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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 10b 100b

ALPS ADVISORS, INC.

CRD 134340

DENVER, CO

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:27e879d5-43ae-41a3-8741-5c3f7fb85efc

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:26 AM UTC and rebuilt at most every 15 minutes.

Relationships: 27
Dated events: 12
On other graphs: 0
Observed: Nov 21, 2011 to Mar 31, 2026
38 observations

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

Firm class: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=27.0
Regulatory AUM: $39BItem 5.F on the latest filing (2026-03-31); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $38B
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 15
RAUM per advisor: $2.6Bderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 73
Advisory employees: 28
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 22
Individual clients: 0
High net worth clients: 0
SEC number: 801-67135
CRD: 134340
Filings on the tape: 38
First filed: Nov 21, 2011
Latest filed: Mar 31, 2026
Organised: Corporation, CO
Website: alpsfunds.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
TARA JILL NECKEL	n/a	DENVER, CO	19	22	1	yes
ALECIA DAWN WELLEN	n/a	DENVER, CO	11	20	5	yes
KYLE THOMAS REILLY	n/a	DENVER, CO	4	11	n/a	yes
KARL JOSEF ZELLER	n/a	DENVER, CO	4	24	5	yes
LATON ANDREW SPAHR	Chartered Financial Analyst	DENVER, CO	3	17	1	yes
ALEXANDER JOHN LESKOWITZ HAGMEYER	Chartered Financial Analyst	DENVER, CO	3	13	n/a	no
ERIC PENDLETON HEWITT	n/a	DENVER, CO	3	13	1	yes
JUSTIN LOUIS HILLSTROM	n/a	DENVER, CO	3	11	n/a	yes
ROBERT DOUGLAS MCCLURE	n/a	DENVER, CO	3	24	1	yes
RICHARD EDWARD BAKER	n/a	DENVER, CO	3	12	n/a	yes
CHRISTOPHER MICHAEL PROCTOR	Chartered Financial Analyst	DENVER, CO	3	22	1	yes
Warren Beth	Chartered Financial Analyst	DENVER, CO	3	13	n/a	no
Robert Ridgway McLaughlin	Chartered Financial Analyst	DENVER, CO	3	11	1	no
Sahra Tzortzis	n/a	DENVER, CO	1	11	n/a	no
RYAN NICKLAUS STRELESKY	n/a	DENVER, CO	1	11	n/a	yes

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
ALPS HOLDINGS, INC.	Parent	E	yes	09/2005	Nov 21, 2011	Sep 20, 2024
DST SYSTEMS, INC.	Owner	E	yes	10/2011	Nov 21, 2011	Sep 20, 2024
HAGMEYER, ALEXANDER, JOHN LESKOWITZ	CO-CHIEF INVESTMENT OFFICER	Na	yes	06/2023	Jun 30, 2023	Sep 20, 2024
HEWITT, ERIC, PENDLETON	CO-CHIEF INVESTMENT OFFICER	Na	yes	06/2023	Jun 30, 2023	Sep 20, 2024
NOYES, RICHARD, CRAIG	SENIOR VP, GENERAL COUNSEL	Na	yes	02/2018	Mar 19, 2018	Sep 20, 2024
SPAHR, LATON, ANDREW	PRESIDENT, DIRECTOR	Na	yes	10/2019	Nov 4, 2019	Sep 20, 2024
SS&C TECHNOLOGIES HOLDINGS, INC.	Owner	E	yes	04/2018	Apr 30, 2018	Sep 20, 2024
SS&C TECHNOLOGIES, INC.	Owner	E	yes	04/2018	Apr 30, 2018	Sep 20, 2024
SUTULA, MATTHEW, JOSEPH	CHIEF COMPLIANCE OFFICER	Na	yes	11/2019	Sep 10, 2019	Sep 20, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
ALPS DISTRIBUTORS, INC.	n/a	n/a	n/a	N	yes	n/a
ALPS PORTFOLIO SOLUTIONS DISTRIBUTOR, INC.	n/a	n/a	n/a	N	yes	n/a
EZE CASTLE TRANSACTION SERVICES LLC	n/a	n/a	n/a	N	yes	n/a
EZE SOFTWARE GROUP PTY LIMITED	n/a	n/a	n/a	N	yes	n/a
SECOND STREET SECURITIES, INC.	n/a	n/a	n/a	N	yes	n/a
SS&C MARKET SERVICES, LLC	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Boston	Ma	United States	5	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 31, 2026	$39B	$38B	73	28	1	n/a	n/a
2024	Mar 31, 2025	$29B	$29B	74	28	1	n/a	n/a
2023	Mar 28, 2024	$24B	$24B	64	27	1	n/a	n/a
2022	Mar 31, 2023	$19B	$19B	64	24	1	n/a	n/a
2021	Mar 31, 2022	$18B	$18B	56	18	1	n/a	n/a
2020	Mar 30, 2021	$16B	$16B	53	16	1	n/a	n/a
2019	Mar 27, 2020	$15B	$15B	45	15	1	n/a	n/a
2018	Mar 26, 2019	$17B	$17B	46	14	1	n/a	n/a
2017	Mar 19, 2018	$18B	$18B	44	13	1	n/a	n/a
2016	Mar 29, 2017	$17B	$17B	50	14	n/a	n/a	n/a
2015	Mar 29, 2016	$13B	$13B	48	10	n/a	n/a	n/a
2014	Mar 31, 2015	$17B	$17B	40	10	n/a	n/a	n/a
2013	Mar 31, 2014	$13B	$13B	40	9	n/a	n/a	n/a
2012	Mar 28, 2013	$9.4B	$9.4B	22	9	n/a	n/a	n/a
2011	Dec 22, 2011	$4.5B	$4.5B	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$39B	$29B	35.7%	$19B	26.2%	73	74	1	1

Relationships

Registered with (16)

← RYAN NICKLAUS STRELESKYAdvisorregistration: current employment
Aug 21, 2025 to presentfactForm ADV
← Sahra TzortzisAdvisorregistration: current employment
Nov 25, 2024 to presentfactForm ADV
← CHRISTOPHER MICHAEL PROCTORAdvisorregistration: current employment
Aug 23, 2023 to presentfactForm ADV
← Warren BethAdvisorregistration: current employment
Aug 23, 2023 to presentfactForm ADV
← Robert Ridgway McLaughlinAdvisorregistration: current employment
Aug 23, 2023 to presentfactForm ADV
← RICHARD EDWARD BAKERAdvisorregistration: current employment
Aug 3, 2023 to presentfactForm ADV
← ROBERT DOUGLAS MCCLUREAdvisorregistration: current employment
Jul 5, 2023 to presentfactForm ADV
← JUSTIN LOUIS HILLSTROMAdvisorregistration: current employment
Mar 8, 2023 to presentfactForm ADV
← ERIC PENDLETON HEWITTAdvisorregistration: current employment
Jan 25, 2023 to presentfactForm ADV
← LATON ANDREW SPAHRAdvisorregistration: current employment
Dec 11, 2022 to presentfactForm ADV
← ALEXANDER JOHN LESKOWITZ HAGMEYERAdvisorregistration: current employment
Dec 11, 2022 to presentfactForm ADV
← KARL JOSEF ZELLERAdvisorregistration: current employment
Feb 4, 2022 to presentfactForm ADV
← KYLE THOMAS REILLYAdvisorregistration: current employment
Sep 26, 2021 to presentfactForm ADV
← ALECIA DAWN WELLENAdvisorregistration: previous registration
Aug 20, 2009 to May 30, 2014factForm ADV
← TARA JILL NECKELAdvisorregistration: current employment
Aug 9, 2007 to presentfactForm ADV
← JESSICA LYNN GAUERKEAdvisorregistration: previous registration
Sep 27, 2021 to Jun 17, 2022factForm ADV

Affiliated with (1)

← RED ROCKS CAPITAL LLCRegistered adviserother investment adviser, bank, control, common control
factForm ADV

Controls (8)

← HEWITT, ERIC, PENDLETONOwnerCO-CHIEF INVESTMENT OFFICER, ownership code NA, individual
Jun 30, 2023 to Sep 20, 2024factForm ADV
← SPAHR, LATON, ANDREWOwnerPRESIDENT, DIRECTOR, ownership code NA, individual
Nov 4, 2019 to Sep 20, 2024factForm ADV
← NOYES, RICHARD, CRAIGOwnerSENIOR VP, GENERAL COUNSEL, ownership code NA, individual
Mar 19, 2018 to Sep 20, 2024factForm ADV
← SUTULA, MATTHEW, JOSEPHOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Sep 10, 2019 to Sep 20, 2024factForm ADV
← HAGMEYER, ALEXANDER, JOHN LESKOWITZOwnerCO-CHIEF INVESTMENT OFFICER, ownership code NA, individual
Jun 30, 2023 to Sep 20, 2024factForm ADV
← ALPS HOLDINGS, INC.OwnerPARENT, ownership code E, domestic entity
Nov 21, 2011 to Sep 20, 2024factForm ADV
← DST SYSTEMS, INC.OwnerOWNER, ownership code E, domestic entity
Nov 21, 2011 to Sep 20, 2024factForm ADV
← SS&C TECHNOLOGIES HOLDINGS, INC.OwnerOWNER, ownership code E, domestic entity
Apr 30, 2018 to Sep 20, 2024factForm ADV

Dated events

Occurred
Mar 31, 2026
Regulatory AUM changed
Alps Advisors, Inc. reported RAUM $38.8B, up 26% from $30.8B (2025-09-30 to 2026-03-31)
Form ADVobserved 4 days ago
$8.1B
Occurred
Jun 30, 2023
Control person left
Robert William Parmentier (Senior Vp, Chief Investment Officer) no longer on Schedule A of Alps Advisors, Inc. (listed 2023-03-31, absent 2023-06-30)
Form ADVobserved 4 days ago
Occurred
Jun 30, 2023
Control person joined
Pendleton Eric Hewitt (Co-Chief Investment Officer) appeared on Schedule A of Alps Advisors, Inc.
Form ADVobserved 4 days ago
Occurred
Jun 30, 2023
Control person joined
John Leskowitz Alexander Hagmeyer (Co-Chief Investment Officer) appeared on Schedule A of Alps Advisors, Inc.
Form ADVobserved 4 days ago
Occurred
Jun 17, 2022
Advisor changed firm
Jessica Lynn Gauerke left Alps Advisors, Inc. for Midwest Financial Partners (registered 2024-06-10)
Form ADVobserved 4 days ago
Occurred
Jun 18, 2021
Control person left
John Bradley Swenson (Executive Vp, Director) no longer on Schedule A of Alps Advisors, Inc. (listed 2021-03-30, absent 2021-06-18)
Form ADVobserved 4 days ago
Occurred
Nov 4, 2019
Control person left
J Michael Sleightholme (President, Director) no longer on Schedule A of Alps Advisors, Inc. (listed 2019-09-10, absent 2019-11-04)
Form ADVobserved 4 days ago
Occurred
Nov 4, 2019
Control person joined
Andrew Laton Spahr (President, Director) appeared on Schedule A of Alps Advisors, Inc.
Form ADVobserved 4 days ago
Occurred
Sep 10, 2019
Control person left
Erin Nelson (Senior Vp, Chief Compliance Officer) no longer on Schedule A of Alps Advisors, Inc. (listed 2019-06-24, absent 2019-09-10)
Form ADVobserved 4 days ago
Occurred
Jun 24, 2019
Control person joined
J Michael Sleightholme (President, Director) appeared on Schedule A of Alps Advisors, Inc.
Form ADVobserved 4 days ago
Occurred
Jun 24, 2019
Control person left
Joseph Edmund Burke (Director) no longer on Schedule A of Alps Advisors, Inc. (listed 2019-03-26, absent 2019-06-24)
Form ADVobserved 4 days ago
Occurred
Jun 24, 2019
Control person left
Oppegard Jeremy May (Executive Vp, Director) no longer on Schedule A of Alps Advisors, Inc. (listed 2019-03-26, absent 2019-06-24)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:27e879d5-43ae-41a3-8741-5c3f7fb85efc
First observed: Nov 21, 2011
Last observed: Mar 31, 2026 5 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

ALPS ADVISORS, INC.

CRD 134340

DENVER, CO

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:27e879d5-43ae-41a3-8741-5c3f7fb85efc

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:26 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

TARA JILL NECKEL

n/a

DENVER, CO

yes

ALECIA DAWN WELLEN

n/a

DENVER, CO

yes

KYLE THOMAS REILLY

n/a

DENVER, CO

n/a

yes

KARL JOSEF ZELLER

n/a

DENVER, CO

yes

LATON ANDREW SPAHR

Chartered Financial Analyst

DENVER, CO

yes

ALEXANDER JOHN LESKOWITZ HAGMEYER

Chartered Financial Analyst

DENVER, CO

n/a

ERIC PENDLETON HEWITT

n/a

DENVER, CO

yes

JUSTIN LOUIS HILLSTROM

n/a

DENVER, CO

n/a

yes

ROBERT DOUGLAS MCCLURE

n/a

DENVER, CO

yes

RICHARD EDWARD BAKER

n/a

DENVER, CO

n/a

yes

CHRISTOPHER MICHAEL PROCTOR

Chartered Financial Analyst

DENVER, CO

yes

Warren Beth

Chartered Financial Analyst

DENVER, CO

n/a

Robert Ridgway McLaughlin

Chartered Financial Analyst

DENVER, CO

Sahra Tzortzis

n/a

DENVER, CO

n/a

RYAN NICKLAUS STRELESKY

n/a

DENVER, CO

n/a

yes

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ALPS HOLDINGS, INC.

Parent

yes

09/2005

Nov 21, 2011

Sep 20, 2024

DST SYSTEMS, INC.

Owner

yes

10/2011

Nov 21, 2011

Sep 20, 2024

HAGMEYER, ALEXANDER, JOHN LESKOWITZ

CO-CHIEF INVESTMENT OFFICER

yes

06/2023

Jun 30, 2023

Sep 20, 2024

HEWITT, ERIC, PENDLETON

CO-CHIEF INVESTMENT OFFICER

yes

06/2023

Jun 30, 2023

Sep 20, 2024

NOYES, RICHARD, CRAIG

SENIOR VP, GENERAL COUNSEL

yes

02/2018

Mar 19, 2018

Sep 20, 2024

SPAHR, LATON, ANDREW

PRESIDENT, DIRECTOR

yes

10/2019

Nov 4, 2019

Sep 20, 2024

SS&C TECHNOLOGIES HOLDINGS, INC.

Owner

yes

04/2018

Apr 30, 2018

Sep 20, 2024

SS&C TECHNOLOGIES, INC.

Owner

yes

04/2018

Apr 30, 2018

Sep 20, 2024

SUTULA, MATTHEW, JOSEPH

CHIEF COMPLIANCE OFFICER

yes

11/2019

Sep 10, 2019

Sep 20, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

ALPS DISTRIBUTORS, INC.

n/a

yes

n/a

ALPS PORTFOLIO SOLUTIONS DISTRIBUTOR, INC.

n/a

yes

n/a

EZE CASTLE TRANSACTION SERVICES LLC

n/a

yes

n/a

EZE SOFTWARE GROUP PTY LIMITED

n/a

yes

n/a

SECOND STREET SECURITIES, INC.

n/a

yes

n/a

SS&C MARKET SERVICES, LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Boston

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 31, 2026

$39B

$38B

n/a

2024

Mar 31, 2025

$29B

n/a

2023

Mar 28, 2024

$24B

n/a

2022

Mar 31, 2023

$19B

n/a

2021

Mar 31, 2022

$18B

n/a

2020

Mar 30, 2021

$16B

n/a

2019

Mar 27, 2020

$15B

n/a

2018

Mar 26, 2019

$17B

n/a

2017

Mar 19, 2018

$18B

n/a

2016

Mar 29, 2017

$17B

n/a

2015

Mar 29, 2016

$13B

n/a

2014

Mar 31, 2015

$17B

n/a

2013

Mar 31, 2014

$13B

n/a

2012

Mar 28, 2013

$9.4B

n/a

2011

Dec 22, 2011

$4.5B

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$39B

$29B

35.7%

$19B

26.2%