RED Rocks Capital LLC

RED Rocks Capital LLC is a limited liability company with 12 employees, whose advisory roles are held by five of them. Their client base size is unknown, but they are approved by the U.S. Securities and Exchange Commission (SEC) and were registered on June 18, 2007.

• ALPS ADVISORS, INC.

  PARENT, MEMBER owns 75% or more

• BRADLEY JOHN SWENSON

  EXECUTIVE VP owns less than 5%

• LATON ANDREW SPAHR

  PRESIDENT, MANAGING MEMBER owns less than 5%

• MATTHEW JOSEPH SUTULA

  INTERIM CHIEF COMPLIANCE OFFICER owns less than 5%

• RICHARD CRAIG NOYES

  SVP, GENERAL COUNSEL owns less than 5%

• ALPS HOLDINGS, INC.

  OWNER owns 75% or more

• DST SYSTEMS, INC.

  OWNER owns 75% or more

• SS&C TECHNOLOGIES HOLDINGS, INC.

  OWNER owns 75% or more

• SS&C TECHNOLOGIES, INC.

  OWNER owns 75% or more

• Seneca Management LLC
• HHM Associates Ltd
• Sharkey Howes & Javer Inc
• Crescat Portfolio Management LLC
• Revelstoke Capital Management LLC
• Davidson Fixed Income Management Inc
• RCF Management LLC
• Jupiter Wealth Management LLC
• 361 Capital LLC
• Cosyntris Advisory Network LLC

• Red Rocks Capital LLC Q1 2015 vs. Q2 2015 13F Holdings Comparison: A Look at the Top Companies in the Portfolios

• BLACKSTONE GROUP $76,223k
• BROOKFIELD ASSET MGT $55,483k
• KKR & CO L P DEL $51,261k
• CARLYLE GROUP L P $48,233k
• DANAHER CORP $26,441k
• ARES MGMT L P $12,759k
• B. Riley Wealth Management, Inc. $12,593k
• ARES CAP CORP $12,457k
• MACQUARIE INFRASTRUCTURE COR $28k
• BROOKFIELD INFR PRTR $22k