ALPs Advisors, Inc. (Denver)

Name: ALPs Advisors, Inc.
Address: 1290 Broadway, Suite 1100, Denver, CO, 80203
Telephone: 303-623-2577

ALPs Advisors, Inc. is a large advisory firm based in Denver. It manages $16.54 billion of regulatory assets for 46 client accounts. It has been registered with the SEC as an adviser since 2009 and has operated in the jurisdictions of Colorado and Massachusetts.

ALPs Advisors provides portfolio management for investment companies. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

ALPs Advisors: assets under management

The assets under management (AUM) of ALPs Advisors, Inc. is $16.54 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 1670% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $16.54 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $359.54 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay ALPs Advisors, Inc. for their services and products based on a percentage of assets under management and fixed fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Edmund Joseph Burke serves?

The only and largest group of clients of Edmund Joseph Burke is investment companies with 8 clients and $16.54 billion of assets under management. Among the 12 most similar advisory firms, ALPs Advisors has the highest percentage of investment companies out of all clients.

The amount of regulatory assets under management is $16.54 billion for 8 clients. None of the firm’s clients are foreign persons or businesses.

ALPs Advisors doesn't advise any private funds.

Careers at ALPs Advisors, Inc.

The company employs 46 people that are either part- or full-time employees. 30 percent of the employees work as investment advisers or researchers. 5 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Edmund Joseph Burke has been acting as President since 1 Apr 2001. Matthew Joseph Sutula joined the executive team most recently as the Interim Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Edmund Joseph Burke	Director	1 Apr 2001	Other	1263210
Thomas Anthony Carter	President, director	1 Jan 2004	Other	2558943
Jeremy Oppegard May	Executive vp, director	1 Jan 2004	Other	2744563
Inc. Alps Holdings	Parent	1 Sep 2005	75% - 100%	20-3247785
Bradley John Swenson	Senior vp, chief compliance officer	1 Aug 2006	Other	2666663
Tane Therese Tyler	Vp, general counsel; secretary	1 Aug 2006	Other	2190979
Diana M Adams	Vp, controller & treasurer	1 Aug 2006	Other	4689533
William Robert Parmentier	Senior vp, chief investment officer	1 Dec 2006	Other	4344324
Mark Timothy Haley	Vice president	1 Dec 2006	Other	2103501
Robert Joseph Szydlowski	Senior vp, chief technology officer	1 Feb 2007	Other	2198919
John Clive Donaldson	Vp, chief financial officer	1 Sep 2007	Other	2779714
Spencer Philip Hoffman	Director	1 Jun 2008	Other	2633044
Troy Anthony Duran	Senior vp, chief financial officer	1 Nov 2011	Other	2191599
Erin Nelson	Vp	1 Mar 2014	Other	5886040
Aisha Jamila Hunt	Senior vp, general counsel	1 Jul 2014	Other	6377560
Erin Nelson	Senior vp, chief compliance officer	1 Jul 2015	Other	5886040
Richard Craig Noyes	Senior vp, general counsel	1 Feb 2018	Other	4836373
Michael J Sleightholme	President, director	1 Jun 2019	Other	7139558
Matthew Joseph Sutula	Interim chief compliance officer	1 Sep 2019	Other	6209373

Indirect Owners

The SEC currently registers 9 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Lovell Minnick Partners Llc	Sole managing member	1 Feb 2004	Other	20-0493456
Lovell Minnick Holdings Llc	Sole managing member	1 Feb 2004	Other	20-0498914
Jeffrey Dale Lovell	Owner	1 Feb 2004	50% - 75%	1095362
James Edward Minnick	Owner	1 Feb 2004	25% - 50%	716204
Lovell Minnick Equity Advisors Ii Llc	Sole general partner	1 Mar 2005	Other	52-2414992
Lovell Minnick Equity Partners Ii Lp	Shareholder	1 Sep 2005	75% - 100%	52-2415003
Inc. Dst Systems	Owner	1 Oct 2011	75% - 100%	43-1581814
Inc. Ss&C Technologies	Owner	1 Apr 2018	75% - 100%	06-1169696
Inc. Ss&C Technologies Holdings	Owner	1 Apr 2018	75% - 100%	71-0987913

Based in Denver

The principal office where ALPs Advisors, Inc. performs its advisory services is located at 1290 Broadway, Suite 1100, Denver, CO 80203 The mailing address of the firm is Po Box 328, Denver, CO 80201 0328. An additional office of the firm is in Boston, MA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 303-623-2577 or by fax 303-623-7850. The normal business hours are 7:00am - 5:00pm on Monday - Friday. You can find more information about the New York firm at alpsfunds.com.