Alps Advisors Inc

Q3 2020 13F Combination Report, Restatement, Stock Holdings

Signature - Title
Matthew Sutula - Chief Compliance Officer
Location
Denver
Holdings as of
September 30, 2020
Value $
$6.79B
Num holdings
808
Date filed
11/5/2020, 04:09 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 BRKA, EPD, MMP, ET, and MPLX.
Previous filing
Q2 2020 - Aug 5, 2020
Next filing
Q4 2020 - Feb 3, 2021
SEC
View on sec.gov
Sym Weight Trade Impact Company Class Shares Change Activity Value Change $ Value $ * Price $ Shares Principal
Filing 2020 Q3 - Restatement compared to 2020 Q2 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
Matthew Sutula Chief Compliance Officer Denver, Colorado 11/4/2020

List of Other Managers Reporting for Alps Advisors Inc:

Name Holdings Value Location File Number
Fiduciary Management Inc /Wi/ $10.4B Milwaukee, WI 028-01526
Tcw Group Inc $12.8B Los Angeles, CA 028-02494
Aristotle Capital Management, LLC $51.9B Los Angeles, CA 028-02634
Congress Asset Management Co /Ma $15B Boston, MA 028-03434
Pzena Investment Management Llc $30.8B New York, NY 028-03791
Weatherbie Capital, Llc Boston, MA 028-04129
Principal Financial Group Inc $189B Des Moines, IA 028-10106
TCW INVESTMENT MANAGEMENT Co LLC Los Angeles, CA 028-06683
Principal Real Estate Investors Llc Des Moines, IA 028-10400
Clough Capital Partners L P $997M Boston, MA 028-10679
Sustainable Growth Advisers, LP $19.4B Stamford, CT 028-11076
CoreCommodity Management, LLC $604M Stamford, CT 028-11239
Rivernorth Capital Management, Llc $1.81B West Palm Beach, FL 028-13256
RiverFront Investment Group, LLC $5.12B Richmond, VA 028-13577

Other Included Managers (5):

Num Name Location File Number
1 Red Rocks Capital LLC Denver, CO 028-14056
2 Morningstar Investment Management LLC Chicago, IL 028-17446
3 Rocky Mountain Advisers, Llc Salina, KS 028-14185
4 RiverFront Investment Group, LLC Richmond, VA 028-13577
5 Sprott Inc. Toronto, Ontario, Canada 028-14703