Alps Advisors, Inc.

RIASEC RegisteredEst. 2006

Total AUM

$38.8B

Discretionary

$38.3B

99% of AUM

Avg account

$1.8B

Accounts

22

Employees

73

Advisory reps

17

Firm details

Headquarters: Denver, Colorado
CRD number: 134340
Registered since: September 12, 2006
Website: www.alpsadvisors.com
Fee structure: Percentage of AUM, Fixed Fees, Other
Client types: Investment Companies95.54%
Other Investment Advisers4.46%
Services: Portfolio Management for Investment CompaniesPortfolio Management for Institutional Clients

Firm profile

FINTRX

Overview

Alps Advisors, Inc. is an institutional RIA founded in 2006 that serves primarily institutional clients, including investment companies and businesses. The firm operates as a corporation and engages in portfolio management for institutions; it also conducts CPO/CTA activities and maintains a broker-dealer affiliation. Fee arrangements include percentage-of-AUM, fixed fees and other structures. Alps Advisors signals an ESG focus as an active ESG investor.

Assets & Accounts

Public Holdings

Investments & Alternatives

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Investment profile

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

CRM & tech providers

TAMPs used

Clients

Client base

Client personas

Asset composition

Exchange Traded Equities73%
Public Funds/Mutual Funds19%
State & Local Bonds4%
Investment Grade Corp Bonds2%
US Government Bonds1%

Owners & executives

3 of 3

Eric Hewitt
CIOCRD 2630132
Matthew Sutula
Chief Compliance OfficerCRD 6209373
Robert McLaughlin
Chief Operating OfficerCRD 7479644

Contacts

3 of 14

Tara Neckel
Vice PresidentCRD 4051739
Alexander Hagmeyer
Sr. DirectorCRD 7641756
Ryan Strelesky
Senior Compliance ManagerCRD 6112756

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Wealth teams

Newly hired reps

Recent M&A activity

Recent filings

Awards

ETF holdings

1 of 39

Active vs passive

$939M in ETFs

Passive

82%

$767M

Active

18%

$172M

ETF	Provider	Style	Category	Value	Shares	% of portfolio
VANGUARD TOTAL STOCK MARKET INDEX FUND (VTI)	Vanguard	Passive	Large Blend	$171M	462,607	18.22%

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Primary office

Denver, CO

Denver

Location

Denver, CO

Headquartered in Denver, CO, anchoring the Denver-Aurora, CO metro in the West.

Metro area: Denver-Aurora, CO
Region: West
County: Denver
Address: 1290 N Broadway
Time zone: MT (UTC-7)
Office locations

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