Chief Compliance Officer

0001398344-18-006435.txt : 20180501 0001398344-18-006435.hdr.sgml : 20180501 20180501154255 ACCESSION NUMBER: 0001398344-18-006435 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180331 FILED AS OF DATE: 20180501 DATE AS OF CHANGE: 20180501 EFFECTIVENESS DATE: 20180501 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: 18795319 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 03-31-2018 03-31-2018 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 04-30-2018 2 867 12566778 1 028-14056 Red Rocks Capital LLC 2 028-17446 Morningstar Investment Management LLC INFORMATION TABLE 2 fp0033016_13fhr-table.xml 13F INFORMATION TABLE 1st Source Corp COMMON STOCK 336901103 462 9123 SH DFND 9123 0 0 3D Systems Corp COMMON STOCK 88554D205 117 10089 SH DFND 10089 0 0 AAON Inc COMMON STOCK 000360206 485 12438 SH DFND 12438 0 0 Aaron's Inc COMMON STOCK 002535300 463 9942 SH DFND 9942 0 0 Abbott Laboratories COMMON STOCK 002824100 953 15903 SH DFND 15903 0 0 AbbVie Inc COMMON STOCK 00287Y109 2151 22724 SH DFND 22724 0 0 ABIOMED Inc COMMON STOCK 003654100 814 2796 SH DFND 2796 0 0 Acceleron Pharma Inc COMMON STOCK 00434H108 2372 60670 SH DFND 60670 0 0 Accenture PLC COMMON STOCK G1151C101 1412 9196 SH DFND 9196 0 0 ACCO Brands Corp COMMON STOCK 00081T108 461 36700 SH DFND 36700 0 0 Achillion Pharmaceuticals Inc COMMON STOCK 00448Q201 686 184968 SH DFND 184968 0 0 Aclaris Therapeutics Inc COMMON STOCK 00461U105 725 41369 SH DFND 41369 0 0 Acorda Therapeutics Inc COMMON STOCK 00484M106 1489 62973 SH DFND 62973 0 0 Activision Blizzard Inc COMMON STOCK 00507V109 268 3972 SH DFND 3972 0 0 Adamas Pharmaceuticals Inc COMMON STOCK 00548A106 839 35094 SH DFND 35094 0 0 Adaptimmune Therapeutics Plc COMMON STOCK 00653A107 1411 125655 SH DFND 125655 0 0 Adobe Systems Inc COMMON STOCK 00724F101 1702 7878 SH DFND 7878 0 0 Aduro Biotech Inc COMMON STOCK 00739L101 931 100070 SH DFND 100070 0 0 Advanced Energy Industries Inc COMMON STOCK 007973100 548 8578 SH DFND 8578 0 0 Advanced Micro Devices Inc COMMON STOCK 007903107 375 37282 SH DFND 37282 0 0 AdvanSix Inc COMMON STOCK 00773T101 396 11396 SH DFND 11396 0 0 AECOM COMMON STOCK 00766T100 583 16352 SH DFND 16352 0 0 Aerie Pharmaceuticals Inc COMMON STOCK 00771V108 2743 50556 SH DFND 50556 0 0 Aerovironment Inc COMMON STOCK 008073108 581 12773 SH DFND 12773 0 0 AES Corp/VA COMMON STOCK 00130H105 50909 4477515 SH DFND 4477515 0 0 Aetna Inc COMMON STOCK 00817Y108 1280 7576 SH DFND 7576 0 0 Agios Pharmaceuticals Inc COMMON STOCK 00847X104 6110 74717 SH DFND 74717 0 0 Agnico Eagle Mines Ltd COMMON STOCK 008474108 18737 445384 SH DFND 445384 0 0 Aimmune Therapeutics Inc COMMON STOCK 00900T107 2416 75900 SH DFND 75900 0 0 Air Lease Corp COMMON STOCK 00912X302 467 10947 SH DFND 10947 0 0 Air Products & Chemicals Inc COMMON STOCK 009158106 202 1272 SH DFND 1272 0 0 Akebia Therapeutics Inc COMMON STOCK 00972D105 604 63398 SH DFND 63398 0 0 Akorn Inc COMMON STOCK 009728106 3143 167999 SH DFND 167999 0 0 Alamos Gold Inc COMMON STOCK 011532108 10045 1928114 SH DFND 1928114 0 0 Alaska Air Group Inc COMMON STOCK 011659109 512 8261 SH DFND 8261 0 0 Albemarle Corp COMMON STOCK 012653101 390 4200 SH DFND 4200 0 0 Alexandria Real Estate Equitie COMMON STOCK 015271109 903 7228 SH DFND 7228 0 0 Align Technology Inc COMMON STOCK 016255101 561 2235 SH DFND 2235 0 0 Allegiant Travel Co COMMON STOCK 01748X102 462 2676 SH DFND 2676 0 0 Alliance Data Systems Corp COMMON STOCK 018581108 440 2066 SH DFND 2066 0 0 Allison Transmission Holdings COMMON STOCK 01973R101 487 12469 SH DFND 12469 0 0 Alphabet Inc COMMON STOCK 02079K107 1212 1175 SH DFND 1175 0 0 Alphabet Inc COMMON STOCK 02079K305 2265 2184 SH DFND 2184 0 0 Altice USA Inc COMMON STOCK 02156K103 439 23742 SH DFND 23742 0 0 Altria Group Inc COMMON STOCK 02209S103 46286 742721 SH DFND 742721 0 0 AMAG Pharmaceuticals Inc COMMON STOCK 00163U106 921 45720 SH DFND 45720 0 0 AMC Networks Inc COMMON STOCK 00164V103 483 9342 SH DFND 9342 0 0 American Axle & Manufacturing COMMON STOCK 024061103 474 31139 SH DFND 31139 0 0 American Campus Communities In COMMON STOCK 024835100 374 9682 SH DFND 9682 0 0 American Electric Power Co Inc COMMON STOCK 025537101 478 6971 SH DFND 6971 0 0 American Equity Investment Lif COMMON STOCK 025676206 548 18648 SH DFND 18648 0 0 American Express Co COMMON STOCK 025816109 1019 10929 SH DFND 10929 0 0 American Financial Group Inc/O COMMON STOCK 025932104 214 1908 SH DFND 1908 0 0 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0 0 Antero Resources Midstream Man COMMON STOCK 03675Y103 1066 66650 SH DFND 66650 0 0 Apogee Enterprises Inc COMMON STOCK 037598109 451 10397 SH DFND 10397 0 0 Apollo Global Management LLC COMMON STOCK 037612306 431 14564 SH DFND 14564 0 0 APPLE INC COMMON STOCK 037833100 9227 54994 SH DFND 54994 0 0 Applied Industrial Technologie COMMON STOCK 03820C105 474 6505 SH DFND 6505 0 0 Applied Materials Inc COMMON STOCK 038222105 1627 29257 SH DFND 29257 0 0 Applied Optoelectronics Inc COMMON STOCK 03823U102 408 16292 SH DFND 16292 0 0 APTIV PLC COMMON STOCK G6095L109 920 10832 SH DFND 10832 0 0 Aquinox Pharmaceuticals Inc COMMON STOCK 03842B101 443 31472 SH DFND 31472 0 0 Archer-Daniels-Midland Co COMMON STOCK 039483102 48652 1121799 SH DFND 1121799 0 0 Archrock Inc COMMON STOCK 03957W106 505 57663 SH DFND 57663 0 0 Arconic Inc COMMON STOCK 03965L100 943 40940 SH DFND 40940 0 0 Arena Pharmaceuticals Inc COMMON STOCK 040047607 2078 52602 SH DFND 52602 0 0 ARES CAPITAL CORP COMMON STOCK 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Corp COMMON STOCK 067901108 7367 591724 SH DFND 591724 0 0 BB&T Corp COMMON STOCK 054937107 687 13200 SH DFND 13200 0 0 Becton Dickinson and Co COMMON STOCK 075887109 209 966 SH DFND 966 0 0 Bed Bath & Beyond Inc COMMON STOCK 075896100 516 24588 SH DFND 24588 0 0 BeiGene Ltd COMMON STOCK 07725L102 9354 55678 SH DFND 55678 0 0 BERKSHIRE HATHAWAY INC-CL B COMMON STOCK 084670702 8550 42862 SH DFND 1 42862 0 0 BERRY GLOBAL GROUP COMMON STOCK 08579W103 468 8541 SH DFND 8541 0 0 Best Buy Co Inc COMMON STOCK 086516101 1516 21661 SH DFND 21661 0 0 Big Lots Inc COMMON STOCK 089302103 441 10128 SH DFND 10128 0 0 BioCryst Pharmaceuticals Inc COMMON STOCK 09058V103 630 132021 SH DFND 132021 0 0 Biogen Inc COMMON STOCK 09062X103 613 2237 SH DFND 2237 0 0 Black Stone Minerals LP COMMON STOCK 09225M101 456 27552 SH DFND 27552 0 0 BLACKSTONE GROUP LP COMMON STOCK 09253U108 10713 335300 SH DFND 1 335300 0 0 Blackstone Group LP/The COMMON STOCK 09253U108 448 14032 SH DFND 14032 0 0 Blue Buffalo Pet Products Inc COMMON STOCK 09531U102 480 12062 SH DFND 12062 0 0 Bluebird Bio Inc COMMON STOCK 09609G100 270 1581 SH DFND 1581 0 0 Boardwalk Pipeline Partners LP COMMON STOCK 096627104 98998 9753503 SH DFND 9753503 0 0 Boeing Co/The COMMON STOCK 097023105 2993 9129 SH DFND 9129 0 0 BofI Holding Inc COMMON STOCK 05566U108 466 11500 SH DFND 11500 0 0 Booking Holdings Inc COMMON STOCK 09857L108 381 183 SH DFND 183 0 0 Boot Barn Holdings Inc COMMON STOCK 099406100 456 25710 SH DFND 25710 0 0 BorgWarner Inc COMMON STOCK 099724106 475 9458 SH DFND 9458 0 0 Boston Properties Inc COMMON STOCK 101121101 1356 11004 SH DFND 11004 0 0 Boston Scientific Corp COMMON STOCK 101137107 200 7328 SH DFND 7328 0 0 BP Prudhoe Bay Royalty Trust COMMON STOCK 055630107 513 21463 SH DFND 21463 0 0 Brighthouse Financial Inc COMMON STOCK 10922N103 576 11205 SH DFND 11205 0 0 Brink's Co/The COMMON STOCK 109696104 686 9621 SH DFND 9621 0 0 BROADCOM LTD COMMON STOCK Y09827109 1367 5799 SH DFND 5799 0 0 Broadridge Financial Solutions COMMON STOCK 11133T103 571 5207 SH DFND 5207 0 0 BROOKFIELD ASSET MGMT- CL A COMMON STOCK 112585104 9006 230950 SH DFND 1 230950 0 0 BROOKFIELD INFRASTRUCTURE PARTNERS LP COMMON STOCK G16252101 7343 176323 SH DFND 1 176323 0 0 Brown-Forman Corp COMMON STOCK 115637209 561 10308 SH DFND 10308 0 0 Buckeye Partners LP COMMON STOCK 118230101 430885 11524063 SH DFND 11524063 0 0 Burlington Stores Inc COMMON STOCK 122017106 504 3782 SH DFND 3782 0 0 C&J Energy Services Inc COMMON STOCK 12674R100 480 18576 SH DFND 18576 0 0 Cable One Inc COMMON STOCK 12685J105 462 672 SH DFND 672 0 0 CACI International Inc COMMON STOCK 127190304 610 4032 SH DFND 4032 0 0 Cadence Design Systems Inc COMMON STOCK 127387108 714 19409 SH DFND 19409 0 0 CALIFORNIA RESOURCES CORP COMMON STOCK 13057Q206 595 34705 SH DFND 34705 0 0 Calithera Biosciences Inc COMMON STOCK 13089P101 300 47583 SH DFND 47583 0 0 Callon Petroleum Co COMMON STOCK 13123X102 546 41232 SH DFND 41232 0 0 Cambrex Corp COMMON STOCK 132011107 448 8561 SH DFND 8561 0 0 CANNAE HOLDINGS COMMON STOCK 13765N107 5677 301050 SH DFND 1 301050 0 0 Capital One Financial Corp COMMON STOCK 14040H105 853 8900 SH DFND 8900 0 0 Capstead Mortgage Corp COMMON STOCK 14067E506 685 79134 SH DFND 79134 0 0 Cardinal Health Inc COMMON STOCK 14149Y108 43453 693250 SH DFND 693250 0 0 CARLYLE GROUP COMMON STOCK 14309L102 6479 303450 SH DFND 1 303450 0 0 Carlyle Group LP/The COMMON STOCK 14309L102 446 20904 SH DFND 20904 0 0 Carolina Financial Corp COMMON STOCK 143873107 459 11678 SH DFND 11678 0 0 Carter's Inc COMMON STOCK 146229109 448 4302 SH DFND 4302 0 0 Casa Systems Inc COMMON STOCK 14713L102 470 16026 SH DFND 16026 0 0 Catalyst Pharmaceuticals Inc COMMON STOCK 14888U101 328 137441 SH DFND 137441 0 0 Cathay General Bancorp COMMON STOCK 149150104 445 11125 SH DFND 11125 0 0 CBL & Associates Properties In COMMON STOCK 124830100 438 105143 SH DFND 105143 0 0 Cedar Fair LP COMMON STOCK 150185106 478 7482 SH DFND 7482 0 0 Celanese Corp COMMON STOCK 150870103 447 4458 SH DFND 4458 0 0 Celgene Corp COMMON STOCK 151020104 797 8939 SH DFND 8939 0 0 Centene Corp COMMON STOCK 15135B101 565 5286 SH DFND 5286 0 0 Centennial Resource Developmen COMMON STOCK 15136A102 481 26214 SH DFND 26214 0 0 CenterPoint Energy Inc COMMON STOCK 15189T107 5775 210755 SH DFND 210755 0 0 CENTERSTATE BANK CORP COMMON STOCK 15201P109 452 17048 SH DFND 17048 0 0 CenturyLink Inc COMMON STOCK 156700106 45191 2750499 SH DFND 2750499 0 0 Cerner Corp COMMON STOCK 156782104 442 7624 SH DFND 7624 0 0 CF Industries Holdings Inc COMMON STOCK 125269100 44164 1170522 SH DFND 1170522 0 0 Cheesecake Factory Inc/The COMMON STOCK 163072101 476 9880 SH DFND 9880 0 0 ChemoCentryx Inc COMMON STOCK 16383L106 511 37591 SH DFND 37591 0 0 Chemours Co/The COMMON STOCK 163851108 550 11296 SH DFND 11296 0 0 Cheniere Energy Inc COMMON STOCK 16411R208 212 3970 SH DFND 3970 0 0 Cheniere Energy Partners LP COMMON STOCK 16411Q101 471 16201 SH DFND 16201 0 0 Chesapeake Energy Corp COMMON STOCK 165167107 582 192649 SH DFND 192649 0 0 Chevron Corp COMMON STOCK 166764100 1470 12892 SH DFND 12892 0 0 Children's Place Inc/The COMMON STOCK 168905107 494 3649 SH DFND 3649 0 0 Chimerix Inc COMMON STOCK 16934W106 328 63099 SH DFND 63099 0 0 CHUBB LTD COMMON STOCK H1467J104 290 2122 SH DFND 2122 0 0 Church & Dwight Co Inc COMMON STOCK 171340102 477 9474 SH DFND 9474 0 0 Cia de Minas Buenaventura SAA COMMON STOCK 204448104 7907 519169 SH DFND 519169 0 0 Ciena Corp COMMON STOCK 171779309 453 17490 SH DFND 17490 0 0 Cigna Corp COMMON STOCK 125509109 638 3804 SH DFND 3804 0 0 Cimarex Energy Co COMMON STOCK 171798101 486 5194 SH DFND 5194 0 0 Cinemark Holdings Inc COMMON STOCK 17243V102 446 11844 SH DFND 11844 0 0 Citigroup Inc COMMON STOCK 172967424 1296 19196 SH DFND 19196 0 0 Citizens Financial Group Inc COMMON STOCK 174610105 1031 24551 SH DFND 24551 0 0 City Holding Co COMMON STOCK 177835105 398 5799 SH DFND 5799 0 0 Clementia Pharmaceuticals Inc COMMON STOCK 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STOCK 532457108 47293 611259 SH DFND 611259 0 0 Emergent BioSolutions Inc COMMON STOCK 29089Q105 3968 75360 SH DFND 75360 0 0 Emerson Electric Co COMMON STOCK 291011104 45914 672241 SH DFND 672241 0 0 Enanta Pharmaceuticals Inc COMMON STOCK 29251M106 2529 31263 SH DFND 31263 0 0 Enbridge Energy Partners LP COMMON STOCK 29250R106 162864 16894596 SH DFND 16894596 0 0 Encore Wire Corp COMMON STOCK 292562105 482 8493 SH DFND 8493 0 0 Endeavour Silver Corp COMMON STOCK 29258Y103 679 279390 SH DFND 279390 0 0 ENDO INTERNATIONAL PLC COMMON STOCK G30401106 2720 457917 SH DFND 457917 0 0 Energizer Holdings Inc COMMON STOCK 29272W109 514 8621 SH DFND 8621 0 0 Energy Select Sector SPDR Fund COMMON STOCK 81369Y506 16671 247313 SH DFND 247313 0 0 Energy Transfer Equity LP COMMON STOCK 29273V100 4849 341264 SH DFND 341264 0 0 Energy Transfer Partners LP COMMON STOCK 29278N103 812786 50110104 SH DFND 50110104 0 0 EnLink Midstream LLC COMMON STOCK 29336T100 820 55946 SH DFND 55946 0 0 EnLink Midstream 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