ALPS Adds Momentum to Its ETF Factor Lineup

ALPS, a subsidiary of DST Systems, Inc. (NYSE: DST) providing products and services to the financial services industry, today announced a strategic alliance with Dorsey, Wright & Associates, a Nasdaq Company (DWA) to launch a new factor exchange-traded fund (ETF), which is designed to capture momentum investing at both the sector and stock level.

The ALPS Dorsey Wright Sector Momentum ETF (Nasdaq Ticker: SWIN) leverages Dorsey Wright’s proprietary Point and Figure Relative Strength charting to create a high conviction portfolio of 50 stocks. The Fund seeks to track, before fees and expenses, the Dorsey Wright US Sector Momentum Index (DWUSSR), an equally weighted index consisting of 50 large and midcap stocks listed in the US.

“We are excited to collaborate with such a prestigious company,” says Tom Carter, President of ALPS Advisors Inc., “The combination of Dorsey Wright’s research and our focus on product innovation has created a new strategy for enhancing portfolio construction.”

Historically, momentum strategies tend to perform best when clear leadership is established and sustained for a meaningful period; they often lag during time when there is no clear leadership among sectors. “SWIN is the first Momentum ETF to combine both macro (sector) and micro (stock) level screens,” says Mike Akins, SVP & Head of ETFs for ALPS, “We believe its unique two-screen construct creates opportunity for outperformance in strong sector momentum cycles, while simultaneously maintaining a diversification cushion to help weather periods where no clear sector leadership is present.”

Although SWIN is concentrated on the top performing momentum sectors, it maintains an equal-weighted strategy at the stock level. “At ALPS we strive to help investors and advisors build better portfolios,” says Akins, “ALPS Sector Dividend Dog ETF (SDOG), which employs an equal-weight sector and stock strategy with a tilt toward equity income, and SWIN are complementary strategies that provide diversified exposure to both value and momentum.”

Important Disclosures & Definitions

An investor should consider the investment objectives, risks, charges and expenses carefully before investing. To obtain a prospectus which contain this and other information call 866.675.2639 or visit www.alpsfunds.com. Read the prospectus carefully before investing.

ALPS Dorsey Wright Sector Momentum ETF Shares are not individually redeemable. Investors buy and sell shares of the ALPS Dorsey Wright Sector Momentum ETF on a secondary market. Only market makers or “authorized participants” may trade directly with the Fund, typically in blocks of 50,000 shares.

An investment in the Fund is subject to investment risk, including the possible loss of the entire principal amount that you invest.

Diversification does not eliminate risk.

The Fund is subject to the additional risks associated with concentrating its investments in companies in the market sector.

The Fund is considered non-diversified and can invest a greater portion of its assets in securities of individual issuers than a diversified fund.

ALPS Dorsey Wright Sector Momentum Index is a rules-based index intended to track the overall performance of the stocks with the highest relative strength or “momentum” within the NASDAQ US Large Mid Cap Index (the “NASDAQ Index”) on a sector-by-sector basis.

An investor cannot invest directly in an index.

Point and Figure Relative Strength: measures how one security is doing versus another security or benchmark. The calculation consists of dividing the price of one security by the price of another security or benchmark index. The ratio is then plotted on a Point & Figure chart providing a logical way to filter out the short term noise and provide objective interpretations of the trend in relative strength.

“Relative strength” is an investing strategy that seeks to determine the strongest performing securities by measuring certain factors, such as a security’s relative positive performance against the overall market or a security’s relative strength value, which is derived by comparing the rate of increase of the security’s price to that of a benchmark index. Nasdaq, Inc. (the “Index Provider”) uses a proprietary methodology to analyze the relative strength of each security within the universe of eligible securities and determine a “momentum” score. In general, momentum is the tendency of a security to exhibit persistence in its relative strength; a “momentum” style of investing emphasizes investing in securities that have had better recent performance compared to other securities. The momentum score for each security included in the Underlying Index is based on intermediate and long-term upward price movements of the security as compared to a representative benchmark and other eligible securities within the universe.

The fund is new and has limited operating history.

ALPS Portfolio Solutions Distributor, Inc. is the distributor for the ALPS Dorsey Wright Sector Momentum ETF.

*Tom Carter is a registered representative of ALPS Portfolio Solutions Distributor, Inc.

About ALPS

Through its subsidiary companies, ALPS Holdings, Inc. is a leading provider of innovative investment products and customized servicing solutions to the financial services industry. Founded in 1985, Denver-based ALPS delivers its Asset Gathering and Asset Servicing Solutions through offices in Boston, New York, Seattle, and Toronto. ALPS is a wholly-owned subsidiary of Kansas City-based DST Systems, Inc. For more information about ALPS and its services, visit www.alpsinc.com. Information about ALPS products is available at www.alpsfunds.com.

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