Vault-13

ALPS ETF TR RFCI

RIVERFRONT DYM · ETP · CUSIP 00162Q536

19 institutional holders +0 vs Q2 2023
1,359,7691.4m shares reported held*
$29.1mreported value*
1 new 3 added 12 reduced 1 sold out net sold ≈ $1.1m (-52.7k 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 ≈ $21.43.

Trends to Q3 2023

Institutional holders

Managers reporting a position, each quarter

0102030Q3 22: 22Q4 22: 22Q1 23: 20Q2 23: 19Q3 23: 1919Q3 22Q4 22Q1 23Q2 23Q3 23
Numbers
QuarterHolders
Q3 202222
Q4 202222
Q1 202320
Q2 202319
Q3 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 23Q3 23: 4 bought or addedQ3 23: 13 cut or sold outQ3 23
Numbers
QuarterBought or addedCut or sold out
Q4 2022615
Q1 2023612
Q2 2023414
Q3 2023413

Biggest buyers

Prospera Financial Services Inc Added +64,284+64.3k
JANE STREET GROUP, LLC Added +16,664+16.7k
BANK OF MONTREAL /CAN/ New +7,829+7.8k
CITADEL ADVISORS LLC Added +2,436+2.4k

Biggest sellers

SUSQUEHANNA INTERNATIONAL GROUP, LLP Reduced -46,374-46.4k
Elevated Capital Advisors, LLC Reduced -29,267-29.3k
Selective Wealth Management, Inc. Sold out -22,878-22.9k
Truadvice, LLC Reduced -22,568-22.6k
RiverFront Investment Group, LLC Reduced -8,463-8.5k
ROYAL BANK OF CANADA Reduced -4,882-4.9k
WELLS FARGO & COMPANY/MN Reduced -3,364-3.4k
ENVESTNET ASSET MANAGEMENT INC Reduced -1,875-1.9k
Hilltop Holdings Inc. Reduced -1,690-1.7k
TRUIST FINANCIAL CORP Reduced -1,504-1.5k

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, Q3 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 RiverFront Investment Group, LLC 0.33% of their portfolio RICHMOND, VA 437,373437.4k $9.4m $9.4m 0.33% Reduced -8.5k -8,463
2 Prospera Financial Services Inc 0.15% of their portfolio Dallas, TX 175,350175.3k $3.8m $3.8m 0.15% Added +64.3k +64,284
3 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 170,884170.9k $3.7m $3.7m 0.00% Reduced -1.9k -1,875
4 TRUIST FINANCIAL CORP 0.01% of their portfolio CHARLOTTE, NC 150,476150.5k $3.2m $3.2m 0.01% Reduced -1.5k -1,504
5 Elevated Capital Advisors, LLC 0.94% of their portfolio SANDY, UT 129,258129.3k $2.8m $2.8m 0.94% Reduced -29.3k -29,267
6 JANE STREET GROUP, LLC 0.00% of their portfolio NEW YORK, NY 100,523100.5k $2.2m $2.2m 0.00% Added +16.7k +16,664
7 Hilltop Holdings Inc. 0.23% of their portfolio DALLAS, TX 86,80086.8k $1.9m $1.9m 0.23% Reduced -1.7k -1,690
8 Truadvice, LLC 0.29% of their portfolio SARASOTA, FL 34,35834.4k $738.6k $738.6k 0.29% Reduced -22.6k -22,568
9 CITADEL ADVISORS LLC 0.00% of their portfolio MIAMI, FL 27,32827.3k $585.5k $585.5k 0.00% Added +2.4k +2,436
10 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 15,51715.5k $332.0k $332.0k 0.00% Reduced -4.9k -4,882
11 SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.00% of their portfolio BALA CYNWYD, PA 9,3879.4k $201.1k $201.1k 0.00% Reduced -46.4k -46,374
12 BANK OF MONTREAL /CAN/ 0.00% of their portfolio TORONTO, A6 7,8297.8k $171.9k $171.9k 0.00% New
13 OSAIC HOLDINGS, INC. 0.00% of their portfolio SCOTTSDALE, AZ 6,2896.3k $134.7k $134.7k 0.00% Unchanged
14 BENJAMIN F. EDWARDS & COMPANY, INC. 0.00% of their portfolio ST. LOUIS, MO 3,4633.5k $74.0k $74.0k 0.00% Reduced -325 -325
15 Raleigh Capital Management Inc. 0.04% of their portfolio CARY, NC 3,3953.4k $72.7k $72.7k 0.04% Reduced -533 -533
16 NewEdge Advisors, LLC 0.00% of their portfolio NEW ORLEANS, LA 1,4891.5k $31.9k $31.9k 0.00% Unchanged
17 UBS Group AG 0.00% of their portfolio ZURICH, V8 4949 $1.1k $1.1k 0.00% Reduced -220 -220
18 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 11 $16 $16 0.00% Reduced -3.4k -3,364
19 CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.00% of their portfolio BIRMINGHAM, AL 00 $0 $0 0.00% Unchanged