ALPS SERIES TRUST Fund Family
| Fund | Settlement Date | Minimum Investment Amounts | |||
|---|---|---|---|---|---|
| Taxable Initial | Taxable Subsequent | Non-Taxable Initial | Non-Taxable Subsequent | ||
| ALPS SMITH BALANCED OPPORTUNITY FUND (ALIBX) View Prospectus |
1 | $0.00 | $0.00 | $0.00 | $0.00 |
| ALPS SMITH BALANCED OPPORTUNITY FUND (ALPBX) View Prospectus |
1 | $0.00 | $0.00 | $0.00 | $0.00 |
| BEACON TRUST ACCELERATED RTN STRAT INST (BARLX) View Prospectus |
1 | $1,000,000.00 | $0.00 | $1,000,000.00 | $0.00 |
| BEACON TRUST PLANNED RTN STRAT INST (BPRLX) View Prospectus |
1 | $1,000,000.00 | $0.00 | $1,000,000.00 | $0.00 |
| CLARKSTON FOUNDERS FOUNDERS (CFMDX) View Prospectus |
1 | $0.00 | $0.00 | $0.00 | $0.00 |
| CLOUGH CHINA FD CL A (CHCAX) View Prospectus |
1 | $100.00 | $0.00 | $100.00 | $0.00 |
| CLOUGH CHINA FD CL INV (CHNAX) View Prospectus |
1 | $0.00 | $0.00 | $0.00 | $0.00 |
| CLOUGH CHINA FD CL I (CHNIX) View Prospectus |
1 | $0.00 | $0.00 | $0.00 | $0.00 |
| CLARKSTON FD INST (CILGX) View Prospectus |
1 | $0.00 | $0.00 | $0.00 | $0.00 |
| CLARKSTON FOUNDERS FUND INST (CIMDX) View Prospectus |
1 | $0.00 | $0.00 | $0.00 | $0.00 |
| CLARKSTON PARTNERS FD INST (CISMX) View Prospectus |
1 | $0.00 | $0.00 | $0.00 | $0.00 |
| CLOUGH FDS TR CLOUGH GLOBL INV (CLOAX) View Prospectus |
1 | $0.00 | $0.00 | $0.00 | $0.00 |
| ALPS SER TR DDJ OPPR INSTL C (DDJIX) View Prospectus |
1 | $1,000,000.00 | $0.00 | $1,000,000.00 | $0.00 |
| FUNDVANTAGE TR DDJ OPP HGH II C (DDJRX.OLD) View Prospectus |
1 | $0.00 | $0.00 | $0.00 | $0.00 |
| FINANCIAL INVS TR GLOBAL INV CL (GGSOX) View Prospectus |
1 | $0.00 | $0.00 | $0.00 | $0.00 |
| FINANCIAL INVS TR GLOBAL INSTL CL (GGSYX) View Prospectus |
1 | $0.00 | $0.00 | $0.00 | $0.00 |
| FINANCIAL INVS TR INTL FD INV CL (GISOX) View Prospectus |
1 | $0.00 | $0.00 | $0.00 | $0.00 |
| FINANCIAL INVS TR INTL FD INSTL CL (GISYX) View Prospectus |
1 | $0.00 | $0.00 | $0.00 | $0.00 |
| FINANCIAL INVS TR GLOBAL INSTL CL (GPGIX) View Prospectus |
1 | $0.00 | $0.00 | $0.00 | $0.00 |
| FINANCIAL INVS TR INTL INSTL CL (GPIIX) View Prospectus |
1 | $0.00 | $0.00 | $0.00 | $0.00 |
| FINANCIAL INVS TR GLOBAL INSTL CL (GPMCX) View Prospectus |
1 | $0.00 | $0.00 | $0.00 | $0.00 |
| FINANCIAL INVS TR GLOBAL INSTL CL (GPRIX) View Prospectus |
1 | $0.00 | $0.00 | $0.00 | $0.00 |
| FINANCIAL INVS TR US FD INSTL CL (GUSYX) View Prospectus |
1 | $0.00 | $0.00 | $0.00 | $0.00 |
| HILLMAN VALUE FD NO LOAD (HCMAX) View Prospectus |
1 | $0.00 | $0.00 | $0.00 | $0.00 |
| FINANCIAL INVS TR ALPS KT IN ESG A (INAAX) View Prospectus |
1 | $2,500.00 | $0.00 | $500.00 | $0.00 |
| FINANCIAL INVS TR ALPS/KT ESG INV (INDAX) View Prospectus |
1 | $0.00 | $0.00 | $0.00 | $0.00 |
| FINANCIAL INVS TR ALPS/KT IN ESG I (INDIX) View Prospectus |
1 | $0.00 | $0.00 | $0.00 | $0.00 |
| ALPS CORE CMDY MGMT COMPLETE CMDY STRAT (JCCSX) View Prospectus |
1 | $100.00 | $0.00 | $100.00 | $0.00 |
| ALPS CORE CMDY MGMT COMPLETE CMDY STRAT (JCRAX) View Prospectus |
1 | $0.00 | $0.00 | $0.00 | $0.00 |
| ALPS CORE CMDY MGMT COMPLETE CMDY STRAT (JCRIX) View Prospectus |
1 | $0.00 | $0.00 | $0.00 | $0.00 |
| ALPS RED ROCK GLOBAL OPPORTUNITY FD INV (LPEFX) View Prospectus |
1 | $0.00 | $0.00 | $0.00 | $0.00 |
| ALPS RED ROCK GLOBAL OPPORTUNITY FD CL R (LPERX) View Prospectus |
1 | $0.00 | $0.00 | $0.00 | $0.00 |
| ALPSRED ROCKS GLOBAL OPPORTUNITY A (LPFAX) View Prospectus |
1 | $2,500.00 | $0.00 | $500.00 | $0.00 |
| RIVERFRONT ASSET ALLOC GWTH & INCM A (RAGIX) View Prospectus |
1 | $100.00 | $0.00 | $100.00 | $0.00 |
| RIVERFRONT ASSET ALLOC AGGRESSIVE A (RLAAX) View Prospectus |
1 | $100.00 | $0.00 | $100.00 | $0.00 |
| RIVERFRONT ASSET ALLOC AGGRESSIVE CL I (RLFIX) View Prospectus |
1 | $0.00 | $0.00 | $0.00 | $0.00 |
| RIVERFRONT ASSET ALLOC GWTH INC INV CL (RLGAX) View Prospectus |
1 | $0.00 | $0.00 | $0.00 | $0.00 |
| RIVERFRONT ASSET ALLOC GWTH AND INCM CL (RLIIX) View Prospectus |
1 | $0.00 | $0.00 | $0.00 | $0.00 |
| RIVERFRONT ASSET ALLOC AGGRESSIVE INV CL (RLTAX) View Prospectus |
1 | $0.00 | $0.00 | $0.00 | $0.00 |
| RIVERFRONT ASSET ALLOC AGGRESSIVE CL L (RLTIX) View Prospectus |
1 | $0.00 | $0.00 | $0.00 | $0.00 |
| RIVERFRONT ASSET ALLOC AGGRESSIVE INV CL (RLTSX) View Prospectus |
1 | $0.00 | $0.00 | $0.00 | $0.00 |
| RIVERFRONT ASSET ALLOC MODERATE INV CL (RMIAX) View Prospectus |
1 | $0.00 | $0.00 | $0.00 | $0.00 |
| RIVERFRONT ASSET ALLOC MODERATE CL I (RMIIX) View Prospectus |
1 | $0.00 | $0.00 | $0.00 | $0.00 |
| RIVERFRONT ASSET ALLOC MODERATE A (RMOAX) View Prospectus |
1 | $100.00 | $0.00 | $100.00 | $0.00 |
| RIVERNORTH CORE OPPTY FD CL I (RNCIX) View Prospectus |
1 | $0.00 | $0.00 | $0.00 | $0.00 |
| RIVERNORTH OAKTREE HIGH INCM I (RNHIX) View Prospectus |
1 | $0.00 | $0.00 | $0.00 | $0.00 |
| FINANCIAL INVS TR RONDURE IL SH CL (RNWIX) View Prospectus |
1 | $0.00 | $0.00 | $0.00 | $0.00 |
| FINANCIAL INVS TR RONDUREINV SH CL (RNWOX) View Prospectus |
1 | $0.00 | $0.00 | $0.00 | $0.00 |
| CARRET KANSAS TAXEXEMPT BOND FD INSTITUT (SEKSX) View Prospectus |
1 | $0.00 | $0.00 | $0.00 | $0.00 |
| SEAFARER OVERSEAS GWTH & INCM FD INST (SIGIX) View Prospectus |
1 | $0.00 | $0.00 | $0.00 | $0.00 |
| SEAFARER OVERSEAS VALUE FD INST (SIVLX) View Prospectus |
1 | $0.00 | $0.00 | $0.00 | $0.00 |
| ALPSSMITH TOTAL RETURN BOND A (SMAMX) View Prospectus |
1 | $2,500.00 | $0.00 | $500.00 | $0.00 |
| ALPS SMITH CREDIT OPPORTUNITIES FUND (SMCRX) View Prospectus |
1 | $0.00 | $0.00 | $0.00 | $0.00 |
| ALPS SMITH CREDIT OPPORTUNITIES FUND (SMCVX) View Prospectus |
1 | $0.00 | $0.00 | $0.00 | $0.00 |
| ALPS SMITH SHORT DURATION BD INST (SMDSX) View Prospectus |
1 | $0.00 | $0.00 | $0.00 | $0.00 |
| ALPS SMITH SHORT DURATION BD INV (SMRSX) View Prospectus |
1 | $0.00 | $0.00 | $0.00 | $0.00 |
| ALPS SMITH TOTAL RETURN BOND INST (SMTHX) View Prospectus |
1 | $0.00 | $0.00 | $0.00 | $0.00 |
| ALPS SMITH TOTAL RETURN BOND INV (SMTRX) View Prospectus |
1 | $0.00 | $0.00 | $0.00 | $0.00 |
| XSQUARE BALANCED FUND, LLC A (SQBFX) View Prospectus |
1 | $0.00 | $0.00 | $0.00 | $0.00 |
| SEVEN CANYONS STRATEGIC INCOME INV (WASIX) View Prospectus |
1 | $0.00 | $0.00 | $0.00 | $0.00 |
| SEVEN CANYONS WORLD INNOVATORS INST (WIGTX) View Prospectus |
1 | $0.00 | $0.00 | $0.00 | $0.00 |
Some funds charge fees to cover marketing, distribution and administrative expenses. These fees include marketing fees known as a “12b-1 fees”, as well as certain record keeping or shareholder services fees. Such fees are included in the fund’s overall expense ratio and a portion of these fees may be paid to us. We reserve the right to change the funds we make available at any time without prior notice.