0001398344-15-007634.txt : 20151113 0001398344-15-007634.hdr.sgml : 20151113 20151113125222 ACCESSION NUMBER: 0001398344-15-007634 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20150930 FILED AS OF DATE: 20151113 DATE AS OF CHANGE: 20151113 EFFECTIVENESS DATE: 20151113 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ALPS ADVISORS INC CENTRAL INDEX KEY: 0001376113 IRS NUMBER: 000000000 STATE OF INCORPORATION: CO FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12230 FILM NUMBER: 151228102 BUSINESS ADDRESS: STREET 1: 1290 BROADWAY, SUITE 1100 CITY: Denver STATE: CO ZIP: 80203 BUSINESS PHONE: 303.623.2577 MAIL ADDRESS: STREET 1: 1290 BROADWAY, SUITE 1100 CITY: Denver STATE: CO ZIP: 80203 FORMER COMPANY: FORMER CONFORMED NAME: ALPS ADVISERS INC DATE OF NAME CHANGE: 20060920 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001376113 XXXXXXXX 09-30-2015 09-30-2015 false ALPS ADVISORS INC

1290 Broadway, Suite 1100 Denver CO 80203

13F COMBINATION REPORT 028-12230 0001016287 028-05690 MATRIX ASSET ADVISORS INC/NY 0001145263 028-06683 TCW INVESTMENT MANAGEMENT CO 0000850401 028-02494 TCW GROUP INC 0000727770 028-05267 DELAWARE MANAGEMENT BUSINESS TRUST 0001082045 028-04129 WEATHERBIE CAPITAL, LLC 0001027796 028-03791 PZENA INVESTMENT MANAGEMENT LLC 0000902219 028-04557 WELLINGTON MANAGEMENT GROUP LLP 0001123570 028-05923 CORNERSTONE CAPITAL MANAGEMENT LLC 0001276144 028-10679 CLOUGH CAPITAL PARTNERS L P 0001084580 028-10917 Jefferies Group LLC 0001301743 028-11239 CoreCommodity Management, LLC 0001469751 028-13577 RiverFront Investment Group, LLC N Erin D. Nelson 303-623-2577 /s/ Erin D. Nelson Denver CO 11-13-2015 1 667 142304 1 0001504209 028-14056 Red Rocks Capital LLC INFORMATION TABLE 2 fp0016784_13fhr-table.xml 13F INFORMATION TABLE Aaon Inc Common Stock 000360206 4769 24609 SH DFND 24609 0 0 Abiomed Inc. Common Stock 003654100 4625 4986 SH DFND 4986 0 0 Acadia Pharmaceutic. 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