ALPS ADVISORS, INC.
CRD #134340 SEC #801-67135 DENVER, CO 303-623-2577
SEC Registered
Total AUM
$30.8B
Discretionary
$30.8B
Employees
74
Clients
--
Accounts
17
Firm Details
- Organization Type
- Corporation
- State of Formation
- Colorado
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Sep 30, 2025
- Branch Offices
- 1
- LEI
- 549300OQLM7WDDGQB771
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| ADAMS, DIANA, M | I | VICE PRESIDENT; CONTROLLER | NA | Control |
| ADAMS, DIANA, M | I | VP, CONTROLLER & TREASURER | NA | Control |
| ADAMS, DIANA, M | I | SENIOR VP, CONTROLLER & TREASURER | NA | Control |
| ADAMS, DIANA, M | I | VP, CONTROLLER & TREASURER | NA | Control |
| ADAMS, DIANA, M | I | VICE PRESIDENT; CONTROLLER | NA | Control |
| ADAMS, DIANA, M | I | SENIOR VP, CONTROLLER & TREASURER | NA | Control |
| ADAMS, DIANA, M | I | SENIOR VP, CONTROLLER & TREASURER | NA | Control |
| ADAMS, DIANA, M | I | SENIOR VP, CONTROLLER & TREASURER | NA | Control |
| ADAMS, DIANA, M | I | SENIOR VP, CONTROLLER & TREASURER | NA | Control |
| BURKE, EDMUND, JOSEPH | I | PRESIDENT, DIRECTOR | NA | Control |
| BURKE, EDMUND, JOSEPH | I | DIRECTOR | NA | Control |
| BURKE, EDMUND, JOSEPH | I | DIRECTOR | NA | Control |
| BURKE, EDMUND, JOSEPH | I | PRESIDENT, DIRECTOR | NA | Control |
| BURKE, EDMUND, JOSEPH | I | PRESIDENT, DIRECTOR | NA | Control |
| BURKE, EDMUND, JOSEPH | I | DIRECTOR | NA | Control |
| BURKE, EDMUND, JOSEPH | I | DIRECTOR | NA | Control |
| BURKE, EDMUND, JOSEPH | I | DIRECTOR | NA | Control |
| BURKE, EDMUND, JOSEPH | I | DIRECTOR | NA | Control |
| BURKE, EDMUND, JOSEPH | I | DIRECTOR | NA | Control |
| BURKE, EDMUND, JOSEPH | I | DIRECTOR | NA | Control |
| BURKE, EDMUND, JOSEPH | I | DIRECTOR | NA | Control |
| BURKE, EDMUND, JOSEPH | I | DIRECTOR | NA | Control |
| BURKE, EDMUND, JOSEPH | I | DIRECTOR | NA | Control |
| BURKE, EDMUND, JOSEPH | I | DIRECTOR | NA | Control |
| BURKE, EDMUND, JOSEPH | I | DIRECTOR | NA | Control |
| BURKE, EDMUND, JOSEPH | I | DIRECTOR | NA | Control |
| BURKE, EDMUND, JOSEPH | I | DIRECTOR | NA | Control |
| BURKE, EDMUND, JOSEPH | I | DIRECTOR | NA | Control |
| BURKE, EDMUND, JOSEPH | I | DIRECTOR | NA | Control |
| BURKE, EDMUND, JOSEPH | I | DIRECTOR | NA | Control |
| BURKE, EDMUND, JOSEPH | I | DIRECTOR | NA | Control |
| BURKE, EDMUND, JOSEPH | I | DIRECTOR | NA | Control |
| BURKE, EDMUND, JOSEPH | I | DIRECTOR | NA | Control |
| BURKE, EDMUND, JOSEPH | I | DIRECTOR | NA | Control |
| BURKE, EDMUND, JOSEPH | I | DIRECTOR | NA | Control |
| CARTER, THOMAS, ANTHONY | I | TREASURER, MANAGING DIRECTOR-SALES AND FINANCE | NA | Control |
| CARTER, THOMAS, ANTHONY | I | PRESIDENT; DIRECTOR | NA | Control |
| CARTER, THOMAS, ANTHONY | I | PRESIDENT; DIRECTOR | NA | Control |
| CARTER, THOMAS, ANTHONY | I | TREASURER, MANAGING DIRECTOR-SALES AND FINANCE | NA | Control |
| CARTER, THOMAS, ANTHONY | I | TREASURER, MANAGING DIRECTOR-SALES AND FINANCE | NA | Control |
| CARTER, THOMAS, ANTHONY | I | PRESIDENT; DIRECTOR | NA | Control |
| CARTER, THOMAS, ANTHONY | I | PRESIDENT; DIRECTOR | NA | Control |
| CARTER, THOMAS, ANTHONY | I | PRESIDENT; DIRECTOR | NA | Control |
| CARTER, THOMAS, ANTHONY | I | PRESIDENT, DIRECTOR | NA | Control |
| CARTER, THOMAS, ANTHONY | I | PRESIDENT, DIRECTOR | NA | Control |
| CARTER, THOMAS, ANTHONY | I | PRESIDENT; DIRECTOR | NA | Control |
| CARTER, THOMAS, ANTHONY | I | PRESIDENT, DIRECTOR | NA | Control |
| CARTER, THOMAS, ANTHONY | I | PRESIDENT; DIRECTOR | NA | Control |
| CARTER, THOMAS, ANTHONY | I | PRESIDENT, DIRECTOR | NA | Control |
| CARTER, THOMAS, ANTHONY | I | PRESIDENT, DIRECTOR | NA | Control |
| CARTER, THOMAS, ANTHONY | I | PRESIDENT; DIRECTOR | NA | Control |
| CARTER, THOMAS, ANTHONY | I | PRESIDENT; DIRECTOR | NA | Control |
| CARTER, THOMAS, ANTHONY | I | PRESIDENT; DIRECTOR | NA | Control |
| CARTER, THOMAS, ANTHONY | I | PRESIDENT; DIRECTOR | NA | Control |
| CARTER, THOMAS, ANTHONY | I | PRESIDENT, DIRECTOR | NA | Control |
| CARTER, THOMAS, ANTHONY | I | PRESIDENT, DIRECTOR | NA | Control |
| DONALDSON, JOHN, CLIVE | I | VP, CHIEF FINANCIAL OFFICER | NA | Control |
| DONALDSON, JOHN, CLIVE | I | EXECUTIVE VP, CHIEF FINANCIAL OFFICER | NA | Control |
| DONALDSON, JOHN, CLIVE | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DURAN, TROY, ANTHONY | I | SENIOR VP, CHIEF FINANCIAL OFFICER | NA | Control |
| DURAN, TROY, ANTHONY | I | SENIOR VP, CHIEF FINANCIAL OFFICER | NA | Control |
| DURAN, TROY, ANTHONY | I | SENIOR VP, CHIEF FINANCIAL OFFICER | NA | Control |
| DURAN, TROY, ANTHONY | I | SENIOR VP, CHIEF FINANCIAL OFFICER | NA | Control |
| DURAN, TROY, ANTHONY | I | SENIOR VP, CHIEF FINANCIAL OFFICER | NA | Control |
| HAGMEYER, ALEXANDER, JOHN LESKOWITZ | I | CO-CHIEF INVESTMENT OFFICER | NA | Control |
| HAGMEYER, ALEXANDER, JOHN LESKOWITZ | I | CO-CHIEF INVESTMENT OFFICER | NA | Control |
| HAGMEYER, ALEXANDER, JOHN LESKOWITZ | I | CO-CHIEF INVESTMENT OFFICER | NA | Control |
| HAGMEYER, ALEXANDER, JOHN LESKOWITZ | I | CO-CHIEF INVESTMENT OFFICER | NA | Control |
| HAGMEYER, ALEXANDER, JOHN LESKOWITZ | I | CO-CHIEF INVESTMENT OFFICER | NA | Control |
| HALEY, MARK, TIMOTHY | I | VICE PRESIDENT | NA | Control |
| HALEY, MARK, TIMOTHY | I | VICE PRESIDENT | NA | Control |
| HALEY, MARK, TIMOTHY | I | VICE PRESIDENT | NA | Control |
| HALEY, MARK, TIMOTHY | I | VICE PRESIDENT | NA | Control |
| HALEY, MARK, TIMOTHY | I | VICE PRESIDENT | NA | Control |
| HEWITT, ERIC, PENDLETON | I | CO-CHIEF INVESTMENT OFFICER | NA | Control |
| HEWITT, ERIC, PENDLETON | I | CO-CHIEF INVESTMENT OFFICER | NA | Control |
| HEWITT, ERIC, PENDLETON | I | CO-CHIEF INVESTMENT OFFICER | NA | Control |
| HEWITT, ERIC, PENDLETON | I | CO-CHIEF INVESTMENT OFFICER | NA | Control |
| HEWITT, ERIC, PENDLETON | I | CO-CHIEF INVESTMENT OFFICER | NA | Control |
| HOFFMAN, SPENCER, PHILIP | I | DIRECTOR | NA | Control |
| HOFFMAN, SPENCER, PHILIP | I | DIRECTOR | NA | Control |
| HUNT, AISHA, JAMILA | I | SENIOR VP, GENERAL COUNSEL | NA | Control |
| HUNT, AISHA, JAMILA | I | SENIOR VP, GENERAL COUNSEL | NA | Control |
| HUNT, AISHA, JAMILA | I | SENIOR VP, GENERAL COUNSEL | NA | Control |
| HUNT, AISHA, JAMILA | I | SENIOR VP, GENERAL COUNSEL | NA | Control |
| HUNT, AISHA, JAMILA | I | SENIOR VP, GENERAL COUNSEL | NA | Control |
| HUNT, AISHA, JAMILA | I | SENIOR VP, GENERAL COUNSEL | NA | Control |
| HUNT, AISHA, JAMILA | I | SENIOR VP, GENERAL COUNSEL, ASSISTANT SECRETARY | NA | Control |
| MAY, JEREMY, OPPEGARD | I | SECRETARY, MANAGING DIRECTOR-OPERATIONS AND CLIENT SERVICES | NA | Control |
| MAY, JEREMY, OPPEGARD | I | DIRECTOR | NA | Control |
| MAY, JEREMY, OPPEGARD | I | EXECUTIVE VP, DIRECTOR | NA | Control |
| MAY, JEREMY, OPPEGARD | I | SECRETARY, MANAGING DIRECTOR-OPERATIONS AND CLIENT SERVICES | NA | Control |
| MAY, JEREMY, OPPEGARD | I | SECRETARY, MANAGING DIRECTOR-OPERATIONS AND CLIENT SERVICES | NA | Control |
| MAY, JEREMY, OPPEGARD | I | EXECUTIVE VP, DIRECTOR | NA | Control |
| MAY, JEREMY, OPPEGARD | I | EXECUTIVE VP, DIRECTOR | NA | Control |
| MAY, JEREMY, OPPEGARD | I | EXECUTIVE VP, DIRECTOR | NA | Control |
| MAY, JEREMY, OPPEGARD | I | EXECUTIVE VP, DIRECTOR | NA | Control |
| MAY, JEREMY, OPPEGARD | I | EXECUTIVE VP, DIRECTOR | NA | Control |
| MAY, JEREMY, OPPEGARD | I | EXECUTIVE VP, DIRECTOR | NA | Control |
| MAY, JEREMY, OPPEGARD | I | EXECUTIVE VP, DIRECTOR | NA | Control |
| MAY, JEREMY, OPPEGARD | I | EXECUTIVE VP, DIRECTOR | NA | Control |
| MAY, JEREMY, OPPEGARD | I | EXECUTIVE VP, DIRECTOR | NA | Control |
| MAY, JEREMY, OPPEGARD | I | EXECUTIVE VP, DIRECTOR | NA | Control |
| MAY, JEREMY, OPPEGARD | I | EXECUTIVE VP, DIRECTOR | NA | Control |
| MAY, JEREMY, OPPEGARD | I | EXECUTIVE VP, DIRECTOR | NA | Control |
| MAY, JEREMY, OPPEGARD | I | EXECUTIVE VP, DIRECTOR | NA | Control |
| MAY, JEREMY, OPPEGARD | I | EXECUTIVE VP, DIRECTOR | NA | Control |
| MAY, JEREMY, OPPEGARD | I | EXECUTIVE VP, DIRECTOR | NA | Control |
| MAY, JEREMY, OPPEGARD | I | EXECUTIVE VP, DIRECTOR | NA | Control |
| MAY, JEREMY, OPPEGARD | I | EXECUTIVE VP, DIRECTOR | NA | Control |
| MAY, JEREMY, OPPEGARD | I | EXECUTIVE VP, DIRECTOR | NA | Control |
| MAY, JEREMY, OPPEGARD | I | EXECUTIVE VP, DIRECTOR | NA | Control |
| MAY, JEREMY, OPPEGARD | I | EXECUTIVE VP, DIRECTOR | NA | Control |
| MAY, JEREMY, OPPEGARD | I | EXECUTIVE VP, DIRECTOR | NA | Control |
| MILLER, CAMERON, LEE | I | DIRECTOR | NA | Control |
| MILLER, CAMERON, LEE | I | DIRECTOR | NA | Control |
| MILLER, CAMERON, LEE | I | DIRECTOR | NA | Control |
| NELSON, ERIN | I | SENIOR VP, CHIEF COMPLIANCE OFFICER | NA | Control |
| NELSON, ERIN | I | SENIOR VP, CHIEF COMPLIANCE OFFICER | NA | Control |
| NELSON, ERIN | I | VP | NA | Control |
| NELSON, ERIN | I | SENIOR VP, CHIEF COMPLIANCE OFFICER | NA | Control |
| NELSON, ERIN | I | VP, ASSOCIATE GENERAL COUNSEL | NA | Control |
| NELSON, ERIN | I | CHIEF LEGAL OFFICER | NA | |
| NELSON, ERIN | I | CHIEF LEGAL OFFICER | NA | Control |
| NELSON, ERIN | I | SENIOR VP, CHIEF COMPLIANCE OFFICER | NA | Control |
| NELSON, ERIN | I | SENIOR VP, CHIEF COMPLIANCE OFFICER | NA | Control |
| NELSON, ERIN | I | SENIOR VP, CHIEF COMPLIANCE OFFICER | NA | Control |
| NELSON, ERIN | I | SENIOR VP, CHIEF COMPLIANCE OFFICER | NA | Control |
| NELSON, ERIN | I | SENIOR VP, CHIEF COMPLIANCE OFFICER | NA | Control |
| NELSON, ERIN | I | SENIOR VP, CHIEF COMPLIANCE OFFICER | NA | Control |
| NELSON, ERIN | I | SENIOR VP, CHIEF COMPLIANCE OFFICER | NA | Control |
| NELSON, ERIN | I | SENIOR VP, CHIEF COMPLIANCE OFFICER | NA | Control |
| NOYES, RICHARD, CRAIG | I | SENIOR VP, GENERAL COUNSEL | NA | Control |
| NOYES, RICHARD, CRAIG | I | SENIOR VP, GENERAL COUNSEL | NA | Control |
| NOYES, RICHARD, CRAIG | I | SENIOR VP, GENERAL COUNSEL | NA | Control |
| NOYES, RICHARD, CRAIG | I | SENIOR VP, GENERAL COUNSEL | NA | Control |
| NOYES, RICHARD, CRAIG | I | SENIOR VP, GENERAL COUNSEL | NA | Control |
| NOYES, RICHARD, CRAIG | I | SENIOR VP, GENERAL COUNSEL | NA | Control |
| NOYES, RICHARD, CRAIG | I | SENIOR VP, GENERAL COUNSEL | NA | Control |
| NOYES, RICHARD, CRAIG | I | SENIOR VP, GENERAL COUNSEL | NA | Control |
| NOYES, RICHARD, CRAIG | I | SENIOR VP, GENERAL COUNSEL | NA | Control |
| NOYES, RICHARD, CRAIG | I | SENIOR VP, GENERAL COUNSEL | NA | Control |
| NOYES, RICHARD, CRAIG | I | SENIOR VP, GENERAL COUNSEL | NA | Control |
| NOYES, RICHARD, CRAIG | I | SENIOR VP, GENERAL COUNSEL | NA | Control |
| NOYES, RICHARD, CRAIG | I | SENIOR VP, GENERAL COUNSEL | NA | Control |
| NOYES, RICHARD, CRAIG | I | SENIOR VP, GENERAL COUNSEL | NA | Control |
| NOYES, RICHARD, CRAIG | I | SENIOR VP, GENERAL COUNSEL | NA | Control |
| NOYES, RICHARD, CRAIG | I | SENIOR VP, GENERAL COUNSEL | NA | Control |
| NOYES, RICHARD, CRAIG | I | SENIOR VP, GENERAL COUNSEL | NA | Control |
| NOYES, RICHARD, CRAIG | I | SENIOR VP, GENERAL COUNSEL | NA | Control |
| NOYES, RICHARD, CRAIG | I | SENIOR VP, GENERAL COUNSEL | NA | Control |
| NOYES, RICHARD, CRAIG | I | SENIOR VP, GENERAL COUNSEL | NA | Control |
| PARMENTIER, WILLIAM, ROBERT | I | CHIEF INVESTMENT OFFICER | NA | Control |
| PARMENTIER, WILLIAM, ROBERT | I | SENIOR VP, CHIEF INVESTMENT OFFICER | NA | Control |
| PARMENTIER, WILLIAM, ROBERT | I | SENIOR VP, CHIEF INVESTMENT OFFICER | NA | Control |
| PARMENTIER, WILLIAM, ROBERT | I | CHIEF INVESTMENT OFFICER | NA | Control |
| PARMENTIER, WILLIAM, ROBERT | I | CHIEF INVESTMENT OFFICER | NA | Control |
| PARMENTIER, WILLIAM, ROBERT | I | SENIOR VP, CHIEF INVESTMENT OFFICER | NA | Control |
| PARMENTIER, WILLIAM, ROBERT | I | SENIOR VP, CHIEF INVESTMENT OFFICER | NA | Control |
| PARMENTIER, WILLIAM, ROBERT | I | SENIOR VP, CHIEF INVESTMENT OFFICER | NA | Control |
| PARMENTIER, WILLIAM, ROBERT | I | SENIOR VP, CHIEF INVESTMENT OFFICER | NA | Control |
| PARMENTIER, WILLIAM, ROBERT | I | SENIOR VP, CHIEF INVESTMENT OFFICER | NA | Control |
| PARMENTIER, WILLIAM, ROBERT | I | SENIOR VP, CHIEF INVESTMENT OFFICER | NA | Control |
| PARMENTIER, WILLIAM, ROBERT | I | SENIOR VP, CHIEF INVESTMENT OFFICER | NA | Control |
| PARMENTIER, WILLIAM, ROBERT | I | SENIOR VP, CHIEF INVESTMENT OFFICER | NA | Control |
| PARMENTIER, WILLIAM, ROBERT | I | SENIOR VP, CHIEF INVESTMENT OFFICER | NA | Control |
| PARMENTIER, WILLIAM, ROBERT | I | SENIOR VP, CHIEF INVESTMENT OFFICER | NA | Control |
| PARMENTIER, WILLIAM, ROBERT | I | SENIOR VP, CHIEF INVESTMENT OFFICER | NA | Control |
| PARMENTIER, WILLIAM, ROBERT | I | SENIOR VP, CHIEF INVESTMENT OFFICER | NA | Control |
| PARMENTIER, WILLIAM, ROBERT | I | SENIOR VP, CHIEF INVESTMENT OFFICER | NA | Control |
| PARMENTIER, WILLIAM, ROBERT | I | SENIOR VP, CHIEF INVESTMENT OFFICER | NA | Control |
| PARMENTIER, WILLIAM, ROBERT | I | SENIOR VP, CHIEF INVESTMENT OFFICER | NA | Control |
| PARMENTIER, WILLIAM, ROBERT | I | SENIOR VP, CHIEF INVESTMENT OFFICER | NA | Control |
| PARMENTIER, WILLIAM, ROBERT | I | SENIOR VP, CHIEF INVESTMENT OFFICER | NA | Control |
| PARMENTIER, WILLIAM, ROBERT | I | SENIOR VP, CHIEF INVESTMENT OFFICER | NA | Control |
| PARMENTIER, WILLIAM, ROBERT | I | SENIOR VP, CHIEF INVESTMENT OFFICER | NA | Control |
| PARMENTIER, WILLIAM, ROBERT | I | SENIOR VP, CHIEF INVESTMENT OFFICER | NA | Control |
| PARMENTIER, WILLIAM, ROBERT | I | SENIOR VP, CHIEF INVESTMENT OFFICER | NA | Control |
| PARMENTIER, WILLIAM, ROBERT | I | SENIOR VP, CHIEF INVESTMENT OFFICER | NA | Control |
| PARMENTIER, WILLIAM, ROBERT | I | SENIOR VP, CHIEF INVESTMENT OFFICER | NA | Control |
| PARMENTIER, WILLIAM, ROBERT | I | SENIOR VP, CHIEF INVESTMENT OFFICER | NA | Control |
| PARMENTIER, WILLIAM, ROBERT | I | SENIOR VP, CHIEF INVESTMENT OFFICER | NA | Control |
| PARMENTIER, WILLIAM, ROBERT | I | SENIOR VP, CHIEF INVESTMENT OFFICER | NA | Control |
| PARMENTIER, WILLIAM, ROBERT | I | SENIOR VP, CHIEF INVESTMENT OFFICER | NA | Control |
| PARMENTIER, WILLIAM, ROBERT | I | SENIOR VP, CHIEF INVESTMENT OFFICER | NA | Control |
| PARMENTIER, WILLIAM, ROBERT | I | SENIOR VP, CHIEF INVESTMENT OFFICER | NA | Control |
| PARMENTIER, WILLIAM, ROBERT | I | SENIOR VP, CHIEF INVESTMENT OFFICER | NA | Control |
| PARMENTIER, WILLIAM, ROBERT | I | SENIOR VP, CHIEF INVESTMENT OFFICER | NA | Control |
| PARMENTIER, WILLIAM, ROBERT | I | SENIOR VP, CHIEF INVESTMENT OFFICER | NA | Control |
| SLEIGHTHOLME, MICHAEL, J | I | PRESIDENT, DIRECTOR | NA | Control |
| SLEIGHTHOLME, MICHAEL, J | I | PRESIDENT, DIRECTOR | NA | Control |
| SPAHR, LATON, ANDREW | I | PRESIDENT, DIRECTOR | NA | Control |
| SPAHR, LATON, ANDREW | I | PRESIDENT, DIRECTOR | NA | Control |
| SPAHR, LATON, ANDREW | I | PRESIDENT, DIRECTOR | NA | Control |
| SPAHR, LATON, ANDREW | I | PRESIDENT, DIRECTOR | NA | Control |
| SPAHR, LATON, ANDREW | I | PRESIDENT, DIRECTOR | NA | Control |
| SPAHR, LATON, ANDREW | I | PRESIDENT, DIRECTOR | NA | Control |
| SPAHR, LATON, ANDREW | I | PRESIDENT, DIRECTOR | NA | Control |
| SPAHR, LATON, ANDREW | I | PRESIDENT, DIRECTOR | NA | Control |
| SPAHR, LATON, ANDREW | I | PRESIDENT, DIRECTOR | NA | Control |
| SPAHR, LATON, ANDREW | I | PRESIDENT, DIRECTOR | NA | Control |
| SPAHR, LATON, ANDREW | I | PRESIDENT, DIRECTOR | NA | Control |
| SPAHR, LATON, ANDREW | I | PRESIDENT, DIRECTOR | NA | Control |
| SPAHR, LATON, ANDREW | I | PRESIDENT, DIRECTOR | NA | Control |
| SPAHR, LATON, ANDREW | I | PRESIDENT, DIRECTOR | NA | Control |
| SUTULA, MATTHEW, JOSEPH | I | INTERIM CHIEF COMPLIANCE OFFICER | NA | |
| SUTULA, MATTHEW, JOSEPH | I | INTERIM CHIEF COMPLIANCE OFFICER | NA | |
| SUTULA, MATTHEW, JOSEPH | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SUTULA, MATTHEW, JOSEPH | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SUTULA, MATTHEW, JOSEPH | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SUTULA, MATTHEW, JOSEPH | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SUTULA, MATTHEW, JOSEPH | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SUTULA, MATTHEW, JOSEPH | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SUTULA, MATTHEW, JOSEPH | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SUTULA, MATTHEW, JOSEPH | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SUTULA, MATTHEW, JOSEPH | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SUTULA, MATTHEW, JOSEPH | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SUTULA, MATTHEW, JOSEPH | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SUTULA, MATTHEW, JOSEPH | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SUTULA, MATTHEW, JOSEPH | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SWENSON, BRADLEY, JOHN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SWENSON, BRADLEY, JOHN | I | VP, CHIEF COMPLIANCE OFFICER | NA | Control |
| SWENSON, BRADLEY, JOHN | I | SENIOR VP, CHIEF COMPLIANCE OFFICER | NA | Control |
| SWENSON, BRADLEY, JOHN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SWENSON, BRADLEY, JOHN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SWENSON, BRADLEY, JOHN | I | SENIOR VP, CHIEF COMPLIANCE OFFICER | NA | Control |
| SWENSON, BRADLEY, JOHN | I | SENIOR VP, CHIEF COMPLIANCE OFFICER | NA | Control |
| SWENSON, BRADLEY, JOHN | I | SENIOR VP, CHIEF COMPLIANCE OFFICER | NA | Control |
| SWENSON, BRADLEY, JOHN | I | SENIOR VP | NA | Control |
| SWENSON, BRADLEY, JOHN | I | SENIOR VP | NA | Control |
| SWENSON, BRADLEY, JOHN | I | SENIOR VP, CHIEF COMPLIANCE OFFICER | NA | Control |
| SWENSON, BRADLEY, JOHN | I | SENIOR VP, CHIEF COMPLIANCE OFFICER | NA | Control |
| SWENSON, BRADLEY, JOHN | I | SENIOR VP, CHIEF COMPLIANCE OFFICER | NA | Control |
| SWENSON, BRADLEY, JOHN | I | SENIOR VP | NA | Control |
| SWENSON, BRADLEY, JOHN | I | SENIOR VP, CHIEF COMPLIANCE OFFICER | NA | Control |
| SWENSON, BRADLEY, JOHN | I | SENIOR VP, CHIEF COMPLIANCE OFFICER | NA | Control |
| SWENSON, BRADLEY, JOHN | I | SENIOR VP, CHIEF COMPLIANCE OFFICER | NA | Control |
| SWENSON, BRADLEY, JOHN | I | SENIOR VP, CHIEF COMPLIANCE OFFICER | NA | Control |
| SWENSON, BRADLEY, JOHN | I | SENIOR VP, CHIEF COMPLIANCE OFFICER | NA | Control |
| SWENSON, BRADLEY, JOHN | I | SENIOR VP | NA | Control |
| SWENSON, BRADLEY, JOHN | I | SENIOR VP | NA | Control |
| SWENSON, BRADLEY, JOHN | I | SENIOR VP | NA | Control |
| SWENSON, BRADLEY, JOHN | I | SENIOR VP | NA | Control |
| SWENSON, BRADLEY, JOHN | I | SENIOR VP | NA | Control |
| SWENSON, BRADLEY, JOHN | I | SENIOR VP | NA | Control |
| SWENSON, BRADLEY, JOHN | I | SENIOR VP | NA | Control |
| SWENSON, BRADLEY, JOHN | I | EXECUTIVE VP, DIRECTOR | NA | Control |
| SWENSON, BRADLEY, JOHN | I | EXECUTIVE VP, DIRECTOR | NA | Control |
| SWENSON, BRADLEY, JOHN | I | EXECUTIVE VP, DIRECTOR | NA | Control |
| SWENSON, BRADLEY, JOHN | I | EXECUTIVE VP, DIRECTOR | NA | Control |
| SWENSON, BRADLEY, JOHN | I | EXECUTIVE VP, DIRECTOR | NA | Control |
| SWENSON, BRADLEY, JOHN | I | EXECUTIVE VP, DIRECTOR | NA | Control |
| SZYDLOWSKI, ROBERT, JOSEPH | I | VP, CHIEF TECHNOLOGY OFFICER | NA | Control |
| SZYDLOWSKI, ROBERT, JOSEPH | I | SENIOR VP, CHIEF TECHNOLOGY OFFICER | NA | Control |
| SZYDLOWSKI, ROBERT, JOSEPH | I | SENIOR VP, CHIEF TECHNOLOGY OFFICER | NA | Control |
| SZYDLOWSKI, ROBERT, JOSEPH | I | SENIOR VP, CHIEF TECHNOLOGY OFFICER | NA | Control |
| SZYDLOWSKI, ROBERT, JOSEPH | I | SENIOR VP, CHIEF TECHNOLOGY OFFICER | NA | Control |
| SZYDLOWSKI, ROBERT, JOSEPH | I | SENIOR VP, CHIEF TECHNOLOGY OFFICER | NA | Control |
| SZYDLOWSKI, ROBERT, JOSEPH | I | SENIOR VP, CHIEF TECHNOLOGY OFFICER | NA | Control |
| SZYDLOWSKI, ROBERT, JOSEPH | I | SENIOR VP, CHIEF TECHNOLOGY OFFICER | NA | Control |
| SZYDLOWSKI, ROBERT, JOSEPH | I | SENIOR VP, CHIEF TECHNOLOGY OFFICER | NA | Control |
| SZYDLOWSKI, ROBERT, JOSEPH | I | SENIOR VP, CHIEF TECHNOLOGY OFFICER | NA | Control |
| SZYDLOWSKI, ROBERT, JOSEPH | I | SENIOR VP, CHIEF TECHNOLOGY OFFICER | NA | Control |
| SZYDLOWSKI, ROBERT, JOSEPH | I | SENIOR VP, CHIEF TECHNOLOGY OFFICER | NA | Control |
| SZYDLOWSKI, ROBERT, JOSEPH | I | SENIOR VP, CHIEF TECHNOLOGY OFFICER | NA | Control |
| TYLER, TANE, THERESE | I | CHIEF LEGAL OFFICER; ASSISTANT SECRETARY | NA | Control |
| TYLER, TANE, THERESE | I | VP, GENERAL COUNSEL; SECRETARY | NA | Control |
| TYLER, TANE, THERESE | I | SENIOR VP, GENERAL COUNSEL, SECRETARY | NA | Control |
| TYLER, TANE, THERESE | I | GENERAL COUNSEL; SECRETARY | NA | Control |
| TYLER, TANE, THERESE | I | CHIEF LEGAL OFFICER; ASSISTANT SECRETARY | NA | Control |
| TYLER, TANE, THERESE | I | SENIOR VP, GENERAL COUNSEL, SECRETARY | NA | Control |
| TYLER, TANE, THERESE | I | SENIOR VP, GENERAL COUNSEL, SECRETARY | NA | Control |
| TYLER, TANE, THERESE | I | SENIOR VP, GENERAL COUNSEL, SECRETARY | NA | Control |
| TYLER, TANE, THERESE | I | SENIOR VP, GENERAL COUNSEL, SECRETARY | NA | Control |
| TYLER, TANE, THERESE | I | SENIOR VP, GENERAL COUNSEL, SECRETARY | NA | Control |
| TYLER, TANE, THERESE | I | SENIOR VP, GENERAL COUNSEL, SECRETARY | NA | Control |
| ALPS HOLDINGS, INC. | DE | PARENT | E | Control |
| ALPS HOLDINGS, INC. | DE | PARENT | E | Control |
| ALPS HOLDINGS, INC. | DE | PARENT | E | Control |
| ALPS HOLDINGS, INC. | DE | PARENT | E | Control |
| ALPS HOLDINGS, INC. | DE | PARENT | E | Control |
| ALPS HOLDINGS, INC. | DE | PARENT | E | Control |
| ALPS HOLDINGS, INC. | DE | PARENT | E | Control |
| ALPS HOLDINGS, INC. | DE | PARENT | E | Control |
| ALPS HOLDINGS, INC. | DE | PARENT | E | Control |
| ALPS HOLDINGS, INC. | DE | PARENT | E | Control |
| ALPS HOLDINGS, INC. | DE | PARENT | E | Control |
| ALPS HOLDINGS, INC. | DE | PARENT | E | Control |
| ALPS HOLDINGS, INC. | DE | PARENT | E | Control |
| ALPS HOLDINGS, INC. | DE | PARENT | E | Control |
| ALPS HOLDINGS, INC. | DE | PARENT | E | Control |
| ALPS HOLDINGS, INC. | DE | PARENT | E | Control |
| ALPS HOLDINGS, INC. | DE | PARENT | E | Control |
| ALPS HOLDINGS, INC. | DE | PARENT | E | Control |
| ALPS HOLDINGS, INC. | DE | PARENT | E | Control |
| ALPS HOLDINGS, INC. | DE | PARENT | E | Control |
| ALPS HOLDINGS, INC. | DE | PARENT | E | Control |
| ALPS HOLDINGS, INC. | DE | PARENT | E | Control |
| ALPS HOLDINGS, INC. | DE | PARENT | E | Control |
| ALPS HOLDINGS, INC. | DE | PARENT | E | Control |
| ALPS HOLDINGS, INC. | DE | PARENT | E | Control |
| ALPS HOLDINGS, INC. | DE | PARENT | E | Control |
| ALPS HOLDINGS, INC. | DE | PARENT | E | Control |
| ALPS HOLDINGS, INC. | DE | PARENT | E | Control |
| ALPS HOLDINGS, INC. | DE | PARENT | E | Control |
| ALPS HOLDINGS, INC. | DE | PARENT | E | Control |
| ALPS HOLDINGS, INC. | DE | PARENT | E | Control |
| ALPS HOLDINGS, INC. | DE | PARENT | E | Control |
| ALPS HOLDINGS, INC. | DE | PARENT | E | Control |
| ALPS HOLDINGS, INC. | DE | PARENT | E | Control |
| ALPS HOLDINGS, INC. | DE | PARENT | E | Control |
| ALPS HOLDINGS, INC. | DE | PARENT | E | Control |
| ALPS HOLDINGS, INC. | DE | PARENT | E | Control |
| ALPS HOLDINGS, INC. | DE | PARENT | E | Control |
| ALPS HOLDINGS, INC. | DE | PARENT | E | Control |
| ALPS HOLDINGS, INC. | DE | PARENT | E | Control |
| ALPS HOLDINGS, INC. | DE | PARENT | E | Control |
| ALPS HOLDINGS, INC. | DE | PARENT | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| LOVELL MINNICK EQUITY ADVISORS II LLC | DE | LOVELL MINNICK EQUITY PARTNERS II LP | F | Control |
| LOVELL MINNICK EQUITY ADVISORS II LLC | DE | LOVELL MINNICK EQUITY PARTNERS II LP | F | Control |
| LOVELL MINNICK EQUITY ADVISORS II LLC | DE | LOVELL MINNICK EQUITY PARTNERS II LP | F | Control |
| LOVELL MINNICK EQUITY ADVISORS II LLC | DE | LOVELL MINNICK EQUITY PARTNERS II LP | F | Control |
| LOVELL MINNICK EQUITY ADVISORS II LLC | DE | LOVELL MINNICK EQUITY PARTNERS II LP | F | Control |
| LOVELL MINNICK HOLDINGS LLC | DE | LOVELL MINNICK PARTNERS LLC | F | Control |
| LOVELL MINNICK HOLDINGS LLC | DE | LOVELL MINNICK PARTNERS LLC | F | Control |
| LOVELL MINNICK HOLDINGS LLC | DE | LOVELL MINNICK PARTNERS LLC | F | Control |
| LOVELL MINNICK HOLDINGS LLC | DE | LOVELL MINNICK PARTNERS LLC | F | Control |
| LOVELL MINNICK HOLDINGS LLC | DE | LOVELL MINNICK PARTNERS LLC | F | Control |
| LOVELL MINNICK PARTNERS LLC | DE | LOVELL MINNICK EQUITY ADVISORS II LLC | F | Control |
| LOVELL MINNICK PARTNERS LLC | DE | LOVELL MINNICK EQUITY ADVISORS II LLC | F | Control |
| LOVELL MINNICK PARTNERS LLC | DE | LOVELL MINNICK EQUITY ADVISORS II LLC | F | Control |
| LOVELL MINNICK PARTNERS LLC | DE | LOVELL MINNICK EQUITY ADVISORS II LLC | F | Control |
| LOVELL MINNICK PARTNERS LLC | DE | LOVELL MINNICK EQUITY ADVISORS II LLC | F | Control |
| DST SYSTEMS, INC. | DE | ALPS HOLDINGS, INC. | E | Control |
| DST SYSTEMS, INC. | DE | ALPS HOLDINGS, INC. | E | Control |
| DST SYSTEMS, INC. | DE | ALPS HOLDINGS, INC. | E | Control |
| DST SYSTEMS, INC. | DE | ALPS HOLDINGS, INC. | E | Control |
| DST SYSTEMS, INC. | DE | ALPS HOLDINGS, INC. | E | Control |
| DST SYSTEMS, INC. | DE | ALPS HOLDINGS, INC. | E | Control |
| DST SYSTEMS, INC. | DE | ALPS HOLDINGS, INC. | E | Control |
| DST SYSTEMS, INC. | DE | ALPS HOLDINGS, INC. | E | Control |
| DST SYSTEMS, INC. | DE | ALPS HOLDINGS, INC. | E | Control |
| DST SYSTEMS, INC. | DE | ALPS HOLDINGS, INC. | E | Control |
| DST SYSTEMS, INC. | DE | ALPS HOLDINGS, INC. | E | Control |
| DST SYSTEMS, INC. | DE | ALPS HOLDINGS, INC. | E | Control |
| DST SYSTEMS, INC. | DE | ALPS HOLDINGS, INC. | E | Control |
| DST SYSTEMS, INC. | DE | ALPS HOLDINGS, INC. | E | Control |
| DST SYSTEMS, INC. | DE | ALPS HOLDINGS, INC. | E | Control |
| DST SYSTEMS, INC. | DE | ALPS HOLDINGS, INC. | E | Control |
| DST SYSTEMS, INC. | DE | ALPS HOLDINGS, INC. | E | Control |
| DST SYSTEMS, INC. | DE | ALPS HOLDINGS, INC. | E | Control |
| DST SYSTEMS, INC. | DE | ALPS HOLDINGS, INC. | E | Control |
| DST SYSTEMS, INC. | DE | ALPS HOLDINGS, INC. | E | Control |
| DST SYSTEMS, INC. | DE | ALPS HOLDINGS, INC. | E | Control |
| DST SYSTEMS, INC. | DE | ALPS HOLDINGS, INC. | E | Control |
| DST SYSTEMS, INC. | DE | ALPS HOLDINGS, INC. | E | Control |
| DST SYSTEMS, INC. | DE | ALPS HOLDINGS, INC. | E | Control |
| DST SYSTEMS, INC. | DE | ALPS HOLDINGS, INC. | E | Control |
| DST SYSTEMS, INC. | DE | ALPS HOLDINGS, INC. | E | Control |
| DST SYSTEMS, INC. | DE | ALPS HOLDINGS, INC. | E | Control |
| DST SYSTEMS, INC. | DE | ALPS HOLDINGS, INC. | E | Control |
| DST SYSTEMS, INC. | DE | ALPS HOLDINGS, INC. | E | Control |
| DST SYSTEMS, INC. | DE | ALPS HOLDINGS, INC. | E | Control |
| DST SYSTEMS, INC. | DE | ALPS HOLDINGS, INC. | E | Control |
| DST SYSTEMS, INC. | DE | ALPS HOLDINGS, INC. | E | Control |
| DST SYSTEMS, INC. | DE | ALPS HOLDINGS, INC. | E | Control |
| DST SYSTEMS, INC. | DE | ALPS HOLDINGS, INC. | E | Control |
| DST SYSTEMS, INC. | DE | ALPS HOLDINGS, INC. | E | Control |
| LOVELL MINNICK EQUITY PARTNERS II LP | DE | ALPS HOLDINGS, INC. | E | Control |
| LOVELL MINNICK EQUITY PARTNERS II LP | DE | ALPS HOLDINGS, INC. | E | Control |
| LOVELL MINNICK EQUITY PARTNERS II LP | DE | ALPS HOLDINGS, INC. | E | Control |
| LOVELL MINNICK EQUITY PARTNERS II LP | DE | ALPS HOLDINGS, INC. | E | Control |
| SS&C TECHNOLOGIES HOLDINGS, INC. | DE | SS&C TECHNOLOGIES, INC. | E | Control |
| SS&C TECHNOLOGIES HOLDINGS, INC. | DE | SS&C TECHNOLOGIES, INC. | E | Control |
| SS&C TECHNOLOGIES HOLDINGS, INC. | DE | SS&C TECHNOLOGIES, INC. | E | Control |
| SS&C TECHNOLOGIES HOLDINGS, INC. | DE | SS&C TECHNOLOGIES, INC. | E | Control |
| SS&C TECHNOLOGIES HOLDINGS, INC. | DE | SS&C TECHNOLOGIES, INC. | E | Control |
| SS&C TECHNOLOGIES HOLDINGS, INC. | DE | SS&C TECHNOLOGIES, INC. | E | Control |
| SS&C TECHNOLOGIES HOLDINGS, INC. | DE | SS&C TECHNOLOGIES, INC. | E | Control |
| SS&C TECHNOLOGIES HOLDINGS, INC. | DE | SS&C TECHNOLOGIES, INC. | E | Control |
| SS&C TECHNOLOGIES HOLDINGS, INC. | DE | SS&C TECHNOLOGIES, INC. | E | Control |
| SS&C TECHNOLOGIES HOLDINGS, INC. | DE | SS&C TECHNOLOGIES, INC. | E | Control |
| SS&C TECHNOLOGIES HOLDINGS, INC. | DE | SS&C TECHNOLOGIES, INC. | E | Control |
| SS&C TECHNOLOGIES HOLDINGS, INC. | DE | SS&C TECHNOLOGIES, INC. | E | Control |
| SS&C TECHNOLOGIES HOLDINGS, INC. | DE | SS&C TECHNOLOGIES, INC. | E | Control |
| SS&C TECHNOLOGIES HOLDINGS, INC. | DE | SS&C TECHNOLOGIES, INC. | E | Control |
| SS&C TECHNOLOGIES HOLDINGS, INC. | DE | SS&C TECHNOLOGIES, INC. | E | Control |
| SS&C TECHNOLOGIES HOLDINGS, INC. | DE | SS&C TECHNOLOGIES, INC. | E | Control |
| SS&C TECHNOLOGIES HOLDINGS, INC. | DE | SS&C TECHNOLOGIES, INC. | E | Control |
| SS&C TECHNOLOGIES, INC. | DE | DST SYSTEMS, INC. | E | Control |
| SS&C TECHNOLOGIES, INC. | DE | DST SYSTEMS, INC. | E | Control |
| SS&C TECHNOLOGIES, INC. | DE | DST SYSTEMS, INC. | E | Control |
| SS&C TECHNOLOGIES, INC. | DE | DST SYSTEMS, INC. | E | Control |
| SS&C TECHNOLOGIES, INC. | DE | DST SYSTEMS, INC. | E | Control |
| SS&C TECHNOLOGIES, INC. | DE | DST SYSTEMS, INC. | E | Control |
| SS&C TECHNOLOGIES, INC. | DE | DST SYSTEMS, INC. | E | Control |
| SS&C TECHNOLOGIES, INC. | DE | DST SYSTEMS, INC. | E | Control |
| SS&C TECHNOLOGIES, INC. | DE | DST SYSTEMS, INC. | E | Control |
| SS&C TECHNOLOGIES, INC. | DE | DST SYSTEMS, INC. | E | Control |
| SS&C TECHNOLOGIES, INC. | DE | DST SYSTEMS, INC. | E | Control |
| SS&C TECHNOLOGIES, INC. | DE | DST SYSTEMS, INC. | E | Control |
| SS&C TECHNOLOGIES, INC. | DE | DST SYSTEMS, INC. | E | Control |
| SS&C TECHNOLOGIES, INC. | DE | DST SYSTEMS, INC. | E | Control |
| SS&C TECHNOLOGIES, INC. | DE | DST SYSTEMS, INC. | E | Control |
| SS&C TECHNOLOGIES, INC. | DE | DST SYSTEMS, INC. | E | Control |
| SS&C TECHNOLOGIES, INC. | DE | DST SYSTEMS, INC. | E | Control |
| LOVELL MINNICK EQUITY PARTNERS II LP | DE | ALPS HOLDINGS, INC. | D | Control |
| LOVELL, JEFFREY, DALE | I | LOVELL MINNICK HOLDINGS LLC | D | Control |
| LOVELL, JEFFREY, DALE | I | LOVELL MINNICK HOLDINGS LLC | D | Control |
| LOVELL, JEFFREY, DALE | I | LOVELL MINNICK HOLDINGS LLC | D | Control |
| LOVELL, JEFFREY, DALE | I | LOVELL MINNICK HOLDINGS LLC | D | Control |
| LOVELL, JEFFREY, DALE | I | LOVELL MINNICK HOLDINGS LLC | D | Control |
| MINNICK, JAMES, EDWARD | I | LOVELL MINNICK HOLDINGS LLC | C | Control |
| MINNICK, JAMES, EDWARD | I | LOVELL MINNICK HOLDINGS LLC | C | Control |
| MINNICK, JAMES, EDWARD | I | LOVELL MINNICK HOLDINGS LLC | C | Control |
| MINNICK, JAMES, EDWARD | I | LOVELL MINNICK HOLDINGS LLC | C | Control |
| MINNICK, JAMES, EDWARD | I | LOVELL MINNICK HOLDINGS LLC | C | Control |
Registrations
Federal
IA
Sep 30, 2025 REGISTERED
Notice Filings (52)
AK AL AR AZ CA CO CT DC DE FL GA HI IA ID IL IN KS KY LA MA MD ME MI MN MO MS MT NC ND NE NH NJ NM NV NY OH OK OR PA PR RI SC SD TN TX UT VA VI VT WA WI WV
Address
1290 BROADWAY, SUITE 1000DENVER, CO 80203
United States
Phone: 303-623-2577