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Name

As of 11/25/2024

Price

Aum/Mkt Cap

YIELD

Annualized forward dividend yield. Multiplies the most recent dividend payout amount by its frequency and divides by the previous close price.

Exp Ratio

Expense ratio is the fund’s total annual operating expenses, including management fees, distribution fees, and other expenses, expressed as a percentage of average net assets.

Watchlist

ALPS Active Equity Opportunity ETF

RFFC | Active ETF

$59.90

$23.8 M

0.91%

$0.54

0.48%

Vitals

YTD Return

27.5%

1 yr return

33.5%

3 Yr Avg Return

10.2%

5 Yr Avg Return

12.9%

Net Assets

$23.8 M

Holdings in Top 10

34.7%

52 WEEK LOW AND HIGH

$59.8
$45.13
$60.02

Expenses

OPERATING FEES

Expense Ratio 0.48%

SALES FEES

Front Load N/A

Deferred Load N/A

TRADING FEES

Turnover N/A

Redemption Fee N/A

Min Investment

Standard (Taxable)

N/A

IRA

N/A

Fund Classification

Fund Type

Exchange Traded Fund

Name

As of 11/25/2024

Price

Aum/Mkt Cap

YIELD

Annualized forward dividend yield. Multiplies the most recent dividend payout amount by its frequency and divides by the previous close price.

Exp Ratio

Expense ratio is the fund’s total annual operating expenses, including management fees, distribution fees, and other expenses, expressed as a percentage of average net assets.

Watchlist

ALPS Active Equity Opportunity ETF

RFFC | Active ETF

$59.90

$23.8 M

0.91%

$0.54

0.48%

RFFC - Profile

Distributions

  • YTD Total Return 27.5%
  • 3 Yr Annualized Total Return 10.2%
  • 5 Yr Annualized Total Return 12.9%
  • Capital Gain Distribution Frequency N/A
  • Net Income Ratio 0.97%
DIVIDENDS
  • Dividend Yield 0.9%
  • Dividend Distribution Frequency Quarterly

Fund Details

  • Legal Name
    ALPS Active Equity Opportunity ETF
  • Fund Family Name
    ALPS Advised Funds
  • Inception Date
    Jun 06, 2016
  • Shares Outstanding
    825002
  • Share Class
    N/A
  • Currency
    USD
  • Domiciled Country
    US
  • Manager
    Adam Grossman

Fund Description

Under normal market conditions, the Fund will seek to achieve its investment objective by investing at least 80% of its net assets in a portfolio of equity securities. Equity securities include common stocks and common or preferred shares of real estate investment trusts (“REITs”).

The primary decision factor in selecting the Fund’s portfolio’s securities is the combination of dividend-paying stocks and stocks determined to have high or improving return on invested capital (“ROIC”). In addition to considering economic factors such as the effect of interest rates on the Fund’s investments, the portfolio managers typically apply a “bottom up” approach in choosing investments. Due to the nature of the securities in which the Fund invests, the Fund may have relatively high portfolio turnover compared to other funds. The portfolio managers use a disciplined sell strategy for the Fund. The portfolio managers may sell securities because of a deterioration of the underlying company’s financials, such as earnings or cash flow, or because of an increase in the price of a security that would make it expensive relative to the other securities held by the Fund. Other reasons may include a change in management or control of the company, a need to raise cash or changes in the regulatory or economic environment in which the company operates. Portfolio managers can also sell any security at their discretion based on changes in expected valuation, volatility or other statistical or fundamental parameters.

The Fund may invest in small-, mid- and large-capitalization companies. The Fund will normally invest at least 75% of its net assets in securities of U.S. issuers. The Fund considers a “U.S. issuer” to be one (i) domiciled or with a principal place of business or primary securities trading market in the United States, or (ii) that derives more than 50% of its total revenues or profits from the United States. The Fund may invest substantially in companies in the financial services sector. The Fund may also invest in other exchange-traded funds (“ETFs”) and/or closed-end funds which invest in equity securities.

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RFFC - Performance

Return Ranking - Trailing

Period RFFC Return Category Return Low Category Return High Rank in Category (%)
YTD 27.5% 3.4% 46.2% 18.80%
1 Yr 33.5% 6.0% 58.5% 23.66%
3 Yr 10.2%* -4.4% 17.4% 33.53%
5 Yr 12.9%* -7.7% 110.2% 69.41%
10 Yr N/A* -0.3% 52.5% 80.56%

* Annualized

Return Ranking - Calendar

Period RFFC Return Category Return Low Category Return High Rank in Category (%)
2023 17.7% -42.6% 47.4% 55.21%
2022 -15.7% -56.3% -4.2% 11.64%
2021 21.4% -27.2% 537.8% 29.78%
2020 10.3% -22.5% 2181.7% 59.15%
2019 23.0% -13.5% 40.4% 51.65%

Total Return Ranking - Trailing

Period RFFC Return Category Return Low Category Return High Rank in Category (%)
YTD 27.5% 3.4% 46.2% 18.80%
1 Yr 33.5% 6.0% 58.5% 23.66%
3 Yr 10.2%* -4.4% 17.4% 33.53%
5 Yr 12.9%* -7.7% 110.2% 69.41%
10 Yr N/A* -0.3% 52.5% N/A

* Annualized

Total Return Ranking - Calendar

Period RFFC Return Category Return Low Category Return High Rank in Category (%)
2023 19.5% -5.0% 47.4% 72.60%
2022 -14.6% -36.8% -2.2% 23.70%
2021 22.3% 3.0% 537.8% 88.00%
2020 12.0% -15.8% 2266.0% 80.92%
2019 24.8% -0.4% 241.3% 89.12%

RFFC - Holdings

Concentration Analysis

RFFC Category Low Category High RFFC % Rank
Net Assets 23.8 M 2.34 M 1.55 T 97.47%
Number of Holdings 60 2 3963 70.89%
Net Assets in Top 10 7.87 M 880 K 517 B 98.20%
Weighting of Top 10 34.72% 0.3% 112.9% 59.85%

Top 10 Holdings

  1. Apple, Inc. 6.52%
  2. NVIDIA Corp. 4.23%
  3. Microsoft Corp. 3.66%
  4. JPMorgan Chase Co. 3.39%
  5. State Street Institutional Treasury Plus Money Market Fund 3.38%
  6. Amazon.com, Inc. 3.33%
  7. Alphabet, Inc. 2.91%
  8. UnitedHealth Group, Inc. 2.59%
  9. Taiwan Semiconductor Manufacturing Co., Ltd. 2.39%
  10. Walmart, Inc. 2.33%

Asset Allocation

Weighting Return Low Return High RFFC % Rank
Stocks 		96.53% 0.00% 105.85% 86.92%
Cash 		3.47% 0.00% 99.07% 11.77%
Preferred Stocks 		0.00% 0.00% 2.53% 66.15%
Other 		0.00% -13.91% 100.00% 73.43%
Convertible Bonds 		0.00% 0.00% 5.54% 65.46%
Bonds 		0.00% 0.00% 94.06% 67.87%

Stock Sector Breakdown

Weighting Return Low Return High RFFC % Rank
Technology 		24.45% 0.00% 48.94% 47.46%
Healthcare 		16.56% 0.00% 52.29% 18.82%
Financial Services 		13.59% 0.00% 55.59% 46.79%
Consumer Cyclical 		7.56% 0.00% 30.33% 83.76%
Energy 		6.90% 0.00% 41.64% 7.83%
Industrials 		6.53% 0.00% 29.90% 91.67%
Consumer Defense 		6.31% 0.00% 47.71% 66.78%
Communication Services 		5.96% 0.00% 27.94% 80.35%
Basic Materials 		5.60% 0.00% 25.70% 9.24%
Real Estate 		3.77% 0.00% 31.91% 19.23%
Utilities 		2.78% 0.00% 20.91% 46.04%

Stock Geographic Breakdown

Weighting Return Low Return High RFFC % Rank
US 		96.53% 0.00% 105.85% 75.47%
Non US 		0.00% 0.00% 64.54% 70.97%

RFFC - Expenses

Operational Fees

RFFC Fees (% of AUM) Category Return Low Category Return High Rank in Category (%)
Expense Ratio 0.48% 0.01% 19.75% 75.06%
Management Fee 0.48% 0.00% 1.90% 44.86%
12b-1 Fee N/A 0.00% 1.00% N/A
Administrative Fee N/A 0.00% 0.85% N/A

Sales Fees

RFFC Fees (% of AUM) Category Return Low Category Return High Rank in Category (%)
Front Load N/A 1.00% 5.75% N/A
Deferred Load N/A 1.00% 5.00% N/A

Trading Fees

RFFC Fees (% of AUM) Category Return Low Category Return High Rank in Category (%)
Max Redemption Fee N/A 0.25% 2.00% N/A

Related Fees

Turnover provides investors a proxy for the trading fees incurred by mutual fund managers who frequently adjust position allocations. Higher turnover means higher trading fees.

RFFC Fees (% of AUM) Category Return Low Category Return High Rank in Category (%)
Turnover N/A 0.00% 268.00% 90.57%

RFFC - Distributions

Dividend Yield Analysis

RFFC Category Low Category High RFFC % Rank
Dividend Yield 0.91% 0.00% 25.47% 58.44%

Dividend Distribution Analysis

RFFC Category Low Category High Category Mod
Dividend Distribution Frequency Quarterly Annual Quarterly Quarterly

Net Income Ratio Analysis

RFFC Category Low Category High RFFC % Rank
Net Income Ratio 0.97% -54.00% 2.44% 34.25%

Capital Gain Distribution Analysis

RFFC Category Low Category High Capital Mode
Capital Gain Distribution Frequency Annually Semi-Annually Semi-Annually

Distributions History

View More +

RFFC - Fund Manager Analysis

Managers

Adam Grossman

Start Date

Tenure

Tenure Rank

Jun 06, 2016

5.99

6.0%

Adam serves as the Global Equity CIO, responsible for the investments of the US Equity and International Equity teams. In addition, he serves as the Co-Head of the Investment Committee and serves on the Operating Committee. He brings nearly 20 years’ worth of industry experience in quantitative risk management and portfolio analytics. Adam is responsible for the equity decisions made in the various strategies and the development of the factor models used in the investment processes at RiverFront. Prior to joining RiverFront, Adam worked at the Virginia Retirement System (VRS), where he managed International Equity and REIT Portfolios and developed research on equity selection and portfolio construction. He began his investment career as a fixed income analyst at VRS. Adam earned a BS from Baldwin-Wallace College with a double major in Mathematical Economics and Finance, and an MA in Financial Economics from Virginia Commonwealth University. He received his Chartered Financial Analyst® designation in 2009.

Chris Konstantinos

Start Date

Tenure

Tenure Rank

Jun 06, 2016

5.99

6.0%

Mr. Konstantinos is a co-manager of each Fund. In this role, he is responsible for both asset allocation and selection decisions. He is a Co-Chair of RiverFront’s Investment Committee and also serves on the RiverFront Investment Group, LLC’s Executive Committee. Mr. Konstantinos has been with RiverFront since the company’s founding in 2008. He began his career in 2000 as a corporate finance analyst in the Technology sector at a predecessor to Wachovia Securities. He joined Wachovia’s Advisory Services Group in 2002 as an equity strategist, and worked in various capacities within equity strategy and portfolio management until his departure in 2008. Mr. Konstantinos earned his BS in Business Administration from the Kenan-Flagler School of Business at the University of North Carolina at Chapel Hill. Mr. Konstantinos received his CFA designation in 2013 and holds FINRA Series 7 and 66 licenses.

Tenure Analysis

Category Low Category High Category Average Category Mode
0.04 39.02 7.25 2.42

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