Vault-13

ALPS ETF TR RFCI

RIVERFRONT DYM · ETP · CUSIP 00162Q536

17 institutional holders +1 vs Q1 2025
826,084826.1k shares reported held*
$18.7mreported value*
2 new 5 added 4 reduced 2 sold out net bought ≈ $2.3m (+103.0k 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 ≈ $22.58.

Trends to Q2 2025

Institutional holders

Managers reporting a position, each quarter

0102030Q3 22: 22Q4 22: 22Q1 23: 20Q2 23: 19Q3 23: 19Q4 23: 16Q1 24: 15Q2 24: 15Q3 24: 15Q4 24: 16Q1 25: 16Q2 25: 1717Q3 22Q2 23Q1 24Q4 24Q2 25
Numbers
QuarterHolders
Q3 202222
Q4 202222
Q1 202320
Q2 202319
Q3 202319
Q4 202316
Q1 202415
Q2 202415
Q3 202415
Q4 202416
Q1 202516
Q2 202517

Buyers vs sellers

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

Bought or addedCut or sold out
20020Q3 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 24Q3 24: 4 bought or addedQ3 24: 10 cut or sold outQ4 24: 7 bought or addedQ4 24: 7 cut or sold outQ4 24Q1 25: 6 bought or addedQ1 25: 8 cut or sold outQ2 25: 7 bought or addedQ2 25: 6 cut or sold outQ2 25
Numbers
QuarterBought or addedCut or sold out
Q3 2023413
Q4 2023412
Q1 202466
Q2 202428
Q3 2024410
Q4 202477
Q1 202568
Q2 202576

Biggest buyers

ALPS ADVISORS INC New +103,823+103.8k
JANE STREET GROUP, LLC Added +14,963+15.0k
TRUIST FINANCIAL CORP Added +2,270+2.3k
Prospera Financial Services Inc Added +2,124+2.1k
ENVESTNET ASSET MANAGEMENT INC Added +1,780+1.8k
UBS Group AG New +270+270
LEIGH BALDWIN & CO., LLC Added +101+101

Biggest sellers

Bison Wealth, LLC Sold out -9,396-9.4k
RiverFront Investment Group, LLC Reduced -8,220-8.2k
SUSQUEHANNA INTERNATIONAL GROUP, LLP Reduced -2,398-2.4k
CITADEL ADVISORS LLC Reduced -2,089-2.1k
JPMORGAN CHASE & CO Sold out -250-250
WELLS FARGO & COMPANY/MN Reduced -1-1

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 2025

#ManagerLocationShares Value% of their portfolioChangeShares change
1 Prospera Financial Services Inc 0.08% of their portfolio Dallas, TX 191,313191.3k $4.3m $4.3m 0.08% Added +2.1k +2,124
2 RiverFront Investment Group, LLC 0.07% of their portfolio RICHMOND, VA 169,227169.2k $3.8m $3.8m 0.07% Reduced -8.2k -8,220
3 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 137,469137.5k $3.1m $3.1m 0.00% Added +1.8k +1,780
4 TRUIST FINANCIAL CORP 0.00% of their portfolio CHARLOTTE, NC 124,312124.3k $2.8m $2.8m 0.00% Added +2.3k +2,270
5 ALPS ADVISORS INC 0.01% of their portfolio Denver, CO 103,823103.8k $2.3m $2.3m 0.01% New
6 CITADEL ADVISORS LLC 0.00% of their portfolio MIAMI, FL 28,13728.1k $635.4k $635.4k 0.00% Reduced -2.1k -2,089
7 JANE STREET GROUP, LLC 0.00% of their portfolio NEW YORK, NY 26,36326.4k $595.4k $595.4k 0.00% Added +15.0k +14,963
8 Elevated Capital Advisors, LLC 0.13% of their portfolio SANDY, UT 20,39920.4k $458.9k $458.9k 0.13% Unchanged
9 SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.00% of their portfolio BALA CYNWYD, PA 13,74013.7k $310.3k $310.3k 0.00% Reduced -2.4k -2,398
10 LEIGH BALDWIN & CO., LLC 0.13% of their portfolio CAZENOVIA, NY 9,0869.1k $205.2k $205.2k 0.13% Added +101 +101
11 NewEdge Advisors, LLC 0.00% of their portfolio NEW ORLEANS, LA 1,4111.4k $31.9k $31.9k 0.00% Unchanged
12 EVOLUTION WEALTH MANAGEMENT INC. 0.01% of their portfolio FORT MYERS, FL 275275 $6.2k $6.2k 0.01% First filing
13 UBS Group AG 0.00% of their portfolio ZURICH, V8 270270 $6.1k $6.1k 0.00% New
14 GAMMA Investing LLC 0.00% of their portfolio FOSTER CITY, CA 258258 $5.8k $5.8k 0.00% Unchanged
15 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 11 $23 $23 0.00% Unchanged
16 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 00 $9 $9 0.00% Reduced -1 -1
17 CONCOURSE FINANCIAL GROUP SECURITIES, INC. — of their portfolio BIRMINGHAM, AL 00 $0 $0 — Unchanged