B Los Angeles, CA 028-02634
PZENA INVESTMENT MANAGEMENT LLC $29.6B New York, NY 028-03791
Sustainable Growth Advisers, LP $23.6B Stamford, CT 028-11076
WESTFIELD CAPITAL MANAGEMENT CO LP $22.1B Boston, MA 028-10220
CONGRESS ASSET MANAGEMENT CO /MA $14.7B Boston, MA 028-03434
TCW GROUP INC $11.4B Los Angeles, CA 028-02494
FIDUCIARY MANAGEMENT INC /WI/ $11.4B Milwaukee, WI 028-01526
RiverFront Investment Group, LLC $4.25B Richmond, VA 028-13577
LEVEL FOUR ADVISORY SERVICES, LLC $2.36B Dallas, TX 028-17884
CoreCommodity Management, LLC $543M Stamford, CT 028-11239
GSI Capital Advisors LLC $200M Newport Beach, CA 028-12448
Level Four Capital Management, LLC Dallas, TX 028-20267
PRINCIPAL REAL ESTATE INVESTORS LLC Des Moines, IA 028-10400
TCW INVESTMENT MANAGEMENT Co LLC Los Angeles, CA 028-06683
WEATHERBIE CAPITAL, LLC Boston, MA 028-04129

Other Included Managers (5):

Num Name Location File Number
1 Red Rocks Capital LLC 028-14056
2 Morningstar Investment Management LLC Chicago, IL 028-17446
3 Rocky Mountain Advisers, LLC 028-14185
4 RiverFront Investment Group, LLC Richmond, VA 028-13577
5 SPROTT INC. Toronto, Ontario, Canada 028-14703