Alps Advisors Inc

Q3 2014 13F Combination Report, Restatement, Stock Holdings

Signature - Title
Bradley J. Swenson - Chief Compliance Officer
Location
Denver
Holdings as of
September 30, 2014
Value $
$12.9B
Num holdings
606
Date filed
12/18/2014, 02:45 PM
Form type
13F-HR/A-1 - Restatement
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). Top holdings included EPD, 4945SC, ETPXXXX, MMP, and PAA.
Previous filing
Q2 2014 - Aug 20, 2014
Next filing
Q4 2014 - Feb 13, 2015
SEC
View on sec.gov
Sym Weight Trade Impact Company Class Shares Change Activity Value Change $ Value $ * Price $ Shares Principal
Filing 2014 Q3 - Restatement compared to 2014 Q2 - Restatement 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
Bradley J. Swenson Chief Compliance Officer Denver, Colorado 12/18/2014

List of Other Managers Reporting for Alps Advisors Inc:

Name Holdings Value Location File Number
Tcw Group Inc $12.8B Los Angeles, CA 028-02494
Wellington Management Group Llp $551B Boston, MA 028-04557
Matrix Asset Advisors Inc/Ny $1.08B White Plains, NY 028-05690
Pzena Investment Management Llc $30.8B New York, NY 028-03791
Weatherbie Capital, Llc Boston, MA 028-04129
Jefferies Group LLC $11.9B New York, NY 028-10917
Cornerstone Capital Management Llc $635M Edina, MN 028-05923
TCW INVESTMENT MANAGEMENT Co LLC Los Angeles, CA 028-06683
Clough Capital Partners L P $997M Boston, MA 028-10679
CoreCommodity Management, LLC $604M Stamford, CT 028-11239
RiverFront Investment Group, LLC $5.12B Richmond, VA 028-13577
Red Rocks Capital LLC Denver, CO 028-14056