DFPG Investments, LLC
- SEC CIK
- 0001504665
- Latest filing
- Jan 10, 2024
Holdings in Q4 2021
Holdings as of Dec 31, 2021, filed Jan 31, 2022. Long positions only; changes compare share counts with Q3 2021.
- Positions
- 179
- −3 vs. Q3 2021
- Portfolio value
- $239.5M
- −$24.8M (−9.4%) vs. Q3 2021
| Security | Class | Shares | Value | % of portfolio | Share change | Action | History |
|---|---|---|---|---|---|---|---|
| NVDANVIDIA Corp | Stock | 48,989 | $11.8M | 4.9% | +5,405+12.4% | Added | History |
| AAPLApple Inc. | Stock | 63,606 | $10.5M | 4.4% | −1,063−1.6% | Reduced | History |
| OXYOccidental Petroleum Corp | Stock | 242,547 | $8.48M | 3.5% | +106,721+78.6% | Added | History |
| iShares Tr46434V878 | ULTRA SHORT DUR | 157,816 | $7.95M | 3.3% | +2,826+1.8% | Added | – |
| Invesco QQQ Trust Series I46090E103 | ETF | 19,571 | $7.08M | 3.0% | −1,194−5.8% | Reduced | – |
| METAMeta Platforms, Inc. | Stock | 21,365 | $6.76M | 2.8% | −1,211−5.4% | Reduced | History |
| Vanguard Scottsdale FDS92206C409 | SHRT TRM CORP BD | 83,926 | $6.75M | 2.8% | −11,941−12.5% | Reduced | – |
| MSFTMicrosoft Corp | Stock | 22,008 | $6.64M | 2.8% | −2,071−8.6% | Reduced | History |
| OBDCBlue Owl Capital Corp | COM | 426,096 | $6.17M | 2.6% | +13,842+3.4% | Added | History |
| ETEnergy Transfer LP | COM UT LTD PTN | 623,433 | $5.94M | 2.5% | +12,454+2.0% | Added | History |
| First Tr Exchange-Traded FD33739Q408 | FIRST TR ENH NEW | 92,655 | $5.54M | 2.3% | −2,425−2.6% | Reduced | – |
| AMZNAmazon Com Inc | Stock | 1,806 | $5.48M | 2.3% | −311−14.7% | Reduced | History |
| HQYHealthequity, Inc. | COM | 98,097 | $4.81M | 2.0% | −100.0% | Reduced | History |
| Vanguard Morningstar Total Stock Market ETF922908769 | ETF | 19,488 | $4.39M | 1.8% | +379+2.0% | Added | – |
| GOOGLAlphabet Inc. | Stock | 1,556 | $4.15M | 1.7% | −53−3.3% | Reduced | History |
| BABAAlibaba Group Holding Ltd | ADR | 29,263 | $3.83M | 1.6% | +7,798+36.3% | Added | History |
| AMDAdvanced Micro Devices Inc | Stock | 28,110 | $3.43M | 1.4% | −3,040−9.8% | Reduced | History |
| Vanguard Star FDS921909768 | VG TL INTL STK F | 49,606 | $3.13M | 1.3% | +16,120+48.1% | Added | – |
| QCOMQualcomm Inc | Stock | 18,520 | $3.08M | 1.3% | +953+5.4% | Added | History |
| ZTSZoetis Inc. | Stock | 15,173 | $3.06M | 1.3% | −2,962−16.3% | Reduced | History |
| U.S. Global Jets ETF26922A842 | ETF | 140,294 | $3.00M | 1.3% | +118,870+554.8% | Added | – |
| ROSTRoss Stores, Inc. | COM | 27,353 | $2.67M | 1.1% | 00.0% | Unchanged | History |
| iShares Tr46429B655 | FLTG RATE NT ETF | 51,903 | $2.63M | 1.1% | 00.0% | Unchanged | – |
| Innovator U.S. Equity Buffer ETF - October45782C771 | ETF | 77,669 | $2.61M | 1.1% | 00.0% | Unchanged | – |
| COSTCostco Wholesale Corp | Stock | 5,220 | $2.52M | 1.1% | −1,330−20.3% | Reduced | History |
| ABNBAirbnb, Inc. | Stock | 15,401 | $2.43M | 1.0% | +7,530+95.7% | Added | History |
| iShares Tips Bond ETF464287176 | ETF | 18,491 | $2.31M | 1.0% | −45−0.2% | Reduced | – |
| IAUiShares Gold Trust | ETF | 66,164 | $2.31M | 1.0% | +40+0.1% | Added | History |
| SPYSPDR S&P 500 ETF Trust | ETF | 5,118 | $2.29M | 1.0% | +450+9.6% | Added | History |
| SHOPShopify Inc. | Stock | 2,134 | $2.19M | 0.9% | +54+2.6% | Added | History |
| JPMorgan Ultra-Short Income ETF46641Q837 | ETF | 43,007 | $2.17M | 0.9% | +5,325+14.1% | Added | – |
| ABBVAbbVie Inc. | Stock | 15,671 | $2.08M | 0.9% | −1,098−6.5% | Reduced | History |
| Vanguard Total Bond Market ETF921937835 | ETF | 25,000 | $2.08M | 0.9% | +774+3.2% | Added | – |
| State Street Energy Select Sector SPDR ETF81369Y506 | ETF | 30,937 | $1.97M | 0.8% | −5,984−16.2% | Reduced | – |
| JPMJPMorgan Chase & Co | Stock | 12,658 | $1.87M | 0.8% | −1,841−12.7% | Reduced | History |
| Invesco Exchange Traded FD T46137V357 | S&P500 EQL WGT | 11,876 | $1.84M | 0.8% | −160−1.3% | Reduced | – |
| ASANAsana, Inc. | CL A | 34,424 | $1.84M | 0.8% | +1,043+3.1% | Added | History |
| BXBlackstone Inc. | COM | 16,405 | $1.83M | 0.8% | −197−1.2% | Reduced | History |
| SOFISoFi Technologies, Inc. | Stock | 120,391 | $1.81M | 0.8% | −76,544−38.9% | Reduced | History |
| SHWSherwin Williams Co | COM | 5,863 | $1.75M | 0.7% | +39+0.7% | Added | History |
| LMTLockheed Martin Corp | Stock | 4,502 | $1.69M | 0.7% | −185−3.9% | Reduced | History |
| First Tr Exchange-Traded FD33739Q200 | FST LOW OPPT EFT | 32,834 | $1.64M | 0.7% | −46−0.1% | Reduced | – |
| SNOWSnowflake Inc. | Stock | 5,726 | $1.60M | 0.7% | −2,130−27.1% | Reduced | History |
| ProShares Tr74348A467 | S&P 500 DV ARIST | 16,601 | $1.57M | 0.7% | +15+0.1% | Added | – |
| AVGOBroadcom Inc. | Stock | 2,703 | $1.48M | 0.6% | −31−1.1% | Reduced | History |
| TGTTarget Corp | Stock | 6,570 | $1.46M | 0.6% | +34+0.5% | Added | History |
| SDSandridge Energy Inc | COM NEW | 141,511 | $1.41M | 0.6% | +10,995+8.4% | Added | History |
| CCLCarnival Corp Ltd. | UNIT 99/99/9999 | 67,363 | $1.40M | 0.6% | −35,515−34.5% | Reduced | History |
| PINSPinterest, Inc. | CL A | 41,702 | $1.33M | 0.6% | −35,019−45.6% | Reduced | History |
| GSGoldman Sachs Group Inc | Stock | 3,781 | $1.32M | 0.5% | −23−0.6% | Reduced | History |
| EXRExtra Space Storage Inc. | COM | 6,509 | $1.27M | 0.5% | +258+4.1% | Added | History |
| First Tr Exchange-Traded FD33734H106 | SHS | 29,750 | $1.25M | 0.5% | −496−1.6% | Reduced | – |
| GOOGAlphabet Inc. | Stock | 459 | $1.23M | 0.5% | +6+1.3% | Added | History |
| TSLATesla, Inc. | Stock | 1,208 | $1.20M | 0.5% | +93+8.3% | Added | History |
| CCitigroup Inc | Stock | 18,399 | $1.19M | 0.5% | +18,399 | New | History |
| CSCOCisco Systems, Inc. | Stock | 19,934 | $1.16M | 0.5% | −2,854−12.5% | Reduced | History |
| ODFLOld Dominion Freight Line, Inc. | COM | 3,720 | $1.14M | 0.5% | +5+0.1% | Added | History |
| CATCaterpillar Inc | Stock | 5,249 | $1.14M | 0.5% | +5,249 | New | History |
| ALCOAlico, Inc. | COM | 30,960 | $1.13M | 0.5% | −1,630−5.0% | Reduced | History |
| RCLRoyal Caribbean Cruises Ltd | COM | 13,494 | $1.09M | 0.5% | −6,337−32.0% | Reduced | History |
| State Street SPDR Portfolio Intermediate Term Corporate Bond ETF78464A375 | ETF | 30,279 | $1.08M | 0.4% | +2,585+9.3% | Added | – |
| Schwab U.S. Large-Cap ETF808524201 | ETF | 9,817 | $1.05M | 0.4% | +282+3.0% | Added | – |
| Innovator ETFs Trust45782C417 | US EQTY PWR BUF | 35,110 | $1.03M | 0.4% | 00.0% | Unchanged | – |
| Vanguard High Dividend Yield Index ETF921946406 | ETF | 9,242 | $1.03M | 0.4% | −387−4.0% | Reduced | – |
| Vanguard S&P 500 ETF922908363 | ETF | 2,482 | $1.02M | 0.4% | +145+6.2% | Added | – |
| BBYBest Buy Co Inc | Stock | 10,282 | $976.0K | 0.4% | +10,282 | New | History |
| J P Morgan Exchange Traded F46641Q654 | ULTRA SHT MUNCPL | 19,097 | $973.0K | 0.4% | −15,660−45.1% | Reduced | – |
| BRK.BBerkshire Hathaway Inc | Stock | 3,121 | $971.0K | 0.4% | −25−0.8% | Reduced | History |
| iShares Core S&P 500 ETF464287200 | ETF | 2,148 | $964.0K | 0.4% | +118+5.8% | Added | – |
| IRTIndependence Realty Trust, Inc. | COM | 43,086 | $963.0K | 0.4% | +43,086 | New | History |
| PYPLPayPal Holdings, Inc. | Stock | 5,374 | $931.0K | 0.4% | −1,230−18.6% | Reduced | History |
| Vanguard Morningstar Growth ETF922908736 | ETF | 3,221 | $926.0K | 0.4% | −13−0.4% | Reduced | – |
| NCLHNorwegian Cruise Line Holdings Ltd. | SHS | 43,645 | $918.0K | 0.4% | −29,195−40.1% | Reduced | History |
| Graniteshares ETF Tr38747R603 | XOUT US LRG CP | 22,063 | $903.0K | 0.4% | 00.0% | Unchanged | – |
| Global X FDS37954Y459 | RUSSELL 2000 | 38,867 | $886.0K | 0.4% | +38,867 | New | – |
| LLYEli Lilly & Co | Stock | 3,331 | $810.0K | 0.3% | 00.0% | Unchanged | History |
| XOMExxonMobil Holdings Corp | COM | 10,945 | $802.0K | 0.3% | −4,929−31.1% | Reduced | History |
| PEPPepsiCo Inc | Stock | 4,559 | $793.0K | 0.3% | −14−0.3% | Reduced | History |
| First Trust Cloud Computing ETF33734X192 | ETF | 8,513 | $786.0K | 0.3% | −1,034−10.8% | Reduced | – |
| First Trust Nasdaq-100 Technology Sector Index Fund337345102 | ETF | 5,079 | $785.0K | 0.3% | +7+0.1% | Added | – |
| Vanguard Total International Bond ETF92203J407 | ETF | 13,539 | $740.0K | 0.3% | +274+2.1% | Added | – |
| FSKFS KKR Capital Corp | COM | 32,871 | $723.0K | 0.3% | −3,594−9.9% | Reduced | History |
| Vanguard Index FDS922908652 | EXTEND MKT ETF | 4,312 | $705.0K | 0.3% | −2,680−38.3% | Reduced | – |
| Vanguard Morningstar Small-Cap ETF922908751 | ETF | 3,312 | $689.0K | 0.3% | 00.0% | Unchanged | – |
| Vanguard Morningstar Mid-Cap Growth ETF922908538 | ETF | 2,934 | $647.0K | 0.3% | 00.0% | Unchanged | – |
| First Tr Exchange-Traded FD336920103 | US EQTY OPPT ETF | 5,812 | $620.0K | 0.3% | 00.0% | Unchanged | – |
| First Tr Exchange-Traded FD33738D408 | FIRST TR TA HIYL | 13,028 | $618.0K | 0.3% | −802−5.8% | Reduced | – |
| BABoeing Co | Stock | 2,771 | $594.0K | 0.2% | +232+9.1% | Added | History |
| CVXChevron Corp | Stock | 4,604 | $591.0K | 0.2% | +8+0.2% | Added | History |
| State Street SPDR Portfolio Developed World Ex-US ETF78463X889 | ETF | 15,058 | $538.0K | 0.2% | +1,554+11.5% | Added | – |
| STAAStaar Surgical Co | COM PAR $0.01 | 7,045 | $515.0K | 0.2% | +520+8.0% | Added | History |
| Pgim ETF Tr69344A206 | ACTV HY BD ETF | 12,846 | $513.0K | 0.2% | +1,438+12.6% | Added | – |
| RTLNecessity Retail REIT, Inc. | COM CLASS A | 57,464 | $482.0K | 0.2% | −1,888−3.2% | Reduced | History |
| MAMastercard Inc | Stock | 1,315 | $479.0K | 0.2% | −18−1.4% | Reduced | History |
| ORCLOracle Corp | Stock | 5,769 | $477.0K | 0.2% | −1,670−22.4% | Reduced | History |
| BRSPBrightSpire Capital, Inc. | COM CL A | 50,553 | $469.0K | 0.2% | +4,364+9.4% | Added | History |
| ADBEAdobe Inc. | Stock | 917 | $468.0K | 0.2% | +4+0.4% | Added | History |
| AXPAmerican Express Co | Stock | 2,905 | $467.0K | 0.2% | +2,905 | New | History |
| DHRDanaher Corp | Stock | 1,622 | $459.0K | 0.2% | 00.0% | Unchanged | History |
| SPDR Series Trust78464A292 | ST STR PFD ETF | 10,689 | $449.0K | 0.2% | −839−7.3% | Reduced | – |
Sold out since Q3 2021 (21)
Positions held at the end of Q3 2021 that are gone from this filing.
| Security | Class | Shares in Q3 2021 | Value in Q3 2021 | % of portfolio in Q3 2021 | History |
|---|---|---|---|---|---|
| BMBLBumble Inc. | COM CL A | 33,282 | $1.76M | 0.7% | History |
| VALValaris Ltd | CL A | 47,304 | $1.65M | 0.6% | History |
| GILDGilead Sciences, Inc. | Stock | 16,408 | $1.12M | 0.4% | History |
| CHWYChewy, Inc. | CL A | 17,256 | $1.08M | 0.4% | History |
| STORStore Capital LLC | COM | 31,305 | $1.06M | 0.4% | History |
| DKNGDraftKings Inc. | COM CL A | 18,233 | $900.0K | 0.3% | History |
| Global X FDS37954Y483 | NASDAQ 100 COVER | 38,470 | $869.0K | 0.3% | – |
| Paramount Global92556H206 | CL B | 12,471 | $492.0K | 0.2% | – |
| CRWDCrowdStrike Holdings, Inc. | Stock | 1,240 | $342.0K | 0.1% | History |
| SICPSilvergate Capital Corp | CL A | 2,031 | $325.0K | 0.1% | History |
| SBUXStarbucks Corp | Stock | 2,538 | $284.0K | 0.1% | History |
| NETCloudflare, Inc. | CL A COM | 1,569 | $259.0K | 0.1% | History |
| FLNAFilana Therapeutics, Inc. | COM | 4,700 | $251.0K | 0.1% | History |
| ILMNIllumina, Inc. | COM | 559 | $228.0K | 0.1% | History |
| TTDTrade Desk, Inc. | Stock | 2,810 | $217.0K | 0.1% | History |
| LOWLowes Companies Inc | Stock | 945 | $205.0K | 0.1% | History |
| ASMLASML Holding NV | ADR | 260 | $202.0K | 0.1% | History |
| HONHoneywell International Inc | COM | 919 | $201.0K | 0.1% | History |
| ATECAlphatec Holdings, Inc. | COM NEW | 13,004 | $158.0K | 0.1% | History |
| SLVOCredit Suisse AG | X LINK SILVER | 16,902 | $90.0K | <0.1% | History |
| Two HBRS Invt Corp90187BAA9 | NOTE 6.250% 1/1 | – | $20.0K | <0.1% | – |