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ALPS Strategic Income Fund

Name Holding Trade Value Shares
Change
Change in
Stake
RIG
1
RiverFront Investment Group
Virginia
$17.8M -$43.9M -1,810,568 -71%
BTS
2
BB&T Securities
Virginia
$15.2M +$5.41M +222,965 +54%
Morgan Stanley
3
Morgan Stanley
New York
$7.34M +$1.27M +52,403 +21%
GFPC
4
Global Financial Private Capital
Florida
$6.06M +$433K +17,846 +8%
Envestnet Asset Management
5
Envestnet Asset Management
Illinois
$6.03M +$1.59M +65,627 +35%
Koshinski Asset Management
6
Koshinski Asset Management
Illinois
$4.79M -$1.25M -51,442 -20%
GLA
7
Good Life Advisors
Pennsylvania
$4.03M -$158K -6,526 -4%
FF
8
Fluent Financial
Texas
$3.87M +$3.91M +160,967 New
Jane Street
9
Jane Street
New York
$3.58M +$1.31M +53,862 +57%
VC
10
Vicus Capital
Pennsylvania
$3.24M +$102K +4,210 +3%
CWM
11
Cornerstone Wealth Management
Missouri
$3.1M +$3.13M +129,091 New
RWA
12
Redhawk Wealth Advisors
Minnesota
$2.4M +$2.37M +97,678 New
SPIA
13
Steward Partners Investment Advisory
New York
$2.17M -$10.8K -447 -0.5%
Royal Bank of Canada
14
Royal Bank of Canada
Ontario, Canada
$2.13M -$2.36M -97,313 -52%
UBS Group
15
UBS Group
Switzerland
$2.06M +$812K +33,448 +64%
SIA
16
Strategic Investment Advisors
Michigan
$1.84M +$1.86M +76,474 New
RJA
17
Raymond James & Associates
Florida
$1.75M -$11.1M -456,364 -86%
Commonwealth Equity Services
18
Commonwealth Equity Services
Massachusetts
$1.28M +$289K +11,909 +29%
IA
19
IFG Advisory
Georgia
$1.12M -$527K -21,708 -32%
Susquehanna International Group
20
Susquehanna International Group
Pennsylvania
$963K -$624K -25,733 -39%
LTFS
21
Ladenburg Thalmann Financial Services
Florida
$946K +$59.9K +2,470 +7%
MML Investors Services
22
MML Investors Services
Massachusetts
$883K +$46.1K +1,899 +5%
PFS
23
Prospera Financial Services
Texas
$863K +$416K +17,133 +92%
SPC
24
Sigma Planning Corp
Michigan
$833K +$1.58K +65 +0.2%
Cambridge Investment Research Advisors
25
Cambridge Investment Research Advisors
Iowa
$726K +$48.3K +1,990 +7%