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ALPS Strategic Income Fund

Name Holding Trade Value Shares
Change
Change in
Stake
RJFSA
26
Raymond James Financial Services Advisors
Florida
$462K +$80.8K +3,494 +21%
Cambridge Investment Research Advisors
27
Cambridge Investment Research Advisors
Iowa
$405K -$54.2K -2,343 -12%
BFEC
28
Benjamin F. Edwards & Company
Missouri
$370K -$78.4K -3,390 -17%
LFA
29
Laraway Financial Advisors
Minnesota
$351K +$7.17K +310 +2%
T
30
TRUADVICE
Florida
$326K +$106K +4,600 +49%
PPWM
31
Paragon Private Wealth Management
Kentucky
$290K +$3.81K +165 +1%
CAC
32
Certified Advisory Corp
Florida
$274K -$253K -10,934 -48%
CIBC World Market
33
CIBC World Market
Ontario, Canada
$274K
SWP
34
Stratos Wealth Partners
Ohio
$203K -$3.95K -171 -2%
UWM
35
Urban Wealth Management
California
$122K +$124K +5,360 New
Wells Fargo
36
Wells Fargo
California
$57K -$231 -10 -0.4%
CA
37
CoreCap Advisors
Michigan
$49K +$50.3K +2,177 New
GWM
38
Geneos Wealth Management
Colorado
$45K
PFA
39
Professional Financial Advisors
Nebraska
$37K -$70.4K -3,043 -65%
RCM
40
Raleigh Capital Management
North Carolina
$24K -$1.53K -66 -6%
HI
41
Harbour Investments
Wisconsin
$24K +$24.8K +1,071 New
ASBI
42
American State Bank (Iowa)
Iowa
$22.7K
MCC
43
Money Concepts Capital
Florida
$7K
SWM
44
Sugarloaf Wealth Management
Georgia
$5K +$46 +2 +0.9%
FTUS
45
Flow Traders U.S.
New York
-$387K -16,353 Closed
PCIA
46
Prime Capital Investment Advisors
Kansas
-$291K -11,824 Closed
Commonwealth Equity Services
47
Commonwealth Equity Services
Massachusetts
-$206K -8,705 Closed