Purchases and Sales Made in Q1 2021 in Alps ETF Tr Clean Energy ETF (ACES)

This table provides information about the institutional ownership of Alps ETF Tr Clean Energy ETF (ACES) during Q1 2021. The information is specifically focused on institutions that hold shares of ALPS ETF TR CLEAN ENERGY ETF.

Report Date	Institution (Fund)	Operation	Option	Shares change	Value Range	Shares Held
May 12, 2021 Q1 2021	Clal Insurance Enterprises Holdings LTD Tel Aviv, L3	BUY	-	1.72M New	$122M - $172M	1.72M $46.4M
May 12, 2021 Q1 2021	Cibc Private Wealth Group, LLC	BUY	-	421K + 7.92%	$29.8M - $42.2M	5.74M $155M
May 14, 2021 Q1 2021	Lpl Financial LLC Fort Mill, SC	BUY	-	68.8K + 115.54%	$4.88M - $6.9M	128K $3.47M
Apr 28, 2021 Q1 2021	Cmc Financial Group Atlanta, GA	BUY	-	55.5K New	$3.93M - $5.57M	55.5K $1.5M
May 14, 2021 Q1 2021	Northwestern Mutual Wealth Management CO	BUY	-	43.7K + 371.74%	$3.09M - $4.38M	55.4K $1.5M
May 10, 2021 Q1 2021	Kestra Advisory Services, LLC	BUY	-	27.5K + 263.12%	$1.95M - $2.76M	38K $1.03M
May 13, 2021 Q1 2021	Bessemer Group Inc Woodbridge, NJ	BUY	-	26.4K New	$1.87M - $2.64M	26.4K $713K
May 14, 2021 Q1 2021	Raymond James & Associates St Petersburg, FL	BUY	-	18K + 426.95%	$1.28M - $1.81M	22.3K $602K
May 13, 2021 Q1 2021	Avantax Advisory Services, Inc.	BUY	-	17.7K New	$1.25M - $1.78M	17.7K $479K
May 17, 2021 Q1 2021	Hilltop Holdings Inc. Dallas, TX	BUY	-	10.7K New	$759K - $1.08M	10.7K $290K
May 17, 2021 Q1 2021	Thrivent Financial For Lutherans Minneapolis, MN	BUY	-	8.31K + 146.92%	$589K - $833K	14K $378K
Apr 26, 2021 Q1 2021	Wedbush Securities Inc	BUY	-	8.08K New	$572K - $810K	8.08K $218K
May 11, 2021 Q1 2021	Soltis Investment Advisors LLC St. George, UT	BUY	-	7.93K New	$562K - $795K	7.93K $214K
Apr 12, 2021 Q1 2021	Huntington National Bank Columbus, OH	BUY	-	7.07K New	$501K - $709K	7.07K $191K
Apr 14, 2021 Q1 2021	Westside Investment Management, Inc.	BUY	-	6.15K + 12290.0%	$435K - $616K	6.2K $168K
May 04, 2021 Q1 2021	Commonwealth Equity Services, LLC	BUY	-	6.01K + 63.27%	$426K - $603K	15.5K $420K
May 14, 2021 Q1 2021	Equitable Holdings, Inc. New York, NY	BUY	-	5.99K New	$424K - $600K	5.99K $162K
May 14, 2021 Q1 2021	Raymond James Financial Services Advisors, Inc. St. Petersburg, FL	BUY	-	5.91K + 75.61%	$419K - $593K	13.7K $371K
May 10, 2021 Q1 2021	L & S Advisors Inc Los Angeles, CA	BUY	-	5.89K New	$417K - $591K	5.89K $159K
May 04, 2021 Q1 2021	Morris Retirement Advisors, LLC Parsippany, NJ	BUY	-	5.5K + 20.38%	$390K - $552K	32.5K $878K
May 17, 2021 Q1 2021	Cary Street Partners Investment Advisory LLC Richmond, VA	BUY	-	5.46K New	$387K - $548K	5.46K $148K
May 13, 2021 Q1 2021	Brown Brothers Harriman & CO New York, NY	BUY	-	5.3K New	$376K - $532K	5.3K $143K
May 21, 2021 Q1 2021	Colony Group LLC Boston, MA	BUY	-	5.19K New	$368K - $520K	5.19K $140K
Apr 30, 2021 Q1 2021	Creative Planning Overland Park, KS	BUY	-	4.98K + 128.43%	$353K - $499K	8.85K $239K
Apr 27, 2021 Q1 2021	Pfg Advisors	BUY	-	4.68K + 47.89%	$331K - $469K	14.4K $390K
May 10, 2021 Q1 2021	Lincoln National Corp	BUY	-	4.55K New	$322K - $456K	4.55K $123K
May 11, 2021 Q1 2021	Jacobi Capital Management LLC	BUY	-	4.39K New	$311K - $441K	4.39K $119K
May 13, 2021 Q1 2021	3 D/L Capital Management, LLC	BUY	-	4.05K New	$287K - $406K	4.05K $110K
May 06, 2021 Q1 2021	Grandview Asset Management LLC	BUY	-	4K New	$284K - $401K	4K $108K
May 14, 2021 Q1 2021	Mml Investors Services, LLC Springfield, MA	BUY	-	3.8K + 45.06%	$269K - $381K	12.2K $331K
May 17, 2021 Q1 2021	Cetera Investment Advisers Schaumburg, IL	BUY	-	3.67K New	$260K - $368K	3.67K $99.1K
May 18, 2021 Q1 2021	American Institute For Advanced Investment Management, LLP	BUY	-	3.3K + 36.55%	$233K - $331K	12.3K $333K
May 07, 2021 Q1 2021	Cambridge Investment Research Advisors, Inc.	BUY	-	3.16K + 5.11%	$224K - $317K	65.1K $1.76M
May 14, 2021 Q1 2021	Shepherd Financial Partners LLC Winchester, MA	BUY	-	3.09K New	$219K - $310K	3.09K $83.7K
May 10, 2021 Q1 2021	Financial Advocates Investment Management Olympia, WA	BUY	-	2.73K New	$193K - $274K	2.73K $73.7K
May 13, 2021 Q1 2021	Advisor Group Holdings, Inc. Phoenix, AZ	BUY	-	2.71K + 16.95%	$192K - $272K	18.7K $506K
May 04, 2021 Q1 2021	Envestnet Asset Management Inc	BUY	-	2.66K New	$188K - $267K	2.66K $71.9K
May 10, 2021 Q1 2021	Summit X, LLC Chesterfield, MO	BUY	-	2.63K New	$186K - $264K	2.63K $71.1K
Apr 27, 2021 Q1 2021	Stratos Wealth Partners, Ltd.	BUY	-	2.46K + 13.43%	$174K - $246K	20.8K $561K
May 18, 2021 Q1 2021	Navis Wealth Advisors, LLC Rye Brook, NY	BUY	-	1.94K + 6.05%	$138K - $195K	34K $920K
May 14, 2021 Q1 2021	Optiver Holding B.V. Amsterdam, P7	BUY	-	1.69K New	$120K - $170K	1.69K $45.8K
Aug 17, 2021 Q1 2021	Harbour Investments, Inc. Madison, WI	BUY	-	1.38K New	$98K - $139K	1.38K $37.4K
Apr 22, 2021 Q1 2021	Private Advisor Group, LLC	BUY	-	1.19K + 35.14%	$84.3K - $119K	4.58K $124K
Mar 22, 2023 Q1 2021	American Portfolios Advisors Holbrook, NY	BUY	-	1.05K + 380.0%	$74K - $105K	1.32K $35.7K
May 17, 2021 Q1 2021	Captrust Financial Advisors Raleigh, NC	BUY	-	1.03K + 85.42%	$73.1K - $103K	2.24K $60.5K
Jun 22, 2021 Q1 2021	Phocas Financial Corp. Alameda, CA	BUY	-	975 + 38.69%	$69.1K - $97.8K	3.5K $94.5K
Apr 26, 2021 Q1 2021	Arkadios Wealth Advisors	BUY	-	935 New	$66.3K - $93.8K	935 $25.3K
May 13, 2021 Q1 2021	Bailard, Inc.	BUY	-	886 + 19.4%	$62.8K - $88.9K	5.45K $147K
May 13, 2021 Q1 2021	Wells Fargo & Company San Francisco, CA	BUY	-	748 + 37400.0%	$53K - $75K	750 $20.3K
May 21, 2021 Q1 2021	Spire Wealth Management	BUY	-	592 New	$41.9K - $59.4K	592 $16K

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Account

Purchases and Sales Made in Q1 2021 in Alps ETF Tr Clean Energy ETF (ACES)

1.72M

421K

68.8K

55.5K

43.7K

27.5K

26.4K

18K

17.7K

10.7K

8.31K

8.08K

7.93K

7.07K

6.15K

6.01K

5.99K

5.91K

5.89K

5.5K

5.46K

5.3K

5.19K

4.98K

4.68K

4.55K

4.39K

4.05K

4K

3.8K

3.67K

3.3K

3.16K

3.09K

2.73K

2.71K

2.66K

2.63K

2.46K

1.94K

1.69K

1.38K

1.19K

1.05K

1.03K

975

935

886

748

592

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