# EDGAR Filing Document

**Accession Number:** 0001049169
**File Stem:** 0001049169-23-000006
**Filing Date:** 2023-3
**Character Count:** 7583
**Document Hash:** 7ed942cafc6bc363e4103920d3f48482
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001049169-23-000006.hdr.sgml**: 20230331

**ACCESSION NUMBER**: 0001049169-23-000006

**CONFORMED SUBMISSION TYPE**: TA-1/A

**PUBLIC DOCUMENT COUNT**: 1

**FILED AS OF DATE**: 20230323

**DATE AS OF CHANGE**: 20230331

**EFFECTIVENESS DATE**: 20230402

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** ALPS FUND SERVICES, INC.
- **CENTRAL INDEX KEY:** 0001049169
- **IRS NUMBER:** 000000000
- **STATE OF INCORPORATION:** CO
- **FISCAL YEAR END:** 0930

**FILING VALUES:**
- **FORM TYPE:** TA-1/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 084-05730
- **FILM NUMBER:** 23784903

**BUSINESS ADDRESS:**
- **STREET 1:** P.O. BOX 328
- **CITY:** DENVER
- **STATE:** CO
- **ZIP:** 80201-0328
- **BUSINESS PHONE:** 303.623.2577

**MAIL ADDRESS:**
- **STREET 1:** P.O. BOX 328
- **CITY:** DENVER
- **STATE:** CO
- **ZIP:** 80201-0328

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** ALPS FUNDS SERVICES INC /CO/ /TA
- **DATE OF NAME CHANGE:** 19971106

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM TA-1

### UNIFORM FORM OF APPLICATION FOR REGISTRATION AS A TRANSFER AGENT

### Registrant Information

**Appropriate regulatory agency:** SEC

**Full name of Registrant:** ALPS FUND SERVICES, INC.

**FINS Number:** 332981

**Address of principal office where transfer agent activities are performed:** 1290 Broadway, Suite 1000, Denver, CO, 80203

**Is mailing address different from principal office address?:** No

**Telephone Number:** 303-623-2577

**Does registrant conduct business in other locations?:** Yes

**Other Business Location Address 1:** 430 W 7th St, Kansas City, MO, 64105

**Is registrant a self-transfer agent?:** No

**Does registrant engage a service company to perform any of its transfer agent functions?:** No

**Is registrant engaged as a service company by a named transfer agent?:** No

### Ownership and Control Information

**Registrant Type:** Corporation

**Does any other person control the management or policies of the applicant?:** Yes

- **Controlling Entity Name:** ALPS Holdings Inc., a DST Systems, Inc. company

- **Agreement Description:** ALPS Fund Services, Inc. is a wholly owned subsidiary of ALPS Holdings, Inc., which is a subsidiary of DST Systems, Inc.

**Does any other person directly or indirectly finance the applicant?:** No

**Control Affiliates Information:**

| Entity Name        | Relationship Start Date   | Title or Status                          | Ownership Code   | Control Person   |
|:---|:---|:---|:---|:---|
| Patricia P. Lobato | 09/12/2008                | SVP, Director of Creative Services       | NA               | Yes              |
| Richard Noyes      | 07/01/2016                | SVP, General Counsel                     | NA               | Yes              |
| Patrick J. Pedonti | 04/16/2018                | VP, Treasurer and Asst. Secretary        | NA               | Yes              |
| Eric T. Parsons    | 08/01/2012                | VP, Controller and Asst. Treasurer       | NA               | Yes              |
| Una Troy           | 06/26/2019                | Director and President                   | NA               | Yes              |
| Stephen Kyllo      | 07/05/2020                | SVP, Director & Chief Compliance Officer | NA               | Yes              |
| Jason White        | 09/01/2021                | Secretary                                | NA               | Yes              |

### Disciplinary History

- **Convicted/plead guilty to any felony or investment-related misdemeanor?:** No

- **Convicted/plead guilty to any other felony?:** No

- **Enjoined in connection with any investment-related activity?:** No

- **Found to have violated any investment-related statute or regulation?:** No

- **Made a false statement or omission in a filing with the SEC?:** No

- **Found to have violated SRO rules or failed to supervise?:** Yes

  - **Details #1:**

    - **Entity Name:** ALPS Fund Services, Inc.

    - **Action Title:** Administrative Proceeding, File No. 3-16672

    - **Action Date:** 07/01/2015

    - **Court/Body Name and Location:** U.S. Securities and Exchange Commission

    - **Action Description:** The auditor violated the SEC's auditor independence rules. AFS provides compliance related services to the funds, by furnishing a CCO to the funds who, consistent with Rule 38a-1 under the Investment Company Act of 1940, administered the funds' compliance policies and procedures. The SEC found that the funds did not adopt sufficient additional written policies and procedures reasonably designed to prevent violation of the SEC's auditor independent rules.

    - **Disposition:** Without admitting or denying the findings, AFS settled charges that it caused the funds to violate Rule 38a-1.

- **Had authorization to act as a financial professional denied, suspended, or revoked?:** No

- **Had a registration as a financial professional denied, suspended, or revoked?:** No

- **Federal/State agency found a false statement or omission?:** No

- **Federal/State agency found a violation of investment-related regulations?:** No

- **Federal/State agency denied, suspended, or revoked authorization?:** No

- **Federal/State agency entered an order against the applicant?:** No

- **Federal/State agency denied, suspended, or revoked registration?:** Yes

  - **Details #1:**

    - **Entity Name:** ALPS Distributors, Inc.

    - **Action Title:** 2011029728201

    - **Action Date:** 10/14/2015

    - **Court/Body Name and Location:** Financial Industry Regulatory Authority, Inc.

    - **Action Description:** It was alleged that over an approximate three-year period from July 1, 2011 to August 31, 2011, ADI improperly processed creation and redemption orders in Exchange-Traded Products.

    - **Disposition:** Settlement reached. On October 14, 2015, FINRA issued the final Notice of Acceptance of Acceptance, Waiver and Consent No. 20110297282-01.

- **Federal/State agency revoked or suspended a license?:** No

- **SRO found a false statement or omission?:** No

- **SRO found a violation of its rules?:** Yes

  - **Details #1:**

    - **Entity Name:** ALPS Distributors, Inc.

    - **Action Title:** FINRA Letter of Acceptance, Waiver and Consent No. 20110297282-01

    - **Action Date:** 10/14/2015

    - **Court/Body Name and Location:** FINRA

    - **Action Description:** ADI received and responded to a series of FINRA requests for information in connection with FINRA's review of creations and redemptions of certain exchange-traded products for which ADI acted as distributor or marketing agent for a 60-day period in 2011. On October 14, 2014, FINRA issued a FINRA Notice of Acceptance of a Letter of Acceptance, Waiver and Consent No. 20110297282-01. ADI consented to the entry of the AWC without admitting or denying the findings.

    - **Disposition:** ADI has implemented procedures to address the issues identified in the AWC.

- **SRO denied, suspended, or revoked authorization?:** No

- **SRO revoked or suspended a license?:** No

- **Subject of an order or finding by a foreign financial regulatory authority?:** No

- **Currently the subject of any proceeding that could result in a 'yes' answer to any of the above?:** No

- **Had a bond revoked for disorderly conduct, fraud, or dishonesty?:** No

- **Have any unsatisfied judgments or liens against them?:** No

### Signature

**Signature:** Una Troy

**Title:** Director and President

**Date:** 03/23/2023

**Phone Number:** 303-623-2577