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ALPS Strategic Income Fund

Name Holding Trade Value Shares
Change
Change in
Stake
Creative Planning
26
Creative Planning
Kansas
$419K -$200K -8,052 -32%
BFEC
27
Benjamin F. Edwards & Company
Missouri
$411K +$6.57K +264 +2%
FTUS
28
Flow Traders U.S.
New York
$371K +$16.7K +670 +5%
BRWM
29
B. Riley Wealth Management
Tennessee
$367K +$369K +14,846 New
PFS
30
Prospera Financial Services
Texas
$334K +$6.07K +244 +2%
Jane Street
31
Jane Street
New York
$316K +$317K +12,749 New
PCIA
32
Prime Capital Investment Advisors
Kansas
$307K -$4.21M -169,330 -93%
CIBC World Market
33
CIBC World Market
Ontario, Canada
$299K -$10.9K -440 -4%
KAS
34
Kestra Advisory Services
Texas
$232K +$6.37K +256 +3%
SWP
35
Stratos Wealth Partners
Ohio
$224K -$17.8K -717 -7%
Commonwealth Equity Services
36
Commonwealth Equity Services
Massachusetts
$220K -$12.3K -494 -5%
T
37
TRUADVICE
Florida
$209K -$8.46K -340 -4%
NFG
38
Next Financial Group
Texas
$113K +$18.8K +756 +20%
CFA
39
Cahill Financial Advisors
Minnesota
$89K +$89.7K +3,607 New
GWM
40
Geneos Wealth Management
Colorado
$49K
ASBI
41
American State Bank (Iowa)
Iowa
$38.9K
SWM
42
Sugarloaf Wealth Management
Georgia
$6K +$25 +1 +0.5%
RJT
43
Raymond James Trust
Florida
-$642K -25,858 Closed
AA
44
Advisory Alpha
Michigan
-$271K -10,920 Closed
Wells Fargo
45
Wells Fargo
California
-$16K -661 Closed
Citigroup
46
Citigroup
New York
-$12K -495 Closed
LWA
47
Lenox Wealth Advisors
New York
-$11K -429 Closed
JP Morgan Chase
48
JP Morgan Chase
New York
-$10K -400 Closed
PGAM
49
Princeton Global Asset Management
New Jersey
-$2K -100 Closed