ALPS ADVISORS, INC.

CRD 134340File 801-67135

APPROVED

Filing as of Sep 30, 2026

Feed vintage Oct 1, 2026

Regulatory AUM

$38.83B

Top 10% of cohort (national)

Discretionary AUM

$38.29B

Non-discretionary $537.1M

Clients

22 accounts

Employees

Top 10% of cohort in CO

Identity & registration

ADV Item 1

Organization form: Corporation
Firm type: Registered
SEC region: DRO
Registration date: Sep 12, 2006
Principal office: 1290 BROADWAY, SUITE 1000, DENVER, CO, 80203
Phone: 303-623-2577
Website: HTTPS://WWW.ALPSFUNDS.COM

Assets & accounts

ADV Item 5F

Total regulatory AUM: $38.83B
Discretionary AUM: $38.29B
Non-discretionary AUM: $537.1M
Discretionary accounts: 19
Non-discretionary accounts: 3
Total accounts: 22
AUM per client: $1.77B

Clients by type

ADV Item 5D

Client type	Clients	AUM
Investment companies	8	$37.10B
Other investment advisers	14	$1.73B

Compensation & activities

ADV Items 5E, 5G

Compensation

Other
Fixed fees
Other (described) — QUARTERLY, ASSET-BASED LICENSING FEE
A percentage of assets under your management

Advisory activities

Portfolio management for businesses
Portfolio management for investment companies

Custody

ADV Item 9

Firm Custody Cash: No
Firm Custody Assets: No
Firm Custody Clients: No
Firm Custody Securities: No
Related Person Custody Cash: No
Related Person Custody Assets: No
Related Person Custody Clients: No
Related Person Custody Securities: No

Disclosure events

ADV Item 11

This firm answered no to every Item 11 disclosure question in this filing.

Filed changes

Date	Field	From	To	Change
Apr 1, 2026	Employees	74	73	decreased by1
Apr 1, 2026	Clients	17	22	increased by5
Apr 1, 2026	AUM	$30,756,201,205	$38,832,034,748	increased by$8,075,833,543
Apr 1, 2026	Accounts	17	22	increased by5
Dec 1, 2025 vs May 1, 2025	Clients	12	17	increased by5
Dec 1, 2025 vs May 1, 2025	AUM	$28,608,287,124	$30,756,201,205	increased by$2,147,914,081
Dec 1, 2025 vs May 1, 2025	Accounts	12	17	increased by5
May 1, 2025 vs Oct 1, 2022	Employees	56	74	increased by18
May 1, 2025 vs Oct 1, 2022	Clients	8	12	increased by4
May 1, 2025 vs Oct 1, 2022	AUM	$18,876,170,687	$28,608,287,124	increased by$9,732,116,437
May 1, 2025 vs Oct 1, 2022	Accounts	8	12	increased by4
Sep 1, 2022	AUM	$18,465,038,566	$18,876,170,687	increased by$411,132,121
Apr 1, 2022	Employees	53	56	increased by3
Apr 1, 2022	Clients	9	8	decreased by1
Apr 1, 2022	AUM	$16,170,093,064	$18,465,038,566	increased by$2,294,945,502

On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.

See plans that list “ALPS ADVISORS” as a service provider on 5500mcp →

Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“ALPS ADVISORS” may also match similarly-named firms). Confirm identity against each filing.

Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.