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ALPS Strategic Income Fund

Name Holding Trade Value Shares
Change
Change in
Stake
RIG
1
RiverFront Investment Group
Virginia
$195M -$79.7M -3,230,271 -29%
RJA
2
Raymond James & Associates
Florida
$42.1M -$19.9M -805,010 -32%
BTS
3
BB&T Securities
Virginia
$15.2M -$4.31M -174,937 -22%
Royal Bank of Canada
4
Royal Bank of Canada
Ontario, Canada
$7.22M -$1.67M -67,708 -19%
Morgan Stanley
5
Morgan Stanley
New York
$7M +$505K +20,481 +8%
Stifel Financial
6
Stifel Financial
Missouri
$6.86M +$6.55M +265,526 +2,533%
Envestnet Asset Management
7
Envestnet Asset Management
Illinois
$5.83M -$2.1M -85,282 -27%
Koshinski Asset Management
8
Koshinski Asset Management
Illinois
$3.04M -$496K -20,119 -14%
UBS Group
9
UBS Group
Switzerland
$2.55M -$2.16M -87,596 -46%
Jane Street
10
Jane Street
New York
$1.97M +$1.1M +44,404 +128%
RJFSA
11
Raymond James Financial Services Advisors
Florida
$1.73M -$911K -36,956 -35%
VC
12
Vicus Capital
Pennsylvania
$983K -$32.6K -1,322 -3%
Baird Financial Group
13
Baird Financial Group
Wisconsin
$397K +$26.3K +1,066 +7%
AG
14
Advisor Group
Arizona
$377K +$375K +15,188 New
SWP
15
Stratos Wealth Partners
Ohio
$369K +$79.8K +3,237 +28%
MFS
16
MSI Financial Services
Massachusetts
$344K -$122K -4,935 -26%
Susquehanna International Group
17
Susquehanna International Group
Pennsylvania
$303K -$2.43M -98,346 -89%
FA
18
FDx Advisors
Illinois
$279K -$163K -6,627 -37%
Cambridge Investment Research Advisors
19
Cambridge Investment Research Advisors
Iowa
$263K +$31.8K +1,288 +14%
3AM
20
3D Asset Management
Connecticut
$263K +$260K +10,561 New
S
21
SignatureFD
Georgia
$226K -$157K -6,370 -41%
AWMS
22
Advocacy Wealth Management Services
Georgia
$60K -$24.4K -989 -29%
WAS
23
Winch Advisory Services
Wisconsin
$53K +$863 +35 +2%
LTFS
24
Ladenburg Thalmann Financial Services
Florida
$45K +$148 +6 +0.3%
HI
25
Hudock Inc
Pennsylvania
$43K -$20K -812 -32%