Vault-13

ALPS ETF TR RFCI

RIVERFRONT DYM · ETP · CUSIP 00162Q536

19 institutional holders -1 vs Q1 2023
1,412,4991.4m shares reported held*
$31.4mreported value*
0 new 4 added 12 reduced 2 sold out net sold ≈ $2.4m (-109.6k shares)

* Summed across managers. Shares that two managers' reports both contain – a subsidiary's holdings that its parent's report includes too, or a sub-adviser's in its client's – are counted once. Holder counts are more reliable. Implied quarter-end price ≈ $22.20.

Trends to Q2 2023

Institutional holders

Managers reporting a position, each quarter

0102030Q3 22: 22Q4 22: 22Q1 23: 20Q2 23: 1919Q3 22Q4 22Q1 23Q2 23
Numbers
QuarterHolders
Q3 202222
Q4 202222
Q1 202320
Q2 202319

Buyers vs sellers

Managers adding to or starting a position, vs cutting or selling out

Bought or addedCut or sold out
20020Q4 22: 6 bought or addedQ4 22: 15 cut or sold outQ4 22Q1 23: 6 bought or addedQ1 23: 12 cut or sold outQ1 23Q2 23: 4 bought or addedQ2 23: 14 cut or sold outQ2 23
Numbers
QuarterBought or addedCut or sold out
Q4 2022615
Q1 2023612
Q2 2023414

Biggest buyers

SUSQUEHANNA INTERNATIONAL GROUP, LLP Added +10,740+10.7k
OSAIC HOLDINGS, INC. Added +181+181
CITADEL ADVISORS LLC Added +50+50
WELLS FARGO & COMPANY/MN Added +1+1

Biggest sellers

Elevated Capital Advisors, LLC Reduced -37,243-37.2k
JANE STREET GROUP, LLC Reduced -25,689-25.7k
RiverFront Investment Group, LLC Reduced -18,507-18.5k
Truadvice, LLC Reduced -14,340-14.3k
MARIPAU WEALTH MANAGEMENT LLC Sold out -11,212-11.2k
ROYAL BANK OF CANADA Reduced -4,058-4.1k
ENVESTNET ASSET MANAGEMENT INC Reduced -2,672-2.7k
TRUIST FINANCIAL CORP Reduced -2,063-2.1k
BENJAMIN F. EDWARDS & COMPANY, INC. Reduced -1,233-1.2k
Prospera Financial Services Inc Reduced -1,165-1.2k

Major shareholders (over 5%)

Anyone who owns more than 5% of a class of the company's shares has to say so: on Schedule 13D if they may try to influence or control the company, on 13G if they're a passive investor, and update it as the stake changes. Each holder's latest filing, from 19 Dec 2024 on; percentages are of the share class, as the holder worked them out.

HolderStakeChangeShares Last filed
TRUIST FINANCIAL CORP 13G · institution -3.2 pts · filed 2026-10-19 5.6% -3.2 pts 33.5k≈ $746.1k 2026-10-19

Holders, Q2 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 RiverFront Investment Group, LLC 0.32% of their portfolio RICHMOND, VA 445,836445.8k $9.9m $9.9m 0.32% Reduced -18.5k -18,507
2 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 172,759172.8k $3.8m $3.8m 0.00% Reduced -2.7k -2,672
3 Elevated Capital Advisors, LLC 1.17% of their portfolio SANDY, UT 158,525158.5k $3.5m $3.5m 1.17% Reduced -37.2k -37,243
4 TRUIST FINANCIAL CORP 0.01% of their portfolio CHARLOTTE, NC 151,980152.0k $3.4m $3.4m 0.01% Reduced -2.1k -2,063
5 Prospera Financial Services Inc 0.09% of their portfolio Dallas, TX 111,066111.1k $2.5m $2.5m 0.09% Reduced -1.2k -1,165
6 Hilltop Holdings Inc. 0.24% of their portfolio DALLAS, TX 88,49088.5k $2.0m $2.0m 0.24% Reduced -885 -885
7 JANE STREET GROUP, LLC 0.00% of their portfolio NEW YORK, NY 83,85983.9k $1.9m $1.9m 0.00% Reduced -25.7k -25,689
8 Truadvice, LLC 0.46% of their portfolio SARASOTA, FL 56,92656.9k $1.3m $1.3m 0.46% Reduced -14.3k -14,340
9 SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.00% of their portfolio BALA CYNWYD, PA 55,76155.8k $1.2m $1.2m 0.00% Added +10.7k +10,740
10 CITADEL ADVISORS LLC 0.00% of their portfolio MIAMI, FL 24,89224.9k $552.8k $552.8k 0.00% Added +50 +50
11 Selective Wealth Management, Inc. 0.25% of their portfolio FOREST, VA 22,87822.9k $504.5k $504.5k 0.25% First filing
12 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 20,39920.4k $453.0k $453.0k 0.00% Reduced -4.1k -4,058
13 OSAIC HOLDINGS, INC. 0.00% of their portfolio SCOTTSDALE, AZ 6,2896.3k $139.7k $139.7k 0.00% Added +181 +181
14 Raleigh Capital Management Inc. 0.04% of their portfolio CARY, NC 3,9283.9k $87.2k $87.2k 0.04% Reduced -1 -1
15 BENJAMIN F. EDWARDS & COMPANY, INC. 0.00% of their portfolio ST. LOUIS, MO 3,7883.8k $84.0k $84.0k 0.00% Reduced -1.2k -1,233
16 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 3,3653.4k $74.7k $74.7k 0.00% Added +1 +1
17 NewEdge Advisors, LLC 0.00% of their portfolio NEW ORLEANS, LA 1,4891.5k $33.1k $33.1k 0.00% Unchanged
18 UBS Group AG 0.00% of their portfolio ZURICH, V8 269269 $6.0k $6.0k 0.00% Reduced -1.2k -1,163
19 CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.00% of their portfolio BIRMINGHAM, AL 00 $0 $0 0.00% Unchanged