Chief Compliance Officer

0001398344-17-009555.txt : 20170803 0001398344-17-009555.hdr.sgml : 20170803 20170803140829 ACCESSION NUMBER: 0001398344-17-009555 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170630 FILED AS OF DATE: 20170803 DATE AS OF CHANGE: 20170803 EFFECTIVENESS DATE: 20170803 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: 171004273 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 06-30-2017 06-30-2017 false ALPS ADVISORS INC

1290 Broadway, Suite 1100 Denver CO 80203

13F COMBINATION REPORT 028-12230 028-02634 Aristotle Capital Management, LLC 028-10679 Clough Capital Partners LP 028-03434 Congress Asset Management Co. 028-11239 CoreCommodity Management, LLC 028-05267 Macquarie Investment Management Business Trust 028-13120 Macquarie Group Limited 028-10106 Principal Financial Group, Inc. 028-10400 Principal Real Estate Investors LLC 028-03791 Pzena Investment Management 028-13577 RiverFront Investment Group 028-13256 RiverNorth Capital Management, LLC 028-11320 Stadion Money Management, LLC 028-11076 Sustainable Growth Advisers, LP 028-02494 TCW Group, Inc. 028-06683 TCW Investment Management Co. 028-04129 Weatherbie Capital, LLC 028-04557 Wellington Management Company, LLP N Erin D. Nelson Chief Compliance Officer 303-623-2577 /s/ Erin D. Nelson Denver CO 08-02-2017 2 768 14333532 1 028-14056 Red Rocks Capital LLC 2 028-13657 Morningstar Investment Services LLC INFORMATION TABLE 2 fp0027174_13fhr-table.xml 13F INFORMATION TABLE AAON Inc COMMON STOCK 000360206 499 13546 SH DFND 13546 0 0 AbbVie Inc COMMON STOCK 00287Y109 49654 684793 SH DFND 684793 0 0 Acacia Communications Inc COMMON STOCK 00401C108 388 9357 SH DFND 9357 0 0 ACADIA Pharmaceuticals Inc COMMON STOCK 004225108 3072 110163 SH DFND 110163 0 0 Acceleron Pharma Inc COMMON STOCK 00434H108 1059 34853 SH DFND 34853 0 0 Achaogen Inc COMMON STOCK 004449104 801 36868 SH DFND 36868 0 0 Achillion Pharmaceuticals Inc COMMON STOCK 00448Q201 566 123412 SH DFND 123412 0 0 Aclaris Therapeutics Inc COMMON STOCK 00461U105 654 24129 SH DFND 24129 0 0 Acorda Therapeutics Inc COMMON STOCK 00484M106 830 42115 SH DFND 42115 0 0 Activision Blizzard Inc COMMON STOCK 00507V109 718 12469 SH DFND 12469 0 0 Acuity Brands Inc COMMON STOCK 00508Y102 473 2327 SH DFND 2327 0 0 Adamas Pharmaceuticals Inc COMMON STOCK 00548A106 353 20182 SH DFND 20182 0 0 Adaptimmune Therapeutics Plc COMMON STOCK 00653A107 287 63892 SH DFND 63892 0 0 Adobe Systems Inc COMMON STOCK 00724F101 890 6294 SH DFND 6294 0 0 Aduro Biotech Inc COMMON STOCK 00739L101 719 63106 SH DFND 63106 0 0 Advanced Accelerator Applicati COMMON STOCK 00790T100 1550 39694 SH DFND 39694 0 0 Advanced Energy Industries Inc COMMON STOCK 007973100 466 7205 SH DFND 7205 0 0 Advanced Micro Devices Inc COMMON STOCK 007903107 421 33713 SH DFND 33713 0 0 Aerie Pharmaceuticals Inc COMMON STOCK 00771V108 1678 31934 SH DFND 31934 0 0 Aetna Inc COMMON STOCK 00817Y108 473 3113 SH DFND 3113 0 0 Agios Pharmaceuticals Inc COMMON STOCK 00847X104 2239 43511 SH DFND 43511 0 0 Agnico Eagle Mines Ltd COMMON STOCK 008474108 21990 487364 SH DFND 487364 0 0 Aimmune Therapeutics Inc COMMON STOCK 00900T107 933 45356 SH DFND 45356 0 0 Air Lease Corp COMMON STOCK 00912X302 460 12316 SH DFND 12316 0 0 AK Steel Holding Corp COMMON STOCK 001547108 116 17639 SH DFND 17639 0 0 Akebia Therapeutics Inc COMMON STOCK 00972D105 504 35049 SH DFND 35049 0 0 Akorn Inc COMMON STOCK 009728106 4494 133977 SH DFND 133977 0 0 Alamos Gold Inc COMMON STOCK 011532108 19688 2742097 SH DFND 2742097 0 0 Alaska Air Group Inc COMMON STOCK 011659109 653 7274 SH DFND 7274 0 0 Albemarle Corp COMMON STOCK 012653101 486 4606 SH DFND 4606 0 0 Alexandria Real Estate Equitie COMMON STOCK 015271109 901 7477 SH DFND 7477 0 0 Alexion Pharmaceuticals Inc COMMON STOCK 015351109 593 4872 SH DFND 4872 0 0 Align Technology Inc COMMON STOCK 016255101 809 5388 SH DFND 5388 0 0 ALLEGHANY CORP COMMON STOCK 017175100 12228 20558 SH DFND 1 20558 0 0 Allegiant Travel Co COMMON STOCK 01748X102 421 3103 SH DFND 3103 0 0 Alphabet Inc COMMON STOCK 02079K305 540 581 SH DFND 581 0 0 Alphabet Inc COMMON STOCK 02079K107 1159 1275 SH DFND 1275 0 0 Altria Group Inc COMMON STOCK 02209S103 46779 628164 SH DFND 628164 0 0 AMAG Pharmaceuticals Inc COMMON STOCK 00163U106 582 31633 SH DFND 31633 0 0 Amazon.com Inc COMMON STOCK 023135106 1406 1452 SH DFND 1452 0 0 Ambarella Inc COMMON STOCK G037AX101 416 8559 SH DFND 8559 0 0 American Axle & Manufacturing COMMON STOCK 024061103 515 32990 SH DFND 32990 0 0 American Campus Communities In COMMON STOCK 024835100 533 11271 SH DFND 11271 0 0 American Electric Power Co Inc COMMON STOCK 025537101 208 3001 SH DFND 3001 0 0 American Express Co COMMON STOCK 025816109 437 5191 SH DFND 5191 0 0 American Financial Group Inc/O COMMON STOCK 025932104 493 4966 SH DFND 4966 0 0 American Outdoor Brands Corp COMMON STOCK 02874P103 553 24941 SH DFND 24941 0 0 American Woodmark Corp COMMON STOCK 030506109 530 5549 SH DFND 5549 0 0 Ameriprise Financial Inc COMMON STOCK 03076C106 358 2816 SH DFND 2816 0 0 Ameris Bancorp COMMON STOCK 03076K108 496 10298 SH DFND 10298 0 0 AmerisourceBergen Corp COMMON STOCK 03073E105 732 7743 SH DFND 7743 0 0 Amgen Inc COMMON STOCK 031162100 844 4900 SH DFND 4900 0 0 Amkor Technology Inc COMMON STOCK 031652100 429 43931 SH DFND 43931 0 0 AMN HEALTHCARE SERVICES INC COMMON STOCK 001744101 458 11736 SH DFND 11736 0 0 Amphastar Pharmaceuticals Inc COMMON STOCK 03209R103 701 39250 SH DFND 39250 0 0 Amphenol Corp COMMON STOCK 032095101 630 8540 SH DFND 8540 0 0 Analog Devices Inc COMMON STOCK 032654105 1143 14688 SH DFND 14688 0 0 AnaptysBio Inc COMMON STOCK 032724106 436 18210 SH DFND 18210 0 0 AngloGold Ashanti Ltd COMMON STOCK 035128206 4602 473473 SH DFND 473473 0 0 Antero Midstream Partners LP COMMON STOCK 03673L103 186846 5631289 SH DFND 5631289 0 0 AO Smith Corp COMMON STOCK 831865209 638 11328 SH DFND 11328 0 0 Apache Corp COMMON STOCK 037411105 282 5883 SH DFND 5883 0 0 Apogee Enterprises Inc COMMON STOCK 037598109 477 8385 SH DFND 8385 0 0 Apollo Global Management LLC COMMON STOCK 037612306 543 20534 SH DFND 20534 0 0 APPLE INC COMMON STOCK 037833100 3459 24015 SH DFND 24015 0 0 Applied Materials Inc COMMON STOCK 038222105 1647 39871 SH DFND 39871 0 0 Applied Optoelectronics Inc COMMON STOCK 03823U102 614 9937 SH DFND 9937 0 0 Aquinox Pharmaceuticals Inc COMMON STOCK 03842B101 297 21090 SH DFND 21090 0 0 Archrock Inc COMMON STOCK 03957W106 2848 249837 SH DFND 249837 0 0 ARES CAPITAL CORP COMMON STOCK 04010L103 28852 1761400 SH DFND 1 1761400 0 0 Argan Inc COMMON STOCK 04010E109 424 7069 SH DFND 7069 0 0 Arista Networks Inc COMMON STOCK 040413106 565 3770 SH DFND 3770 0 0 Array BioPharma Inc COMMON STOCK 04269X105 1290 154170 SH DFND 154170 0 0 Arthur J Gallagher & Co COMMON STOCK 363576109 46281 808408 SH DFND 808408 0 0 Asbury Automotive Group Inc COMMON STOCK 043436104 433 7655 SH DFND 7655 0 0 Ascendis Pharma A/S COMMON STOCK 04351P101 812 29264 SH DFND 29264 0 0 AT&T Inc COMMON STOCK 00206R102 46721 1238299 SH DFND 1238299 0 0 Atara Biotherapeutics Inc COMMON STOCK 046513107 368 26274 SH DFND 26274 0 0 Aurinia Pharmaceuticals Inc COMMON STOCK 05156V102 454 74107 SH DFND 74107 0 0 Avadel Pharmaceuticals PLC COMMON STOCK 05337M104 411 37225 SH DFND 37225 0 0 AvalonBay Communities Inc COMMON STOCK 053484101 2236 11636 SH DFND 11636 0 0 Avery Dennison Corp COMMON STOCK 053611109 775 8772 SH DFND 8772 0 0 Avon Products Inc COMMON STOCK 054303102 521 137183 SH DFND 137183 0 0 Axovant Sciences Ltd COMMON STOCK G0750W104 2217 95593 SH DFND 95593 0 0 B&G Foods Inc COMMON STOCK 05508R106 410 11511 SH DFND 11511 0 0 B2Gold Corp COMMON STOCK 11777Q209 5985 2129830 SH DFND 2129830 0 0 Ball Corp COMMON STOCK 058498106 201 4754 SH DFND 4754 0 0 Banc of California Inc COMMON STOCK 05990K106 499 23189 SH DFND 23189 0 0 Bank of America Corp COMMON STOCK 060505104 672 27720 SH DFND 27720 0 0 Bank of Hawaii Corp COMMON STOCK 062540109 470 5667 SH DFND 5667 0 0 Bank of NT Butterfield & Son L COMMON STOCK G0772R208 492 14423 SH DFND 14423 0 0 Bank of the Ozarks Inc COMMON STOCK 063904106 447 9537 SH DFND 9537 0 0 Barnes Group Inc COMMON STOCK 067806109 564 9638 SH DFND 9638 0 0 Barrick Gold Corp COMMON STOCK 067901108 7545 474244 SH DFND 474244 0 0 Baxter International Inc COMMON STOCK 071813109 621 10261 SH DFND 10261 0 0 BeiGene Ltd COMMON STOCK 07725L102 1620 36007 SH DFND 36007 0 0 Berkshire Hathaway Inc COMMON STOCK 084670702 226 1334 SH DFND 1334 0 0 Best Buy Co Inc COMMON STOCK 086516101 1210 21102 SH DFND 21102 0 0 Big Lots Inc COMMON STOCK 089302103 475 9834 SH DFND 9834 0 0 BioCryst Pharmaceuticals Inc COMMON STOCK 09058V103 404 72591 SH DFND 72591 0 0 Biogen Inc COMMON STOCK 09062X103 572 2109 SH DFND 2109 0 0 Biohaven Pharmaceutical Holdin COMMON STOCK G11196105 772 30897 SH DFND 30897 0 0 BioTelemetry Inc COMMON STOCK 090672106 598 17867 SH DFND 17867 0 0 Black Box Corp COMMON STOCK 091826107 106 12431 SH DFND 12431 0 0 BLACKSTONE GROUP LP COMMON STOCK 09253U108 34531 1035413 SH DFND 1 1035413 0 0 Bluebird Bio Inc COMMON STOCK 09609G100 3883 36962 SH DFND 36962 0 0 Boardwalk Pipeline Partners LP COMMON STOCK 096627104 163437 9074791 SH DFND 9074791 0 0 Bob Evans Farms Inc/DE COMMON STOCK 096761101 438 6092 SH DFND 6092 0 0 Boeing Co/The COMMON STOCK 097023105 956 4832 SH DFND 4832 0 0 BofI Holding Inc COMMON STOCK 05566U108 394 16603 SH DFND 16603 0 0 Bojangles' Inc COMMON STOCK 097488100 417 25677 SH DFND 25677 0 0 Boston Properties Inc COMMON STOCK 101121101 1605 13047 SH DFND 13047 0 0 Brink's Co/The COMMON STOCK 109696104 310 4627 SH DFND 4627 0 0 Bristol-Myers Squibb Co COMMON STOCK 110122108 587 10529 SH DFND 10529 0 0 BROADCOM LTD COMMON STOCK Y09827109 221 947 SH DFND 947 0 0 Broadridge Financial Solutions COMMON STOCK 11133T103 586 7760 SH DFND 7760 0 0 BROOKFIELD ASSET MGMT- CL A COMMON STOCK 112585104 32066 817805 SH DFND 1 817805 0 0 BROOKFIELD INFRASTRUCTURE PARTNERS LP COMMON STOCK G16252101 18618 455094 SH DFND 1 455094 0 0 Brown-Forman Corp COMMON STOCK 115637209 561 11553 SH DFND 11553 0 0 Bruker Corp COMMON STOCK 116794108 581 20154 SH DFND 20154 0 0 Brunswick Corp/DE COMMON STOCK 117043109 593 9451 SH DFND 9451 0 0 Buckeye Partners LP COMMON STOCK 118230101 655751 10257328 SH DFND 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SH DFND 8059 0 0 Cedar Fair LP COMMON STOCK 150185106 509 7065 SH DFND 7065 0 0 Celanese Corp COMMON STOCK 150870103 501 5276 SH DFND 5276 0 0 Celgene Corp COMMON STOCK 151020104 670 5161 SH DFND 5161 0 0 Centene Corp COMMON STOCK 15135B101 230 2880 SH DFND 2880 0 0 CenterPoint Energy Inc COMMON STOCK 15189T107 5646 206217 SH DFND 206217 0 0 CenterState Banks Inc COMMON STOCK 15201P109 463 18618 SH DFND 18618 0 0 Central Pacific Financial Corp COMMON STOCK 154760409 489 15553 SH DFND 15553 0 0 Century Communities Inc COMMON STOCK 156504300 486 19586 SH DFND 19586 0 0 CenturyLink Inc COMMON STOCK 156700106 43210 1809455 SH DFND 1809455 0 0 Cerner Corp COMMON STOCK 156782104 578 8693 SH DFND 8693 0 0 CF Industries Holdings Inc COMMON STOCK 125269100 48010 1717099 SH DFND 1717099 0 0 Charles River Laboratories Int COMMON STOCK 159864107 541 5350 SH DFND 5350 0 0 Chase Corp COMMON STOCK 16150R104 551 5160 SH DFND 5160 0 0 Cheesecake Factory Inc/The COMMON STOCK 163072101 392 7791 SH DFND 7791 0 0 Chemours Co/The COMMON STOCK 163851108 202 5332 SH DFND 5332 0 0 Cheniere Energy Partners LP COMMON STOCK 16411Q101 583 17980 SH DFND 17980 0 0 Chevron Corp COMMON STOCK 166764100 46584 446510 SH DFND 446510 0 0 Children's Place Inc/The COMMON STOCK 168905107 417 4086 SH DFND 4086 0 0 Chimerix Inc COMMON STOCK 16934W106 229 42023 SH DFND 42023 0 0 Chuy's Holdings Inc COMMON STOCK 171604101 405 17287 SH DFND 17287 0 0 Cia de Minas Buenaventura SAA COMMON STOCK 204448104 7422 645398 SH DFND 645398 0 0 Cigna Corp COMMON STOCK 125509109 915 5465 SH DFND 5465 0 0 Cintas Corp COMMON STOCK 172908105 510 4043 SH DFND 4043 0 0 Cirrus Logic Inc COMMON STOCK 172755100 880 14025 SH DFND 14025 0 0 Cisco Systems Inc COMMON STOCK 17275R102 46790 1494902 SH DFND 1494902 0 0 Citigroup Inc COMMON STOCK 172967424 432 6465 SH DFND 6465 0 0 Citizens Financial Group Inc COMMON STOCK 174610105 459 12875 SH DFND 12875 0 0 Citrix Systems Inc COMMON STOCK 177376100 465 5838 SH DFND 5838 0 0 Civeo Corp 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0 Edwards Lifesciences Corp COMMON STOCK 28176E108 603 5102 SH DFND 5102 0 0 Electronic Arts Inc COMMON STOCK 285512109 792 7491 SH DFND 7491 0 0 Eli Lilly & Co COMMON STOCK 532457108 47577 578098 SH DFND 578098 0 0 Ellie Mae Inc COMMON STOCK 28849P100 539 4904 SH DFND 4904 0 0 Emergent BioSolutions Inc COMMON STOCK 29089Q105 1254 36967 SH DFND 36967 0 0 Emerson Electric Co COMMON STOCK 291011104 46259 775893 SH DFND 775893 0 0 Enanta Pharmaceuticals Inc COMMON STOCK 29251M106 618 17182 SH DFND 17182 0 0 Enbridge Energy Partners LP COMMON STOCK 29250R106 251511 15719416 SH DFND 15719416 0 0 Endeavour Silver Corp COMMON STOCK 29258Y103 842 276213 SH DFND 276213 0 0 ENDO INTERNATIONAL PLC COMMON STOCK G30401106 2559 229138 SH DFND 229138 0 0 Energizer Holdings Inc COMMON STOCK 29272W109 416 8657 SH DFND 8657 0 0 Energy Select Sector SPDR Fund ETF 81369Y506 16100 247994 SH DFND 247994 0 0 Energy Transfer Equity LP COMMON STOCK 29273V100 6114 340409 SH DFND 340409 0 0 Energy Transfer 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0 0 Equinix Inc COMMON STOCK 29444U700 2843 6625 SH DFND 6625 0 0 Equity LifeStyle Properties In COMMON STOCK 29472R108 598 6922 SH DFND 6922 0 0 Equity Residential COMMON STOCK 29476L107 2046 31076 SH DFND 31076 0 0 Essex Property Trust Inc COMMON STOCK 297178105 1440 5598 SH DFND 5598 0 0 Euronet Worldwide Inc COMMON STOCK 298736109 503 5753 SH DFND 5753 0 0 EW Scripps Co/The COMMON STOCK 811054402 374 20984 SH DFND 20984 0 0 Exelixis Inc COMMON STOCK 30161Q104 6136 249144 SH DFND 249144 0 0 Exponent Inc COMMON STOCK 30214U102 478 8206 SH DFND 8206 0 0 Express Scripts Holding Co COMMON STOCK 30219G108 350 5486 SH DFND 5486 0 0 Extra Space Storage Inc COMMON STOCK 30225T102 831 10655 SH DFND 10655 0 0 Exxon Mobil Corp COMMON STOCK 30231G102 683 8459 SH DFND 8459 0 0 F5 Networks Inc COMMON STOCK 315616102 419 3298 SH DFND 3298 0 0 Fabrinet COMMON STOCK G3323L100 526 12341 SH DFND 12341 0 0 Facebook Inc COMMON STOCK 30303M102 2089 13839 SH DFND 13839 0 0 FactSet Research Systems Inc 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