13F-HR filed by DFPG INVESTMENTS, LLC
DFPG INVESTMENTS, LLC filed this 13F-HR for the quarter ended 2018-12-31, filed 2019-01-22, with 120 holding rows worth $75,497,000.
- Accession
- 0001085146-19-000199
- Filer
- CIK 1504665
- Filed
- 2019-01-22
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2018
A holdings report, 120 entries on the cover page, a total value of $75,497,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $75,497,000 with VALUE read as thousands by filing date, 13F file number 028-18973. The quarter's positions are built on this report. The resolved quarter.
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| Apple Inc | 037833100 | COM | 21,912 | $3,456,000 | thousands by filing date | |
| INVESCO QQQ TR | 46090E103 | COM | 15,552 | $2,399,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 8,458 | $2,114,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 1,340 | $2,013,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 9,141 | $1,866,000 | thousands by filing date | |
| FIRST TR VALUE LINE DIVID IN | 33734H106 | SHS | 63,646 | $1,851,000 | thousands by filing date | |
| AMERICAN FINANCE TRUST INC | 02607T109 | COM CLASS A | 133,948 | $1,784,000 | thousands by filing date | |
| INVESCO EXCHANGE-TRADED FD TR S&P 500 EQUAL WEIGHT ETF | 46137V357 | COM | 18,106 | $1,655,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 12,325 | $1,616,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 15,581 | $1,583,000 | thousands by filing date | |
| Vanguard High Dividend Yield ETF | 921946406 | SHS | 17,421 | $1,359,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 4,155 | $1,340,000 | thousands by filing date | |
| Vanguard S&P 500 ETF | 922908363 | COM | 5,510 | $1,266,000 | thousands by filing date | |
| FIRST TRUST LOW DURATION OPPORTUNITIES ETF | 33739Q200 | ETF | 23,841 | $1,217,000 | thousands by filing date | |
| ISHARES INC | 464286525 | MSCI GBL MIN VOL | 14,873 | $1,209,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 31,248 | $1,191,000 | thousands by filing date | |
| SPDR SER TR | 78464A292 | WELLS FG PFD ETF | 29,967 | $1,185,000 | thousands by filing date | |
| iShares iBoxx Inv Grade Corporate Bond ETF | 464287242 | SHS | 10,031 | $1,132,000 | thousands by filing date | |
| Vanguard Extended Market ETF | 922908652 | SHS | 10,320 | $1,030,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 990 | $1,025,000 | thousands by filing date | |
| SPDR Portfolio S&P 500 High Dividend ETF | 78468R788 | SHS | 29,646 | $1,010,000 | thousands by filing date | |
| IJH | 464287507 | COM | 5,874 | $975,000 | thousands by filing date | |
| COLONY CR REAL ESTATE INC | 19625T101 | COM CL A | 59,751 | $943,000 | thousands by filing date | |
| PROSHARES TR | 74348A467 | S&P 500 DV ARIST | 15,464 | $936,000 | thousands by filing date | |
| BERKSHIRE HATHAWAY INC DEL | 084670108 | CL A | 3 | $918,000 | thousands by filing date | |
| Vanguard Small-Cap ETF | 922908751 | SHS | 6,654 | $878,000 | thousands by filing date | |
| VTI | 922908769 | COM | 6,873 | $877,000 | thousands by filing date | |
| MasterCard, Inc | 57636Q104 | COM | 4,517 | $852,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739Q408 | FIRST TR ENH NEW | 13,455 | $805,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739Q309 | HIGH INCM STRGC | 17,115 | $792,000 | thousands by filing date | |
| ALIBABA GROUP HLDG LTD | 01609W102 | SPONSORED ADS | 5,766 | $790,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 7,889 | $770,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X772 | S&P INTL ETF | 21,388 | $748,000 | thousands by filing date | |
| FS KKR CAPITAL CORP | 302635107 | COM | 141,452 | $733,000 | thousands by filing date | |
| SPDR SER TR STATE STR SPDR PORT S&P 500 ETF | 78464A854 | SHS | 23,523 | $687,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V608 | BLACKSTONE SENR | 15,183 | $679,000 | thousands by filing date | |
| Vanguard Growth | 922908736 | COM | 5,013 | $673,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 5,876 | $649,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 25,541 | $629,000 | thousands by filing date | |
| Vanguard FTSE Developed Markets ETF | 921943858 | SHS | 16,781 | $623,000 | thousands by filing date | |
| Netflix, Inc | 64110L106 | COM | 2,235 | $598,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 5,456 | $594,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 5,180 | $568,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J117 | EUROPE ALPHADEX | 18,324 | $568,000 | thousands by filing date | |
| iShares Core S&P Small-Cap ETF | 464287804 | SHS | 8,090 | $561,000 | thousands by filing date | |
| WYNN RESORTS LTD | 983134107 | COM | 5,664 | $560,000 | thousands by filing date | |
| iShares U.S. Aerospace & Defense ETF | 464288760 | SHS | 3,235 | $559,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 4,153 | $536,000 | thousands by filing date | |
| NIKE,Inc. Class B | 654106103 | COM | 7,228 | $536,000 | thousands by filing date | |
| SPDR S&P Dividend ETF | 78464A763 | SHS | 5,986 | $536,000 | thousands by filing date | |
| ISHARES TR | 464288687 | COM | 15,484 | $530,000 | thousands by filing date | |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 8,427 | $522,000 | thousands by filing date | |
| STATE STREET SPDR RUSSELL YIELD F | 78468R770 | ETF | 8,290 | $513,000 | thousands by filing date | |
| Proshares Short S&P | 74347B425 | COM | 16,334 | $512,000 | thousands by filing date | |
| MOODYS CORP COM | 615369105 | Stock | 3,568 | $500,000 | thousands by filing date | |
| NVIDIA Corp | 67066G104 | COM | 3,717 | $496,000 | thousands by filing date | |
| Vanguard Real Estate | 922908553 | SHS | 6,587 | $491,000 | thousands by filing date | |
| Vanguard Mid-Cap Growth ETF | 922908538 | SHS | 4,002 | $479,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X749 | ST DOW GLOBA ETF | 10,788 | $477,000 | thousands by filing date | |
| iShares Core MSCI EAFE ETF | 46432F842 | SHS | 8,629 | $475,000 | thousands by filing date | |
| Eli Lilly and Company | 532457108 | COM | 3,869 | $448,000 | thousands by filing date | |
| SPDW | 78463X889 | COM | 16,918 | $447,000 | thousands by filing date | |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 5,056 | $437,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 10,002 | $433,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010L103 | COM | 27,544 | $429,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 410 | $428,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 336920103 | US EQTY OPPT ETF | 6,861 | $426,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 17,500 | $417,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 9,220 | $402,000 | thousands by filing date | |
| Costco Wholesale Corporation | 22160K105 | COM | 1,889 | $385,000 | thousands by filing date | |
| DBX ETF TR | 233051200 | XTRACK MSCI EAFE | 13,731 | $383,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R506 | RISNG DIVD ACHIV | 14,466 | $383,000 | thousands by filing date | |
| BLACKSTONE GROUP LP | 09253U108 | COM UNIT LTD | 12,851 | $383,000 | thousands by filing date | |
| Goldman Sachs Group,Inc. | 38141G104 | COM | 2,251 | $376,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33735J101 | COM SHS | 8,135 | $376,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V175 | S&P SML600 GWT | 3,601 | $375,000 | thousands by filing date | |
| Wells Fargo & Company | 949746101 | COM | 7,990 | $368,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 7,521 | $340,000 | thousands by filing date | |
| REAVES UTIL INCOME FD | 756158101 | COM SH BEN INT | 11,420 | $336,000 | thousands by filing date | |
| ZEBRA TECHNOLOGIES CORPORATION CL A | 989207105 | Stock | 2,078 | $331,000 | thousands by filing date | |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 5,589 | $321,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 3,472 | $319,000 | thousands by filing date | |
| Fidelity MSCI Information Technology Index ETF | 316092808 | SHS | 6,436 | $317,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 5,647 | $317,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 3,977 | $304,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 1,535 | $299,000 | thousands by filing date | |
| ISHARES TR | 464287432 | 20 YR TR BD ETF | 2,451 | $298,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 10,193 | $291,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y483 | NASDAQ 100 COVER | 13,434 | $286,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 3,093 | $285,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 4,147 | $283,000 | thousands by filing date | |
| VANGUARD WORLD FD | 92204A603 | INDUSTRIAL ETF | 2,344 | $282,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738D309 | SENIOR LN FD | 5,823 | $265,000 | thousands by filing date | |
| FLEXSHARES INTERNATIONALQUALITY DIVIDEND DYNAMICINDEX FUND | 33939L829 | ETF | 12,165 | $264,000 | thousands by filing date | |
| iShares S&P 500 Growth ETF | 464287309 | SHS | 1,716 | $259,000 | thousands by filing date | |
| SCHD | 808524797 | COM | 5,433 | $255,000 | thousands by filing date | |
| OGE ENERGY CORP | 670837103 | COM | 6,504 | $255,000 | thousands by filing date | |
| iShares Core US Aggregate Bond ETF | 464287226 | SHS | 2,383 | $254,000 | thousands by filing date | |
| ALLSPRING UTILITIES AND HIGH | 94987E109 | WF UTILITIES INC | 22,093 | $247,000 | thousands by filing date | |
| GLOBAL NET LEASE INC COM NEW | 379378201 | REIT | 13,847 | $244,000 | thousands by filing date | |
| ONEOK INC NEW | 682680103 | COM | 4,468 | $241,000 | thousands by filing date | |
| Broadcom Inc. | 11135F101 | COM | 940 | $239,000 | thousands by filing date | |
| STATE STR SPDR DOW JONES IND | 78467X109 | UT SER 1 | 1,015 | $237,000 | thousands by filing date | |
| iShares MBS ETF | 464288588 | SHS | 2,251 | $236,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R783 | 0-5 HIGH YIELD | 2,363 | $225,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 4,759 | $223,000 | thousands by filing date | |
| REALTY INCOME CORP COM | 756109104 | REIT | 3,486 | $220,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A649 | ST STR AGGRE ETF | 7,793 | $217,000 | thousands by filing date | |
| APOLLO UNVT CORP | 03761U502 | COM NEW | 16,919 | $210,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q866 | ALERIAN MLP | 23,688 | $207,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 22,730 | $172,000 | thousands by filing date | |
| BLACKROCK CORPORATE HIGH YIELD | 09255P107 | COM | 14,751 | $137,000 | thousands by filing date | |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 11,351 | $135,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 15,893 | $84,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 21,214 | $82,000 | thousands by filing date | |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 10,715 | $66,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAQ5 | NOTE 4.750% 4/1 | 60,000 | $59,000 | thousands by filing date | principal |
| JUST ENERGY GROUP INC | 48213W101 | COM | 13,114 | $43,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 10,000 | $38,000 | thousands by filing date | |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 10,000 | $9,000 | thousands by filing date | principal |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-19-000199 | this filing | 2019-01-22 | acceptance time not in the bulk data set |