DFPG INVESTMENTS, LLC

SANDY, UT · CIK 1504665 · 13F filing filed 2024-01-10

No investment adviser registration (Form ADV) found for this filer. It may be a parent company whose subsidiaries are the registered advisers, a bank or insurer, or a manager based outside the US.

Others nearbySandy, UT

$1.3bn reported value +19.2% vs Q3 2023

620positions

20.8%in top 10

66 new 276 added 256 reduced 21 sold out vs Q3 2023

Options: 0 call positions (— notional), 1 put positions ($500 notional) – listed below, not included above.

Holdings, Q4 2023

The small lines show how much was held over the last 4 quarters (adjusted for stock splits).

#	Security	Ticker	Shares	Value	% of portfolio	Change	Shares change
1	APPLE INC COM AAPL	AAPL	276,659	$51.0m3.98%	3.98%	Added +35.6k	+35,592 14.8%
2	NVIDIA CORPORATION COM NVDA	NVDA	81,195	$38.6m3.01%	3.01%	Added +2.9k	+2,924 3.7%
3	MICROSOFT CORP COM MSFT	MSFT	80,603	$29.9m2.33%	2.33%	Added +13.5k	+13,490 20.1%
4	AMAZON COM INC COM AMZN	AMZN	201,055	$29.9m2.33%	2.33%	Added +25.0k	+25,041 14.2%
5	ISHARES TR MSCI INDIA ETF INDA	INDA	479,979	$23.3m1.82%	1.82%	Reduced -8.6k	-8,602 -1.8%
6	ISHARES TR CORE S&P500 ETF IVV	IVV	47,041	$22.2m1.73%	1.73%	Added +5.0k	+4,986 11.9%
7	VANGUARD BD INDEX FDS TOTAL BND MRKT BND	BND	291,289	$21.4m1.67%	1.67%	Added +189.0k	+188,985 184.7%
8	ADVANCED MICRO DEVICES INC COM AMD	AMD	132,272	$17.9m1.40%	1.40%	Reduced -285	-285 -0.2%
9	INVESCO EXCH TRADED FD TR II SR LN ETF BKLN	BKLN	778,541	$16.5m1.29%	1.29%	Added +691.0k	+691,027 789.6%
10	META PLATFORMS INC CL A META	META	47,576	$16.4m1.28%	1.28%	Added +1.3k	+1,342 2.9%
11	ISHARES TR 0-5 YR TIPS ETF STIP	STIP	161,634	$15.9m1.24%	1.24%	Added +4.3k	+4,260 2.7%
12	COSTCO WHSL CORP NEW COM COST	COST	24,499	$15.8m1.23%	1.23%	Added +798	+798 3.4%
13	ALPHABET INC CAP STK CL A GOOGL	GOOGL	111,953	$15.6m1.21%	1.21%	Added +17.8k	+17,817 18.9%
14	SPDR SERIES TRUST PRTFLO S&P500 VL SPYV	SPYV	320,373	$14.9m1.16%	1.16%	Added +19.6k	+19,641 6.5%
15	SELECT SECTOR SPDR TR ENERGY XLE	XLE	155,542	$13.4m1.05%	1.05%	Reduced -104.0k	-104,031 -40.1%
16	SPDR SER TR S&P OILGAS EXP XOP	XOP	94,970	$13.2m1.03%	1.03%	Reduced -1.4k	-1,358 -1.4%
17	INVESCO QQQ TR UNIT SER 1 QQQ	QQQ	33,105	$13.2m1.03%	1.03%	Added +3.2k	+3,233 10.8%
18	SCHWAB CHARLES CORP COM SCHW	SCHW	194,056	$13.0m1.02%	1.02%	Added +19.4k	+19,447 11.1%
19	SPDR SERIES TRUST PRTFLO S&P500 GW SPYG	SPYG	204,552	$13.0m1.01%	1.01%	Added +12.2k	+12,172 6.3%
20	ALPHABET INC CAP STK CL C GOOG	GOOG	91,324	$12.8m1.00%	1.00%	Added +2.0k	+1,986 2.2%
21	SPDR S&P 500 ETF TR TR UNIT SPY	SPY	27,223	$12.8m1.00%	1.00%	Added +8.0k	+8,049 42.0%
22	BNY MELLON ETF TRUST US MDCP CORE EQT BKMC	BKMC	144,577	$12.7m0.99%	0.99%	Added +9.9k	+9,917 7.4%
23	SPDR INDEX SHS FDS PORTFOLIO DEVLPD SPDW	SPDW	373,469	$12.5m0.97%	0.97%	Added +5.7k	+5,720 1.6%
24	ENERGY TRANSFER L P COM UT LTD PTN ET	ET	766,893	$10.8m0.84%	0.84%	Reduced -17.0k	-16,972 -2.2%
25	OCCIDENTAL PETE CORP COM OXY	OXY	174,472	$10.6m0.83%	0.83%	Added +569	+569 0.3%
26	ZOETIS INC CL A ZTS	ZTS	48,248	$9.3m0.73%	0.73%	Reduced -235	-235 -0.5%
27	JOHNSON & JOHNSON COM JNJ	JNJ	56,363	$9.1m0.71%	0.71%	Reduced -15	-15 -0.0%
28	JPMORGAN CHASE & CO COM JPM	JPM	51,506	$8.8m0.69%	0.69%	Added +6.3k	+6,315 14.0%
29	PALO ALTO NETWORKS INC COM PANW	PANW	29,488	$8.4m0.66%	0.66%	Added +8.2k	+8,153 38.2%
30	VISA INC COM CL A V	V	31,972	$8.2m0.64%	0.64%	Added +5.3k	+5,291 19.8%
31	ISHARES TR CORE TOTAL USD IUSB	IUSB	177,413	$8.1m0.64%	0.64%	Added +15.1k	+15,111 9.3%
32	OP BANCORP COM OPBK	OPBK	707,500	$7.6m0.60%	0.60%	New
33	BILL HOLDINGS INC COM BILL	BILL	100,031	$7.4m0.58%	0.58%	Added +86.9k	+86,912 662.5%
34	VANGUARD INDEX FDS S&P 500 ETF SHS VOO	VOO	16,912	$7.3m0.57%	0.57%	Added +1.0k	+1,021 6.4%
35	VANGUARD SCOTTSDALE FDS INT-TERM CORP VCIT	VCIT	88,166	$7.1m0.56%	0.56%	Added +78.4k	+78,398 802.6%
36	VANGUARD INDEX FDS TOTAL STK MKT VTI	VTI	29,292	$6.8m0.53%	0.53%	Reduced -373	-373 -1.3%
37	SPDR SER TR PORTFOLIO S&P600 SPSM	SPSM	166,847	$6.8m0.53%	0.53%	Added +10.0k	+9,985 6.4%
38	ISHARES TR ISHS 5-10YR INVT IGIB	IGIB	130,737	$6.8m0.53%	0.53%	Added +125.0k	+125,005 2180.8%
39	VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF VWO	VWO	163,720	$6.6m0.52%	0.52%	Added +2.1k	+2,057 1.3%
40	CHEVRON CORP NEW COM CVX	CVX	42,787	$6.5m0.51%	0.51%	Reduced -169	-169 -0.4%
41	HEALTHEQUITY INC COM HQY	HQY	96,102	$6.5m0.51%	0.51%	Reduced -1.1k	-1,060 -1.1%
42	TESLA INC COM TSLA	TSLA	26,340	$6.3m0.49%	0.49%	Added +4.4k	+4,392 20.0%
43	LOCKHEED MARTIN CORP COM LMT	LMT	13,108	$6.0m0.47%	0.47%	Added +1.9k	+1,934 17.3%
44	ISHARES TR US AER DEF ETF ITA	ITA	48,072	$5.9m0.46%	0.46%	Reduced -841	-841 -1.7%
45	BROADCOM INC COM AVGO	AVGO	5,575	$5.9m0.46%	0.46%	Added +86	+86 1.6%
46	SPDR GOLD TR GOLD SHS GLD	GLD	30,679	$5.8m0.45%	0.45%	Reduced -2.8k	-2,759 -8.2%
47	UNITEDHEALTH GROUP INC COM UNH	UNH	10,656	$5.8m0.45%	0.45%	Added +180	+180 1.7%
48	BLUE OWL CAPITAL INC COM CL A OWL	OWL	391,221	$5.7m0.45%	0.45%	Reduced -210.5k	-210,492 -35.0%
49	ISHARES TR NATIONAL MUN ETF MUB	MUB	51,794	$5.6m0.44%	0.44%	Added +19.1k	+19,089 58.4%
50	QUALCOMM INC COM QCOM	QCOM	40,624	$5.6m0.44%	0.44%	Added +1.3k	+1,304 3.3%
51	VERIZON COMMUNICATIONS INC COM VZ	VZ	142,497	$5.6m0.44%	0.44%	Added +2.5k	+2,522 1.8%
52	PHILIP MORRIS INTL INC COM PM	PM	58,247	$5.6m0.43%	0.43%	Reduced -6.1k	-6,103 -9.5%
53	SNOWFLAKE INC CL A SNOW	SNOW	29,902	$5.5m0.43%	0.43%	Added +201	+201 0.7%
54	ISHARES TR 1 3 YR TREAS BD SHY	SHY	67,088	$5.5m0.43%	0.43%	Reduced -11.0k	-11,029 -14.1%
55	ISHARES INC MSCI BRAZIL ETF EWZ	EWZ	153,244	$5.3m0.41%	0.41%	New
56	SPROTT FDS TR URANIUM MINERS E URNM	URNM	111,257	$5.2m0.41%	0.41%	Reduced -6.9k	-6,929 -5.9%
57	VALARIS LTD CL A VAL	VAL	75,536	$5.2m0.41%	0.41%	New
58	SALESFORCE INC COM CRM	CRM	20,561	$5.2m0.40%	0.40%	Added +31	+31 0.1%
59	ISHARES U S ETF TR IT RT HDG HGYL HYGH	HYGH	61,690	$5.2m0.40%	0.40%	Added +2.0k	+1,963 3.3%
60	ROSS STORES INC COM ROST	ROST	38,201	$5.1m0.40%	0.40%	Reduced -108	-108 -0.3%
61	ISHARES TR 7-10 YR TRSY BD IEF	IEF	53,272	$5.1m0.40%	0.40%	Reduced -2.0k	-2,001 -3.6%
62	CISCO SYS INC COM CSCO	CSCO	100,551	$5.1m0.40%	0.40%	Reduced -1.9k	-1,948 -1.9%
63	ABBVIE INC COM ABBV	ABBV	31,219	$5.0m0.39%	0.39%	Added +629	+629 2.1%
64	ADOBE INC COM ADBE	ADBE	8,711	$5.0m0.39%	0.39%	Added +336	+336 4.0%
65	GLOBAL X FDS GLOBAL X URANIUM URA	URA	182,027	$4.9m0.38%	0.38%	Reduced -117	-117 -0.1%
66	ISHARES TR 20 YR TR BD ETF TLT	TLT	48,697	$4.8m0.38%	0.38%	Added +3.4k	+3,438 7.6%
67	ACCENTURE PLC IRELAND SHS CLASS A ACN	ACN	13,875	$4.7m0.37%	0.37%	Added +333	+333 2.5%
68	VANGUARD MUN BD FDS TAX EXEMPT BD VTEB	VTEB	91,153	$4.6m0.36%	0.36%	Reduced -1.2k	-1,248 -1.4%
69	EXXON MOBIL CORP COM XOM	XOM	44,265	$4.6m0.36%	0.36%	Reduced -1.8k	-1,817 -3.9%
70	ISHARES TR MSCI USA MIN VOL USMV	USMV	57,462	$4.5m0.35%	0.35%	Added +672	+672 1.2%
71	MEDTRONIC PLC SHS MDT	MDT	53,045	$4.4m0.34%	0.34%	Added +142	+142 0.3%
72	MASTERCARD INCORPORATED CL A MA	MA	10,462	$4.4m0.34%	0.34%	Added +311	+311 3.1%
73	NIKE INC CL B NKE	NKE	42,042	$4.4m0.34%	0.34%	Added +5.7k	+5,703 15.7%
74	ISHARES GOLD TR ISHARES NEW IAU	IAU	111,400	$4.3m0.34%	0.34%	Reduced -1.1k	-1,057 -0.9%
75	SERVICENOW INC COM NOW	NOW	6,302	$4.3m0.33%	0.33%	Added +429	+429 7.3%
76	GLOBAL X FDS NASDAQ 100 COVER QYLD	QYLD	248,180	$4.3m0.33%	0.33%	Added +141.7k	+141,723 133.1%
77	ISHARES TR MSCI USA QLT FCT QUAL	QUAL	29,161	$4.2m0.33%	0.33%	Added +3.1k	+3,141 12.1%
78	BANK AMERICA CORP COM BAC	BAC	124,406	$4.2m0.33%	0.33%	Added +12.7k	+12,717 11.4%
79	VANGUARD WHITEHALL FDS HIGH DIV YLD VYM	VYM	37,126	$4.1m0.32%	0.32%	Added +4.6k	+4,596 14.1%
80	ISHARES TR EAFE VALUE ETF EFV	EFV	79,600	$4.1m0.32%	0.32%	Added +9.9k	+9,874 14.2%
81	INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT RSP	RSP	26,309	$4.1m0.32%	0.32%	Added +10.1k	+10,149 62.8%
82	UNITED PARCEL SERVICE INC CL B UPS	UPS	25,270	$4.0m0.31%	0.31%	Added +69	+69 0.3%
83	PEPSICO INC COM PEP	PEP	22,600	$3.9m0.31%	0.31%	Added +383	+383 1.7%
84	MCDONALDS CORP COM MCD	MCD	13,190	$3.9m0.30%	0.30%	Added +259	+259 2.0%
85	ISHARES TR CORE MSCI TOTAL IXUS	IXUS	59,502	$3.8m0.30%	0.30%	Reduced -4.5k	-4,474 -7.0%
86	INTERNATIONAL BUSINESS MACHS COM IBM	IBM	23,523	$3.8m0.29%	0.29%	Added +357	+357 1.5%
87	ELI LILLY & CO COM LLY	LLY	6,088	$3.8m0.29%	0.29%	Added +55	+55 0.9%
88	BLACKSTONE INC COM BX	BX	30,322	$3.7m0.29%	0.29%	Added +1.1k	+1,107 3.8%
89	PROCTER AND GAMBLE CO COM PG	PG	24,892	$3.7m0.29%	0.29%	Added +424	+424 1.7%
90	AIRBNB INC COM CL A ABNB	ABNB	27,284	$3.6m0.28%	0.28%	Added +829	+829 3.1%
91	COCA COLA CO COM KO	KO	60,542	$3.6m0.28%	0.28%	Added +895	+895 1.5%
92	VANGUARD INTL EQUITY INDEX F FTSE SMCAP ETF VSS	VSS	32,171	$3.6m0.28%	0.28%	Added +995	+995 3.2%
93	DISNEY WALT CO COM DIS	DIS	38,723	$3.5m0.28%	0.28%	Reduced -954	-954 -2.4%
94	SPDR SERIES TRUST PORTFLI HIGH YLD SPHY	SPHY	151,061	$3.5m0.27%	0.27%	Added +18.0k	+18,004 13.5%
95	GOLDMAN SACHS GROUP INC COM GS	GS	9,187	$3.5m0.27%	0.27%	Reduced -54	-54 -0.6%
96	ISHARES TR US TREAS BD ETF GOVT	GOVT	152,129	$3.5m0.27%	0.27%	Reduced -5.5k	-5,509 -3.5%
97	SELECT SECTOR SPDR TR SBI HEALTHCARE XLV	XLV	24,387	$3.4m0.26%	0.26%	Reduced -2.6k	-2,584 -9.6%
98	ESSEX PPTY TR INC COM ESS	ESS	13,775	$3.3m0.26%	0.26%	Added +854	+854 6.6%
99	AMGEN INC COM AMGN	AMGN	10,859	$3.3m0.25%	0.25%	Added +4.4k	+4,415 68.5%
100	AFFIRM HLDGS INC COM CL A AFRM	AFRM	75,010	$3.3m0.25%	0.25%	Unchanged

Sold out since Q3 2023

Security	Ticker	Shares held before	Value then
ILLUMINA INC ILMN	ILMN	16,604	$1.8m16.6k shares
WISDOMTREE TR USDU	USDU	57,049	$1.6m57.0k shares
SELECT SECTOR SPDR TR XLP	XLP	7,671	$525.3k7.7k shares
WISDOMTREE TR USFR	USFR	8,579	$432.5k8.6k shares
COPA HOLDINGS SA CPA	CPA	4,797	$421.7k4.8k shares
STMICROELECTRONICS N V STM	STM	9,084	$367.6k9.1k shares
ISHARES TR IGSB	IGSB	6,603	$328.8k6.6k shares
LIBERTY ALL STAR EQUITY FD USA	USA	47,921	$288.0k47.9k shares
FS CREDIT OPPORTUNITIES CORP FSCO	FSCO	48,264	$278.0k48.3k shares
HANCOCK JOHN FINL OPPTYS FD BTO	BTO	9,670	$256.4k9.7k shares
ARCHER DANIELS MIDLAND CO ADM	ADM	3,376	$243.6k3.4k shares
DRDGOLD LIMITED DRD	DRD	28,498	$243.1k28.5k shares
PIONEER NAT RES CO PXD	PXD	1,002	$232.3k1.0k shares
INTERACTIVE BROKERS GROUP IN IBKR	IBKR	2,702	$221.7k2.7k shares
MONOLITHIC PWR SYS INC MPWR	MPWR	419	$202.2k419 shares
HEWLETT PACKARD ENTERPRISE C HPE	HPE	12,693	$198.3k12.7k shares
AMERICA MOVIL SAB DE CV AMX	AMX	11,246	$190.4k11.2k shares
VODAFONE GROUP PLC NEW VOD	VOD	14,013	$133.1k14.0k shares
CRYOPORT INC CYRX	CYRX	10,335	$116.8k10.3k shares
TOWNSQUARE MEDIA INC TSQ	TSQ	10,800	$95.9k10.8k shares
AUGMEDIX INC AUGX	AUGX	11,834	$63.9k11.8k shares

Options (notional value)

Underlying	Ticker	Type	Shares controlled	Notional	Change
B. RILEY FINANCIAL INC RILY · Put	RILY	Put	10,000	$50010.0k shares	New