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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

KARL JOSEF ZELLER

Advisor at ALPS ADVISORS, INC.

DENVER, CO

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Search this name across graphsid dfx:ria:25ce64be-6af4-7c4d-9f4c-5e9031cff03c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:21 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jul 16, 2002 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: ALPS ADVISORS, INC.
Current firm class: asset managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 11, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Jul 11, 2002
First registration: Jul 16, 2002
Dual registered: yes, broker-dealer
IAPD individual key: 4290109

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
ALPS ADVISORS, INC.	Asset manager	Feb 4, 2022	n/a	yes	DENVER, CO	Current employment
M&T SECURITIES, INC.	n/a	Sep 17, 2018	Jun 8, 2021	no	Villanova, PA\|VILLANOVA, PA\|Radnor, PA	Previous registration
BNY MELLON SECURITIES CORPORATION	Other adviser	Mar 16, 2015	Jan 2, 2018	no	PLYMOUTH MEETING, PA	Previous registration
TURNER INVESTMENTS, L.P.	Former SEC adviser	Dec 1, 2004	Feb 12, 2015	no	BERWYN, PA	Previous registration
TURNER INVESTMENTS, L.P.	Former SEC adviser	Jan 30, 2003	Dec 1, 2004	no	BERWYN, PA	Previous registration
RITTENHOUSE ASSET MANAGEMENT, INC.	n/a	Jul 16, 2002	Dec 12, 2002	no	RADNOR, PA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
M&T SECURITIES, INC.	ALPS ADVISORS, INC.	Jun 8, 2021	Feb 4, 2022	241	Firm change	Other
BNY MELLON SECURITIES CORPORATION	M&T SECURITIES, INC.	Jan 2, 2018	Sep 17, 2018	258	Firm change	Other
TURNER INVESTMENTS, L.P.	BNY MELLON SECURITIES CORPORATION	Feb 12, 2015	Mar 16, 2015	32	Firm change	Other
RITTENHOUSE ASSET MANAGEMENT, INC.	TURNER INVESTMENTS, L.P.	Dec 12, 2002	Jan 30, 2003	49	Firm change	Other

Relationships

Registered with (5)

→ ALPS ADVISORS, INC.Registered adviserregistration: current employment
Feb 4, 2022 to presentfactForm ADV
→ M&T SECURITIES, INC.Registered adviserregistration: previous registration
Sep 17, 2018 to Jun 8, 2021factForm ADV
→ BNY MELLON SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Mar 16, 2015 to Jan 2, 2018factForm ADV
→ TURNER INVESTMENTS, L.P.Registered adviserregistration: previous registration
Dec 1, 2004 to Feb 12, 2015factForm ADV
→ RITTENHOUSE ASSET MANAGEMENT, INC.Registered adviserregistration: previous registration
Jul 16, 2002 to Dec 12, 2002factForm ADV

Dated events

No dated event names this entity yet.