DFPG Investments, LLC
- SEC CIK
- 0001504665
- Latest filing
- Jan 10, 2024
Holdings in Q3 2021
Holdings as of Sep 30, 2021, filed Oct 19, 2021. Long positions only; changes compare share counts with Q2 2021.
- Positions
- 182
- +9 vs. Q2 2021
- Portfolio value
- $264.2M
- −$100.0K (0.0%) vs. Q2 2021
| Security | Class | Shares | Value | % of portfolio | Share change | Action | History |
|---|---|---|---|---|---|---|---|
| NVDANVIDIA Corp | Stock | 43,584 | $9.48M | 3.6% | +10,420+31.4% | AddedConverted for a 4-for-1 split | History |
| AAPLApple Inc. | Stock | 64,669 | $9.30M | 3.5% | +8,397+14.9% | Added | History |
| Vanguard Scottsdale FDS92206C409 | SHRT TRM CORP BD | 95,867 | $7.88M | 3.0% | −2,773−2.8% | Reduced | – |
| iShares Tr46434V878 | ULTRA SHORT DUR | 154,990 | $7.82M | 3.0% | −4,759−3.0% | Reduced | – |
| Invesco QQQ Trust Series I46090E103 | ETF | 20,765 | $7.61M | 2.9% | −1,050−4.8% | Reduced | – |
| METAMeta Platforms, Inc. | Stock | 22,576 | $7.42M | 2.8% | +838+3.9% | Added | History |
| MSFTMicrosoft Corp | Stock | 24,079 | $7.29M | 2.8% | +2,842+13.4% | Added | History |
| AMZNAmazon Com Inc | Stock | 2,117 | $6.99M | 2.6% | +320+17.8% | Added | History |
| HQYHealthequity, Inc. | COM | 98,107 | $6.24M | 2.4% | +450.0% | Added | History |
| ETEnergy Transfer LP | COM UT LTD PTN | 610,979 | $6.07M | 2.3% | +70,320+13.0% | Added | History |
| OBDCBlue Owl Capital Corp | COM | 412,254 | $5.95M | 2.2% | −3,706−0.9% | Reduced | History |
| First Tr Exchange-Traded FD33739Q408 | FIRST TR ENH NEW | 95,080 | $5.70M | 2.2% | −79,039−45.4% | Reduced | – |
| MRNAModerna, Inc. | Stock | 16,297 | $5.41M | 2.0% | +362+2.3% | Added | History |
| GOOGLAlphabet Inc. | Stock | 1,609 | $4.54M | 1.7% | −84−5.0% | Reduced | History |
| Vanguard Morningstar Total Stock Market ETF922908769 | ETF | 19,109 | $4.38M | 1.7% | −320−1.6% | Reduced | – |
| OXYOccidental Petroleum Corp | Stock | 135,826 | $4.34M | 1.6% | +5,239+4.0% | Added | History |
| PINSPinterest, Inc. | CL A | 76,721 | $4.03M | 1.5% | +14,585+23.5% | Added | History |
| ASANAsana, Inc. | CL A | 33,381 | $3.88M | 1.5% | −5,497−14.1% | Reduced | History |
| SOFISoFi Technologies, Inc. | Stock | 196,935 | $3.86M | 1.5% | +196,935 | New | History |
| ZTSZoetis Inc. | Stock | 18,135 | $3.63M | 1.4% | +216+1.2% | Added | History |
| BABAAlibaba Group Holding Ltd | ADR | 21,465 | $3.58M | 1.4% | +2,219+11.5% | Added | History |
| AMDAdvanced Micro Devices Inc | Stock | 31,150 | $3.49M | 1.3% | +545+1.8% | Added | History |
| ROSTRoss Stores, Inc. | COM | 27,353 | $2.96M | 1.1% | −30.0% | Reduced | History |
| COSTCostco Wholesale Corp | Stock | 6,550 | $2.95M | 1.1% | +29+0.4% | Added | History |
| SHOPShopify Inc. | Stock | 2,080 | $2.93M | 1.1% | +13+0.6% | Added | History |
| iShares Tr46429B655 | FLTG RATE NT ETF | 51,903 | $2.64M | 1.0% | +3,330+6.9% | Added | – |
| SNOWSnowflake Inc. | Stock | 7,856 | $2.61M | 1.0% | −29−0.4% | Reduced | History |
| OTLYOatly Group AB | SPONSORED ADS | 174,143 | $2.59M | 1.0% | +174,143 | New | History |
| Innovator U.S. Equity Buffer ETF - October45782C771 | ETF | 77,669 | $2.58M | 1.0% | 00.0% | Unchanged | – |
| CCLCarnival Corp Ltd. | UNIT 99/99/9999 | 102,878 | $2.44M | 0.9% | +4,787+4.9% | Added | History |
| iShares Tips Bond ETF464287176 | ETF | 18,536 | $2.39M | 0.9% | +145+0.8% | Added | – |
| JPMJPMorgan Chase & Co | Stock | 14,499 | $2.37M | 0.9% | −158−1.1% | Reduced | History |
| IAUiShares Gold Trust | ETF | 66,124 | $2.26M | 0.9% | −305−0.5% | Reduced | History |
| QCOMQualcomm Inc | Stock | 17,567 | $2.26M | 0.9% | +525+3.1% | Added | History |
| Vanguard Star FDS921909768 | VG TL INTL STK F | 33,486 | $2.16M | 0.8% | +2,520+8.1% | Added | – |
| State Street Energy Select Sector SPDR ETF81369Y506 | ETF | 36,921 | $2.11M | 0.8% | +1,761+5.0% | Added | – |
| Vanguard Total Bond Market ETF921937835 | ETF | 24,226 | $2.07M | 0.8% | +1,700+7.5% | Added | – |
| SPYSPDR S&P 500 ETF Trust | ETF | 4,668 | $2.07M | 0.8% | −301−6.1% | Reduced | History |
| BXBlackstone Inc. | COM | 16,602 | $2.03M | 0.8% | −1,556−8.6% | Reduced | History |
| NCLHNorwegian Cruise Line Holdings Ltd. | SHS | 72,840 | $1.94M | 0.7% | +387+0.5% | Added | History |
| PLTRPalantir Technologies Inc. | Stock | 79,317 | $1.93M | 0.7% | +5,146+6.9% | Added | History |
| JPMorgan Ultra-Short Income ETF46641Q837 | ETF | 37,682 | $1.91M | 0.7% | +2,607+7.4% | Added | – |
| Invesco Exchange Traded FD T46137V357 | S&P500 EQL WGT | 12,036 | $1.87M | 0.7% | −1,282−9.6% | Reduced | – |
| ABBVAbbVie Inc. | Stock | 16,769 | $1.83M | 0.7% | +438+2.7% | Added | History |
| J P Morgan Exchange Traded F46641Q654 | ULTRA SHT MUNCPL | 34,757 | $1.77M | 0.7% | −5,330−13.3% | Reduced | – |
| BMBLBumble Inc. | COM CL A | 33,282 | $1.76M | 0.7% | −8,230−19.8% | Reduced | History |
| PYPLPayPal Holdings, Inc. | Stock | 6,604 | $1.76M | 0.7% | +962+17.1% | Added | History |
| BACBank of America Corp | Stock | 38,334 | $1.73M | 0.7% | +536+1.4% | Added | History |
| RCLRoyal Caribbean Cruises Ltd | COM | 19,831 | $1.72M | 0.7% | −493−2.4% | Reduced | History |
| SHWSherwin Williams Co | COM | 5,824 | $1.70M | 0.6% | +1,999+52.3% | Added | History |
| LMTLockheed Martin Corp | Stock | 4,687 | $1.70M | 0.6% | +1,913+69.0% | Added | History |
| First Tr Exchange-Traded FD33739Q200 | FST LOW OPPT EFT | 32,880 | $1.66M | 0.6% | +14,199+76.0% | Added | – |
| VALValaris Ltd | CL A | 47,304 | $1.65M | 0.6% | +7,855+19.9% | Added | History |
| SDSandridge Energy Inc | COM NEW | 130,516 | $1.61M | 0.6% | +130,516 | New | History |
| TGTTarget Corp | Stock | 6,536 | $1.58M | 0.6% | −219−3.2% | Reduced | History |
| ProShares Tr74348A467 | S&P 500 DV ARIST | 16,586 | $1.52M | 0.6% | +11+0.1% | Added | – |
| GSGoldman Sachs Group Inc | Stock | 3,804 | $1.49M | 0.6% | −184−4.6% | Reduced | History |
| AVGOBroadcom Inc. | Stock | 2,734 | $1.36M | 0.5% | −85−3.0% | Reduced | History |
| ABNBAirbnb, Inc. | Stock | 7,871 | $1.34M | 0.5% | +7,871 | New | History |
| Vanguard Index FDS922908652 | EXTEND MKT ETF | 6,992 | $1.33M | 0.5% | −1,439−17.1% | Reduced | – |
| BIDUBaidu, Inc. | ADR | 7,924 | $1.29M | 0.5% | +707+9.8% | Added | History |
| GOOGAlphabet Inc. | Stock | 453 | $1.28M | 0.5% | +3+0.7% | Added | History |
| CSCOCisco Systems, Inc. | Stock | 22,788 | $1.27M | 0.5% | −2,098−8.4% | Reduced | History |
| First Tr Exchange-Traded FD33734H106 | SHS | 30,246 | $1.23M | 0.5% | +80+0.3% | Added | – |
| EXRExtra Space Storage Inc. | COM | 6,251 | $1.15M | 0.4% | +49+0.8% | Added | History |
| ALCOAlico, Inc. | COM | 32,590 | $1.13M | 0.4% | +69+0.2% | Added | History |
| GILDGilead Sciences, Inc. | Stock | 16,408 | $1.12M | 0.4% | −30−0.2% | Reduced | History |
| ODFLOld Dominion Freight Line, Inc. | COM | 3,715 | $1.10M | 0.4% | +3,715 | New | History |
| CHWYChewy, Inc. | CL A | 17,256 | $1.08M | 0.4% | +138+0.8% | Added | History |
| First Trust Cloud Computing ETF33734X192 | ETF | 9,547 | $1.07M | 0.4% | −116−1.2% | Reduced | – |
| STORStore Capital LLC | COM | 31,305 | $1.06M | 0.4% | +687+2.2% | Added | History |
| Vanguard High Dividend Yield Index ETF921946406 | ETF | 9,629 | $1.03M | 0.4% | −1,347−12.3% | Reduced | – |
| Schwab U.S. Large-Cap ETF808524201 | ETF | 9,535 | $1.02M | 0.4% | +4,125+76.2% | Added | – |
| Innovator ETFs Trust45782C417 | US EQTY PWR BUF | 35,110 | $1.01M | 0.4% | −20,415−36.8% | Reduced | – |
| State Street SPDR Portfolio Intermediate Term Corporate Bond ETF78464A375 | ETF | 27,694 | $1.01M | 0.4% | +8,612+45.1% | Added | – |
| XOMExxonMobil Holdings Corp | COM | 15,874 | $984.0K | 0.4% | −938−5.6% | Reduced | History |
| Vanguard Morningstar Growth ETF922908736 | ETF | 3,234 | $968.0K | 0.4% | −40−1.2% | Reduced | – |
| Vanguard S&P 500 ETF922908363 | ETF | 2,337 | $951.0K | 0.4% | +90+4.0% | Added | – |
| Graniteshares ETF Tr38747R603 | XOUT US LRG CP | 22,063 | $928.0K | 0.4% | 00.0% | Unchanged | – |
| TSLATesla, Inc. | Stock | 1,115 | $912.0K | 0.3% | +63+6.0% | Added | History |
| iShares Core S&P 500 ETF464287200 | ETF | 2,030 | $902.0K | 0.3% | +976+92.6% | Added | – |
| DKNGDraftKings Inc. | COM CL A | 18,233 | $900.0K | 0.3% | +128+0.7% | Added | History |
| BRK.BBerkshire Hathaway Inc | Stock | 3,146 | $886.0K | 0.3% | +6+0.2% | Added | History |
| Global X FDS37954Y483 | NASDAQ 100 COVER | 38,470 | $869.0K | 0.3% | +238+0.6% | Added | – |
| FSKFS KKR Capital Corp | COM | 36,465 | $833.0K | 0.3% | −5,038−12.1% | Reduced | History |
| First Trust Nasdaq-100 Technology Sector Index Fund337345102 | ETF | 5,072 | $824.0K | 0.3% | −726−12.5% | Reduced | – |
| LLYEli Lilly & Co | Stock | 3,331 | $788.0K | 0.3% | −21−0.6% | Reduced | History |
| Vanguard Total International Bond ETF92203J407 | ETF | 13,265 | $756.0K | 0.3% | +1,100+9.0% | Added | – |
| Vanguard Morningstar Small-Cap ETF922908751 | ETF | 3,312 | $752.0K | 0.3% | 00.0% | Unchanged | – |
| First Tr Exchange-Traded FD336920103 | US EQTY OPPT ETF | 5,812 | $752.0K | 0.3% | 00.0% | Unchanged | – |
| STAAStaar Surgical Co | COM PAR $0.01 | 6,525 | $746.0K | 0.3% | +2,119+48.1% | Added | History |
| PEPPepsiCo Inc | Stock | 4,573 | $728.0K | 0.3% | +68+1.5% | Added | History |
| Vanguard Morningstar Mid-Cap Growth ETF922908538 | ETF | 2,934 | $725.0K | 0.3% | 00.0% | Unchanged | – |
| ORCLOracle Corp | Stock | 7,439 | $709.0K | 0.3% | −36−0.5% | Reduced | History |
| First Tr Exchange-Traded FD33738D408 | FIRST TR TA HIYL | 13,830 | $666.0K | 0.3% | −325−2.3% | Reduced | – |
| ADBEAdobe Inc. | Stock | 913 | $555.0K | 0.2% | +111+13.8% | Added | History |
| BABoeing Co | Stock | 2,539 | $552.0K | 0.2% | −8,848−77.7% | Reduced | History |
| DISWalt Disney Co | Stock | 3,017 | $526.0K | 0.2% | −10,128−77.0% | Reduced | History |
| CRMSalesforce, Inc. | Stock | 1,780 | $516.0K | 0.2% | −1,462−45.1% | Reduced | History |
| U.S. Global Jets ETF26922A842 | ETF | 21,424 | $505.0K | 0.2% | −87,209−80.3% | Reduced | – |
Sold out since Q2 2021 (12)
Positions held at the end of Q2 2021 that are gone from this filing.
| Security | Class | Shares in Q2 2021 | Value in Q2 2021 | % of portfolio in Q2 2021 | History |
|---|---|---|---|---|---|
| GLDSPDR Gold Trust | ETF | 37,068 | $6.27M | 2.4% | History |
| UHSUniversal Health Services Inc | CL B | 11,367 | $1.74M | 0.7% | History |
| WTRGEssential Utilities, Inc. | COM | 31,488 | $1.48M | 0.6% | History |
| UBERUber Technologies, Inc | Stock | 22,974 | $1.10M | 0.4% | History |
| Translate Bio, Inc.89374L104 | COM | 24,700 | $728.0K | 0.3% | – |
| AALAmerican Airlines Group Inc. | Stock | 17,045 | $341.0K | 0.1% | History |
| UALUnited Airlines Holdings, Inc. | COM | 5,130 | $249.0K | 0.1% | History |
| WYNNWynn Resorts Ltd | COM | 2,027 | $226.0K | 0.1% | History |
| TAT&T Inc. | Stock | 7,943 | $225.0K | 0.1% | History |
| RNGRingCentral, Inc. | CL A | 750 | $212.0K | 0.1% | History |
| Invesco Exch Traded FD Tr II46138E370 | S&P 500 HB ETF | 2,861 | $211.0K | 0.1% | – |
| SHAKShake Shack Inc. | CL A | 2,035 | $208.0K | 0.1% | History |