X0404 N-CEN LIVE 0000915802 XXXXXXXX 811-08194 true N-1A true Financial Investors Trust 811-08194 0000915802 549300XD6LCPI5YWPZ35 1290 Broadway Suite 1000 Denver 80203 US-CO US 303-623-2577 Smith Capital Investors 1430 Blake Street Denver 80202 303-597-5555 records relating to its function as a sub adviser ALPS Advisors, Inc. 1290 Broadway Suite 1000 Denver 80203 303-623-2577 Records relating to its functions as Adviser for each of the funds investment portfolios Kotak Mahindra Inc. 369 Lexington Ave 28th Floor New York 10017 212-600-8850 records relating to its functions as a sub adviser ALPS Fund Services, Inc. 1290 Broadway Suite 1000 Denver 80203 303-623-2577 regulatory documents and accounting records Red Rocks Capital LLC 1290 Broadway Suite 1000 Denver 80203 303-679-8252 records relating to its function as a sub adviser CoreCommodity Management LLC 680 Washington Blvd 11th Floor Stamford 06901 203-708-6500 records relating to its functions as sub adviser RiverFront Investment Group 1214 East Cary Street Richmond 23219 804-549-4800 records relating to its function as a sub adviser Clough Capital Partners L.P. 53 State Street 27th Floor Boston 02109 617-204-3400 records relating to its functions as sub adviser N N N-1A 11 Y Edmund J. Burke 001263210 Y Mary K. Anstine N/A N Jerry Rutledge N/A N Michael "Ross" Shell N/A N Jeremy Deems N/A N Ted Uhl N/A 1290 Broadway, Suite 1100 Denver 80203 XXXXXX N N N N N N N ALPS Portfolio Solutions Distributor, Inc 8-67659 000144464 N/A Y N Deloitte & Touche, LLP 34 N/A N N N N N N N ALPS/Red Rocks Listed Private Equity Fund S000019569 549300FJUT1GZCZ5W404 N 5 0 0 N/A N N Y N N/A N/A N/A Rule 22d-1 (17 CFR 270.22d-1) Rule 32a-4 (17 CFR 270.32a-4) Y N Y N ALPS Advisors, Inc. 801-67135 000134340 N/A N Red Rocks Capital, LLC 801-67832 000135117 N/A Y N ALPS Fund Services, Inc N/A N/A Y N N REFINITIV US LLC 213800HQORQAP68CJJ04 N Bloomberg Global Markets Services LLC 254900X21QX3H0T4HC32 N ICE Data Pricing & Reference Data, LLC 5493000NQ9LYLDBCTL34 N N DEUTSCHE BANK AG N/A NL N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) DEUTSCHE BANK AG N/A IT N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) STATE STREET BANK AND TRUST COMPANY N/A GB N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Deutsche Bank AG N/A DE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) CREDIT SUISSE (SCHWEIZ) AG N/A CH N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) DEUTSCHE BANK SOCIEDAD ANONIMA ESPA N/A ES N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) STATE STREET BK LONDON - CREST N/A GB N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) DEUTSCHE BANK AG N/A NL N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) DEUTSCHE BANK AG, SEOUL BRANCH N/A KR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) NORDEA BANK ABP, FILIAL I SVERIGE N/A SE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) CITIBANK NA SAO PAULO BRAZIL N/A BR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) CANADA SELF CUSTODY - CDSX N/A CA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) SKANDINAVISKA ENSKILDA BANKEN N/A DK N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HONGKONG AND SHANGHAI BANKING CORPO N/A HK N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) BNP PARIBAS SECURITIES SERVICES, FR N/A NL N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Hong Kong And Shanghai Banking Corp N/A JP N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) BNP PARIBAS SECURITIES SERVICES, GR N/A GR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) BNP PARIBAS SECURITIES SERVICES, FR N/A BE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) DEUTSCHE BANK AG N/A BE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) State Street Bank and Trust 571474TGEMMWANRLN572 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) SKANDINAVISKA ENSKILDA BANKEN AB N/A NO N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) BNP PARIBAS SECURITIES SERVICES, FR N/A FR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) CLEARSTREAM BANKING AG N/A GE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Firstrand Bank Ltd N/A ZA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HSBC BANK AUSTRALIA LIMITED N/A AU N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) STANDARD CHARTERED BANK GHANA LIMIT N/A GH N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) CLEARSTREAM N/A DE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) SKANDINAVISKA ENSKILDA BANKEN N/A FI N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) CITIBANK,N.A. N/A SG N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) ROYAL BANK OF CANADA N/A CA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) DEUTSCHE BANK AG N/A FR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) N ALPS Fund Services, Inc N/A Y N N ALPS Fund Services, Inc. N/A Y N N NUMIS SECURITIES INC. 8-66139 000128471 213800GW3YZJDBPALN37 6931 UBS SECURITIES LLC 8-22651 000007654 T6FIZBDPKLYJKFCRVK44 8796 CREDIT SUISSE SECURITIES (USA) LLC 8-422 000000816 1V8Y6QCX6YMJ2OELII46 3403 JONESTRADING 8-26089 000006888 2138008JJ5PA8H5UIL69 4047 JEFFERIES LLC 8-15074 000002347 58PU97L1C0WSRCWADL48 10633 33809 JEFFERIES LLC 8-15074 000002347 58PU97L1C0WSRCWADL48 23 UBS SECURITIES LLC 8-22651 000007654 T6FIZBDPKLYJKFCRVK44 55839 55862 N 104574495 N N N RiverFront Asset Allocation Aggressive S000029516 549300WK2TD1XNRHBF52 N 6 0 0 Fund of Funds N N Y N N/A N/A N/A Rule 32a-4 (17 CFR 270.32a-4) Rule 22d-1 (17 CFR 270.22d-1) N N N N ALPS Advisors, Inc. 801-67135 000134340 N/A N RiverFront Investment Group, LLC 801-68810 000146221 N/A N N ALPS Fund Services, Inc N/A N/A Y N N REFINITIV US LLC 213800HQORQAP68CJJ04 N ICE Data Pricing & Reference Data, LLC 5493000NQ9LYLDBCTL34 N Bloomberg Global Markets Services LLC 254900X21QX3H0T4HC32 N N State Street Bank and Trust 571474TGEMMWANRLN572 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) N ALPS Fund Services, Inc N/A Y N N ALPS Fund Services, Inc. N/A Y N N WALLACHBETH CAPITAL LLC 8-67936 000147853 549300R371KUKXEXC133 383 383 WALLACHBETH CAPITAL LLC 8-67936 000147853 549300R371KUKXEXC133 360575 JPMORGAN DISTRIBUTION SERVICES, INC. 8-52700 000104234 N/A 295959 656534 N 26424443 N N N ALPS | CoreCommodity Management CompleteCommodities Strategy Fund S000028470 549300EL879YIPAO6G15 N 4 0 0 N/A N N N N/A N/A N/A Rule 22d-1 (17 CFR 270.22d-1) Rule 32a-4 (17 CFR 270.32a-4) Y Y Y Y ALPS Advisors, Inc. 807-67135 000134340 N/A N CoreCommodity Management, LLC 801-65436 000135810 N/A N N ALPS Fund Services, Inc N/A N/A Y N N ICE Data Pricing & Reference Data, LLC 5493000NQ9LYLDBCTL34 N Bloomberg Global Markets Services LLC 254900X21QX3H0T4HC32 N REFINITIV US LLC 213800HQORQAP68CJJ04 N N CITIBANK EUROPE PLC HUNGARIAN BRANC N/A HU N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) DEUTSCHE BANK AG, SEOUL BRANCH N/A KR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) CITIBANK NA MEXICO N/A MX N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) SKANDINAVISKA ENSKILDA BANKEN N/A FI N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) CITIBANK SANTIAGO, CHILE N/A CL N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) BANK HAPOALIM B.M. N/A IL N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HSBC BANK AUSTRALIA LIMITED N/A AU N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) DEUTSCHE BANK AG N/A PH N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) BANK HANDLOWY W WARSZAWIE SA N/A PL N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) CESKOSLOVENSKA OBCHODNI BANKA, A.S. N/A CZ N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) AS SEB PANK N/A EE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) BNP PARIBAS SECURITIES SERVICES, FR N/A FR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) BNP Paribas Securities N/A GR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) DEUTSCHE BANK AG N/A AT N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) DEUTSCHE BANK (MALAYSIA) BERHAD N/A MY N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Royal Bank of Canada N/A CA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) DEUTSCHE BANK AG N/A FR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) DEUTSCHE BANK AG N/A BE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) State Street Bank and Trust 571474TGEMMWANRLN572 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) DEUTSCHE BANK AG N/A NL N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HONGKONG AND SHANGHAI BANKING CORPO N/A NZ N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) CANADA SELF CUSTODY - CDSX N/A CA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HSBC BANK (CHINA) COMPANY LIMITED N/A CN N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HONGKONG AND SHANGHAI BANKING CORPO N/A HK N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) BNP PARIBAS SECURITIES SERVICES, FR N/A NL N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HSBC BANK BERMUDA LIMITED N/A BM N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) SKANDINAVISKA ENSKILDA BANKEN AB N/A NO N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) STATE STREET BK LONDON - CREST N/A GB N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) DEUTSCHE BANK S.P.A. N/A IT N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) CREDIT SUISSE (SCHWEIZ) AG N/A CH N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) SKANDINAVISKA ENSKILDA BANKEN AB N/A SE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) CITIBANK,N.A. N/A SG N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) DEUTSCHE BANK A.S. N/A TR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) CITIBANK NA SAO PAULO BRAZIL N/A BR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) BNP PARIBAS SECURITIES SERVICES, FR N/A BE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HSBC Bank Company N/A CN N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) CREDIT SUISSE (SCHWEIZ) AG N/A CH N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) DEUTSCHE BANK SOCIEDAD ANONIMA ESPA N/A ES N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) SKANDINAVISKA ENSKILDA BANKEN N/A DK N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HONGKONG AND SHANGHAI BANKING CORPO N/A JP N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) FIRSTRAND BANK LIMITED N/A ZA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) CLEARSTREAM BANKING AG N/A DE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) STATE STREET BANK AND TRUST COMPANY N/A GB N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) N ALPS Fund Services, Inc N/A Y N N ALPS Fund Services, Inc. N/A Y N N CREDIT SUISSE SECURITIES (USA) LLC 8-422 000000816 1V8Y6QCX6YMJ2OELII46 41255 MORGAN STANLEY 8-68191 000149777 IGJSJL3JD5P30I6NJZ34 234205 275460 MERRILL LYNCH PROFESSIONAL CLEARING CORP. 8-33359 000016139 549300PMHS66E71I2D34 87699 BNY MELLON CAPITAL MARKETS, LLC 8-35255 000017454 VJW2DOOHGDT6PR0ZRO63 365268575 BOFA SECURITIES, INC. 8-69787 000283942 549300HN4UKV1E2R3U73 317609155 MORGAN STANLEY 8-68191 000149777 IGJSJL3JD5P30I6NJZ34 46518822 729484251 N 1041645485 N N N Clough China Fund S000026776 549300P0GIF2342CX685 N 4 0 0 N/A Y N Y N N/A N/A N/A Rule 22d-1 (17 CFR 270.22d-1) Rule 32a-4 (17 CFR 270.32a-4) Y Y Y N ALPS Advisors, Inc. 801-67135 000134340 N/A N Clough Capital Partners LP 801-63142 000131257 N/A N N ALPS Fund Services, Inc N/A N/A Y N N Bloomberg Global Markets Services LLC 254900X21QX3H0T4HC32 N REFINITIV US LLC 213800HQORQAP68CJJ04 N ICE Data Pricing & Reference Data, LLC 5493000NQ9LYLDBCTL34 N N MIZUHO BANK, LTD.(CUSTODY) N/A JP N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) DEUTSCHE BANK AG, SEOUL BRANCH N/A KR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) ROYAL BANK OF CANADA N/A CA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HSBC BANK (CHINA) COMPANY LIMITED N/A CN N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) CLEARSTREAM BANKING AG N/A GR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) State Street Bank and Trust 571474TGEMMWANRLN572 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) STANDARD CHARTERED BANK (TAIWAN) LI N/A TW N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) CANADA SELF CUSTODY - CDSX N/A CA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) FIRSTRAND BANK LIMITED N/A ZA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibank N.A. N/A SG N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HONGKONG AND SHANGHAI BANKING CORPO N/A HK N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) EUROCLEAR N/A E7 N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HSBC BANK AUSTRALIA LIMITED N/A AU N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) N ALPS Fund Services, Inc N/A Y N N ALPS Fund Services, Inc. N/A Y N N ALLIANCEBERNSTEIN INVESTMENTS, INC. 8-30851 000014549 549300TDIO6ROCMUID11 6264 JEFFERIES LLC 8-15074 000002347 58PU97L1C0WSRCWADL48 12623 DBS VICKERS SECURITIES (USA) INC. 8-46837 000035691 549300OUTDVU0NBODN81 6122 CITICORP SECURITIES SERVICES, INC. 8-32117 000015387 549300N0SOX9OZVKG341 8803 MACQUARIE CAPITAL (USA) INC. 8-47198 000036368 549300670K07JRB5UQ40 8018 China International Capital Corporation Limited N/A N/A N/A CN 4952 CLSA AMERICAS, LLC 8-69166 000165533 213800M2DXATWY7JMS07 7827 JPMORGAN DISTRIBUTION SERVICES, INC. 8-52700 000104234 N/A 8847 CREDIT SUISSE SECURITIES (USA) LLC 8-422 000000816 1V8Y6QCX6YMJ2OELII46 16247 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED 8-7221 000007691 8NAV47T0Y26Q87Y0QP81 11518 110913 MORGAN STANLEY 8-68191 000149777 IGJSJL3JD5P30I6NJZ34 2005913 GOLDMAN SACHS & CO. LLC 8-129 000000361 FOR8UP27PHTHYVLBNG30 441063 2446976 N 44478849 N N N ALPS/Smith Total Return Bond Fund S000062210 549300YOPKQRRVDUYM87 N 4 0 0 N/A N N Y N N/A N/A N/A Rule 32a-4 (17 CFR 270.32a-4) Rule 22d-1 (17 CFR 270.22d-1) Y Y Y N ALPS Advisors, Inc. 801-67135 000134340 N/A N Smith Capital Investors, LLC 801-113172 000294402 N/A N N ALPS Fund Services, Inc N/A N/A Y N N REFINITIV US LLC 213800HQORQAP68CJJ04 N ICE Data Pricing & Reference Data, LLC 5493000NQ9LYLDBCTL34 N Bloomberg Global Markets Services LLC 254900X21QX3H0T4HC32 N N State Street Bank and Trust 571474TGEMMWANRLN572 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) N ALPS Fund Services, Inc N/A Y N N ALPS Fund Services, Inc. N/A Y N N 0 Morgan Stanley 8-68191 000149777 IGJSJL3JD5P30I6NJZ34 479960529 CITICORP SECURITIES SERVICES, INC. 8-32117 000015387 549300N0SOX9OZVKG341 1076191461 MERRILL LYNCH PROFESSIONAL CLEARING CORP. 8-33359 000016139 549300PMHS66E71I2D34 491301383 NOMURA SECURITIES INTERNATIONAL, INC. 8-15255 000004297 OXTKY6Q8X53C9ILVV871 553334593 DEUTSCHE BANK SECURITIES INC. 8-17822 000002525 9J6MBOOO7BECTDTUZW19 560567449 RBC CAPITAL MARKETS, LLC 8-45411 000031194 549300LCO2FLSSVFFR64 176520354 BARCLAYS CAPITAL INC. 8-41342 000019714 AC28XWWI3WIBK2824319 535855064 JPMORGAN DISTRIBUTION SERVICES, INC. 8-52700 000104234 N/A 263559490 CREDIT SUISSE SECURITIES (USA) LLC 8-422 000000816 1V8Y6QCX6YMJ2OELII46 170945746 GOLDMAN SACHS & CO. LLC 8-129 000000361 FOR8UP27PHTHYVLBNG30 866593031 6088606496 N 1684086976 N N N RiverFront Asset Allocation Moderate S000029519 5493006SDL7JHWH44V24 N 4 0 0 Fund of Funds N N Y N N/A N/A N/A Rule 32a-4 (17 CFR 270.32a-4) Rule 22d-1 (17 CFR 270.22d-1) N N N N ALPS Advisors, Inc. 801-67135 000134340 N/A N RiverFront Investment Group, LLC 801-68810 000146221 N/A N N ALPS Fund Services, Inc N/A N/A Y N N Bloomberg Global Markets Services LLC 254900X21QX3H0T4HC32 N REFINITIV US LLC 213800HQORQAP68CJJ04 N ICE Data Pricing & Reference Data, LLC 5493000NQ9LYLDBCTL34 N N State Street Bank and Trust 571474TGEMMWANRLN572 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) N ALPS Fund Services, Inc N/A Y N N ALPS Fund Services, Inc. N/A Y N N WALLACHBETH CAPITAL LLC 8-67936 000147853 549300R371KUKXEXC133 1230 1230 JPMORGAN DISTRIBUTION SERVICES, INC. 8-52700 000104234 N/A 3963012 BOFA SECURITIES, INC. 8-69787 000283942 549300HN4UKV1E2R3U73 2589807 SUSQUEHANNA FINANCIAL GROUP, LLLP 8-44325 000035865 549300E8QX0ZMRDC2M81 2634076 WALLACHBETH CAPITAL LLC 8-67936 000147853 549300R371KUKXEXC133 2679083 JANE STREET CAPITAL, LLC 8-52275 000103782 549300ZM16HMPEPNV857 2502222 14368200 N 49242098 N N N ALPS | Smith Credit Opportunities Fund S000069461 5493005SGUFDPSMMPO13 N 4 0 0 N/A N N N N N/A N/A N/A Rule 32a-4 (17 CFR 270.32a-4) Rule 22d-1 (17 CFR 270.22d-1) Y Y Y Y ALPS Advisors, Inc. 807-67135 000134340 N/A N Smith Capital Investors, LLC 801-113172 000294402 N/A N N ALPS Fund Services, Inc N/A N/A Y N N REFINITIV US LLC 213800HQORQAP68CJJ04 N ICE Data Pricing & Reference Data, LLC 5493000NQ9LYLDBCTL34 N Bloomberg Global Markets Services LLC 254900X21QX3H0T4HC32 N N State Street Bank and Trust 571474TGEMMWANRLN572 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) N ALPS Fund Services, Inc N/A Y N N ALPS Fund Services, Inc. N/A Y N N JONESTRADING 8-26089 000006888 2138008JJ5PA8H5UIL69 11205 11205 RBC CAPITAL MARKETS, LLC 8-45411 000031194 549300LCO2FLSSVFFR64 29229591 DEUTSCHE BANK SECURITIES INC. 8-17822 000002525 9J6MBOOO7BECTDTUZW19 55975981 NOMURA SECURITIES INTERNATIONAL, INC. 8-15255 000004297 OXTKY6Q8X53C9ILVV871 39894870 MERRILL LYNCH PROFESSIONAL CLEARING CORP. 8-33359 000016139 549300PMHS66E71I2D34 113388696 CITICORP SECURITIES SERVICES, INC. 8-32117 000015387 549300N0SOX9OZVKG341 107771975 JPMORGAN DISTRIBUTION SERVICES, INC. 8-52700 000104234 N/A 56607632 GOLDMAN SACHS & CO. LLC 8-129 000000361 FOR8UP27PHTHYVLBNG30 91215333 BARCLAYS CAPITAL INC. 8-41342 000019714 AC28XWWI3WIBK2824319 52769324 CREDIT SUISSE SECURITIES (USA) LLC 8-422 000000816 1V8Y6QCX6YMJ2OELII46 33983057 MORGAN STANLEY 8-68191 000149777 IGJSJL3JD5P30I6NJZ34 60420987 743663523 N 127888199 N N N ALPS | Kotak India Growth Fund S000030224 549300NFV67JZQ51BE50 N 5 0 0 N/A N N N N/A N/A N/A Rule 32a-4 (17 CFR 270.32a-4) Rule 22d-1 (17 CFR 270.22d-1) Rule 17e-1 (17 CFR 270.17e-1) Y Y Y Y ALPS Advisors, Inc. 801-67135 000134340 N/A N Kotak Mahindra Asset Management (Singapore) Pte. Ltd. 801-108865 000047251 N/A N IN N ALPS Fund Services, Inc N/A N/A Y N N Bloomberg Global Markets Services LLC 254900X21QX3H0T4HC32 N REFINITIV US LLC 213800HQORQAP68CJJ04 N ICE Data Pricing & Reference Data, LLC 5493000NQ9LYLDBCTL34 N N The Bank of New York Mellon N/A N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) Brown Brothers Harriman N/A N N Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Euroclear Bank N/A BE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) DEUTSCHE BANK AG MUMBAI N/A ID N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Y ALPS Fund Services, Inc N/A Y N N ALPS Fund Services, Inc. N/A Y N N CITICORP SECURITIES SERVICES, INC. 8-32117 000015387 549300N0SOX9OZVKG341 27621 KOTAK MAHINDRA, INC. 8-51740 000047251 33580046JVCDD1XX8C96 32260 EDELWEISS FINANCIAL SERVICES INC. 8-69508 000172455 335800GA1YN8NAGS8V55 17617 AXIS CAPITAL HOLDINGS 8-70083 000293368 335800I6X7D6NYQOMD89 20068 CLSA AMERICAS, LLC 8-69166 000165533 213800M2DXATWY7JMS07 17570 MOTILAL OSWAL SECURITIES LTD 8-690093 000164319 2549005ASA9TUACEW325 IN 18053 ELARA SECURITIES, INC. 8-68346 000151232 549300SFY6XXPHCQQ605 18079 ICICI SECURITIES INC. 8-52746 000104285 335800RT5NJ3UPWK7351 23324 NOMURA SECURITIES INTERNATIONAL, INC. 8-15255 000004297 OXTKY6Q8X53C9ILVV871 13092 CREDIT SUISSE SECURITIES (USA) LLC 8-422 000000816 1V8Y6QCX6YMJ2OELII46 16339 319600 0 N 312539662 N N N ALPS/Smith Short Duration Bond Fund S000062209 5493008RSCPLV4U7OX36 N 4 0 0 N/A N N Y N N/A N/A N/A Rule 32a-4 (17 CFR 270.32a-4) Rule 22d-1 (17 CFR 270.22d-1) Y Y Y N ALPS Advisors, Inc. 801-67135 000134340 N/A N Smith Capital Investors, LLC 801-113172 000294402 N/A N N ALPS Fund Services, Inc N/A N/A Y N N Bloomberg Global Markets Services LLC 254900X21QX3H0T4HC32 N REFINITIV US LLC 213800HQORQAP68CJJ04 N ICE Data Pricing & Reference Data, LLC 5493000NQ9LYLDBCTL34 N N State Street Bank and Trust 571474TGEMMWANRLN572 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) N ALPS Fund Services, Inc N/A Y N N ALPS Fund Services, Inc. N/A Y N N 0 MERRILL LYNCH PROFESSIONAL CLEARING CORP. 8-33359 000016139 549300PMHS66E71I2D34 168141798 BNP PARIBAS SECURITIES CORP. 8-32682 000015794 2J5703FH5U5M97R1I237 43698696 Morgan Stanley 8-68191 000149777 IGJSJL3JD5P30I6NJZ34 58931593 JPMORGAN DISTRIBUTION SERVICES, INC. 8-52700 000104234 N/A 126224992 BARCLAYS CAPITAL INC. 8-41342 000019714 AC28XWWI3WIBK2824319 43414384 RBC CAPITAL MARKETS, LLC 8-45411 000031194 549300LCO2FLSSVFFR64 66171114 NOMURA SECURITIES INTERNATIONAL, INC. 8-15255 000004297 OXTKY6Q8X53C9ILVV871 201956863 GOLDMAN SACHS & CO. LLC 8-129 000000361 FOR8UP27PHTHYVLBNG30 148520827 DEUTSCHE BANK SECURITIES INC. 8-17822 000002525 9J6MBOOO7BECTDTUZW19 80124258 CITICORP SECURITIES SERVICES, INC. 8-32117 000015387 549300N0SOX9OZVKG341 261669784 1479601153 N 381930363 N N N RiverFront Asset Allocation Growth & Income S000029518 549300A6CKS8TPM2EV92 N 4 0 0 Fund of Funds N N Y N N/A N/A N/A Rule 22d-1 (17 CFR 270.22d-1) Rule 32a-4 (17 CFR 270.32a-4) N N N N ALPS Advisors, Inc. 801-67135 000134340 N/A N RiverFront Investment Group, LLC 801-68810 000294402 N/A N N ALPS Fund Services, Inc N/A N/A Y N N Bloomberg Global Markets Services LLC 254900X21QX3H0T4HC32 N REFINITIV US LLC 213800HQORQAP68CJJ04 N ICE Data Pricing & Reference Data, LLC 5493000NQ9LYLDBCTL34 N N State Street Bank and Trust 571474TGEMMWANRLN572 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) N ALPS Fund Services, Inc N/A Y N N ALPS Fund Services, Inc. N/A Y N N WALLACHBETH CAPITAL LLC 8-67936 000147853 549300R371KUKXEXC133 1415 1415 WALLACHBETH CAPITAL LLC 8-67936 000147853 549300R371KUKXEXC133 3922661 SUSQUEHANNA FINANCIAL GROUP, LLLP 8-44325 000035865 549300E8QX0ZMRDC2M81 2503210 JANE STREET CAPITAL, LLC 8-52275 000103782 549300ZM16HMPEPNV857 2081346 JPMORGAN DISTRIBUTION SERVICES, INC. 8-52700 000104234 N/A 2302352 BOFA SECURITIES, INC. 8-69787 000283942 549300HN4UKV1E2R3U73 3501140 14310709 N 62990177 N N N ALPS | Smith Balanced Opportunity Fund S000069460 549300IDI3QJ70E1U194 N 4 0 0 N/A N N N N N/A N/A N/A Rule 22d-1 (17 CFR 270.22d-1) Rule 32a-4 (17 CFR 270.32a-4) Y Y Y N ALPS Advisors, Inc. 807-67135 000134340 N/A N Smith Capital Investors, LLC 801-113172 000294402 N/A N N ALPS Fund Services, Inc N/A N/A Y N N ICE Data Pricing & Reference Data, LLC 5493000NQ9LYLDBCTL34 N Bloomberg Global Markets Services LLC 254900X21QX3H0T4HC32 N REFINITIV US LLC 213800HQORQAP68CJJ04 N N HONGKONG AND SHANGHAI BANKING CORPO N/A HK N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) CITIBANK,N.A. N/A SG N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) BNP PARIBAS SECURITIES SERVICES, FR N/A FR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HONGKONG AND SHANGHAI BANKING CORPO N/A JP N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) CLEARSTREAM BANKING AG N/A GR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) SKANDINAVISKA ENSKILDA BANKEN N/A DK N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) BNP PARIBAS SECURITIES SERVICES, FR N/A NL N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) SKANDINAVISKA ENSKILDA BANKEN AB N/A SE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HSBC BANK AUSTRALIA LIMITED N/A AU N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) CREDIT SUISSE (SCHWEIZ) AG N/A CH N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) SKANDINAVISKA ENSKILDA BANKEN N/A FI N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) ROYAL BANK OF CANADA N/A CA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) BNP PARIBAS SECURITIES SERVICES, FR N/A BE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) CANADA SELF CUSTODY - CDSX N/A CA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) DEUTSCHE BANK AG N/A FR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) DEUTSCHE BANK SOCIEDAD ANONIMA ESPA N/A ES N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) STATE STREET BK LONDON - CREST N/A GB N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) INTESA SANPAOLO SPA N/A IT N Y Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) HONGKONG AND SHANGHAI BANKING CORPO N/A NZ N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) SKANDINAVISKA ENSKILDA BANKEN AB N/A NO N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) DEUTSCHE BANK AG N/A PT N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) BANK HAPOALIM B.M. N/A IL N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) DEUTSCHE BANK AG N/A BE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) STATE STREET BANK AND TRUST COMPANY N/A GB N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) State Street Bank and Trust 571474TGEMMWANRLN572 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) DEUTSCHE BANK AG N/A NL N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) N ALPS Fund Services, Inc N/A Y N N ALPS Fund Services, Inc. N/A Y N N CREDIT SUISSE SECURITIES (USA) LLC 8-422 000000816 1V8Y6QCX6YMJ2OELII46 3178 RBC CAPITAL MARKETS, LLC 8-45411 000031194 549300LCO2FLSSVFFR64 3 3182 INTL FCSTONE CREDIT TRADING LLC 8-49291 000041025 549300AWF3TOHRYL7754 1102223 JPMORGAN DISTRIBUTION SERVICES, INC. 8-52700 000104234 N/A 1309528 DEUTSCHE BANK SECURITIES INC. 8-17822 000002525 9J6MBOOO7BECTDTUZW19 3207716 MORGAN STANLEY 8-68191 000149777 IGJSJL3JD5P30I6NJZ34 2794092 MERRILL LYNCH PROFESSIONAL CLEARING CORP. 8-33359 000016139 549300PMHS66E71I2D34 2310421 CITICORP SECURITIES SERVICES, INC. 8-32117 000015387 549300N0SOX9OZVKG341 7992008 RBC CAPITAL MARKETS, LLC 8-45411 000031194 549300LCO2FLSSVFFR64 6060798 GOLDMAN SACHS & CO. LLC 8-129 000000361 FOR8UP27PHTHYVLBNG30 4414578 BARCLAYS CAPITAL INC. 8-41342 000019714 AC28XWWI3WIBK2824319 3429591 NOMURA SECURITIES INTERNATIONAL, INC. 8-15255 000004297 OXTKY6Q8X53C9ILVV871 6913066 44716619 N 27277977 N N N true