Vault-13

ALPS ETF TR RFCI

RIVERFRONT DYM · ETP · CUSIP 00162Q536

15 institutional holders +0 vs Q1 2024
1,129,7321.1m shares reported held*
$25.1mreported value*
0 new 2 added 8 reduced 0 sold out net sold ≈ $331.2k (-14.9k 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 ≈ $22.18.

Trends to Q2 2024

Institutional holders

Managers reporting a position, each quarter

0102030Q3 22: 22Q4 22: 22Q1 23: 20Q2 23: 19Q3 23: 19Q4 23: 16Q1 24: 15Q2 24: 1515Q3 22Q1 23Q3 23Q1 24Q2 24
Numbers
QuarterHolders
Q3 202222
Q4 202222
Q1 202320
Q2 202319
Q3 202319
Q4 202316
Q1 202415
Q2 202415

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 outQ2 23: 4 bought or addedQ2 23: 14 cut or sold outQ2 23Q3 23: 4 bought or addedQ3 23: 13 cut or sold outQ4 23: 4 bought or addedQ4 23: 12 cut or sold outQ4 23Q1 24: 6 bought or addedQ1 24: 6 cut or sold outQ2 24: 2 bought or addedQ2 24: 8 cut or sold outQ2 24
Numbers
QuarterBought or addedCut or sold out
Q4 2022615
Q1 2023612
Q2 2023414
Q3 2023413
Q4 2023412
Q1 202466
Q2 202428

Biggest buyers

JANE STREET GROUP, LLC Added +39,273+39.3k
UBS Group AG Added +1,073+1.1k

Biggest sellers

RiverFront Investment Group, LLC Reduced -27,008-27.0k
ROYAL BANK OF CANADA Reduced -11,983-12.0k
Prospera Financial Services Inc Reduced -3,521-3.5k
BANK OF MONTREAL /CAN/ Reduced -3,423-3.4k
Elevated Capital Advisors, LLC Reduced -3,295-3.3k
TRUIST FINANCIAL CORP Reduced -3,135-3.1k
BENJAMIN F. EDWARDS & COMPANY, INC. Reduced -2,206-2.2k
ENVESTNET ASSET MANAGEMENT INC Reduced -708-708

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 2024

#ManagerLocationShares Value% of their portfolioChangeShares change
1 RiverFront Investment Group, LLC 0.24% of their portfolio RICHMOND, VA 412,714412.7k $9.2m $9.2m 0.24% Reduced -27.0k -27,008
2 Prospera Financial Services Inc 0.12% of their portfolio Dallas, TX 196,148196.1k $4.3m $4.3m 0.12% Reduced -3.5k -3,521
3 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 161,795161.8k $3.6m $3.6m 0.00% Reduced -708 -708
4 TRUIST FINANCIAL CORP 0.00% of their portfolio CHARLOTTE, NC 139,667139.7k $3.1m $3.1m 0.00% Reduced -3.1k -3,135
5 Elevated Capital Advisors, LLC 0.58% of their portfolio SANDY, UT 92,22792.2k $2.0m $2.0m 0.58% Reduced -3.3k -3,295
6 JANE STREET GROUP, LLC 0.00% of their portfolio NEW YORK, NY 82,60382.6k $1.8m $1.8m 0.00% Added +39.3k +39,273
7 CITADEL ADVISORS LLC 0.00% of their portfolio MIAMI, FL 28,94228.9k $641.9k $641.9k 0.00% Unchanged
8 OSAIC HOLDINGS, INC. 0.00% of their portfolio SCOTTSDALE, AZ 5,2295.2k $116.0k $116.0k 0.00% Unchanged
9 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 3,5343.5k $78.0k $78.0k 0.00% Reduced -12.0k -11,983
10 UBS Group AG 0.00% of their portfolio ZURICH, V8 2,4942.5k $55.3k $55.3k 0.00% Added +1.1k +1,073
11 BANK OF MONTREAL /CAN/ 0.00% of their portfolio TORONTO, A6 2,1352.1k $47.7k $47.7k 0.00% Reduced -3.4k -3,423
12 NewEdge Advisors, LLC 0.00% of their portfolio NEW ORLEANS, LA 1,3691.4k $30.4k $30.4k 0.00% Unchanged
13 BENJAMIN F. EDWARDS & COMPANY, INC. 0.00% of their portfolio ST. LOUIS, MO 875875 $19.0k $19.0k 0.00% Reduced -2.2k -2,206
14 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 00 $6 $6 0.00% Unchanged
15 CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.00% of their portfolio BIRMINGHAM, AL 00 $0 $0 0.00% Unchanged