13F-HR filed by DFPG INVESTMENTS, LLC
DFPG INVESTMENTS, LLC filed this 13F-HR for the quarter ended 2019-09-30, filed 2019-10-15, with 159 holding rows worth $120,988,000.
- Accession
- 0001085146-19-002526
- Filer
- CIK 1504665
- Filed
- 2019-10-15
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2019
A holdings report, 159 entries on the cover page, a total value of $120,988,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $120,988,000 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 |
|---|---|---|---|---|---|---|
| VTI | 922908769 | COM | 52,935 | $7,767,000 | thousands by filing date | |
| ARCTURUS THERAPEUTICS HLDGS | 03969T109 | COM | 460,450 | $4,802,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 19,996 | $4,487,000 | thousands by filing date | |
| VANGUARD STAR FDS | 921909768 | COM | 84,080 | $4,248,000 | thousands by filing date | |
| INVESCO QQQ TR | 46090E103 | COM | 15,383 | $2,852,000 | thousands by filing date | |
| BlackRock Ultra Short-Term Bond ETF | 46434V878 | SHS | 54,673 | $2,752,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739Q408 | FIRST TR ENH NEW | 43,195 | $2,597,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 18,426 | $2,500,000 | thousands by filing date | |
| Vanguard Total Bond Market ETF | 921937835 | SHS | 27,884 | $2,363,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 11,487 | $2,344,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 1,341 | $2,287,000 | thousands by filing date | |
| ZOETIS INC CL A | 98978V103 | Stock | 17,332 | $2,173,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 1,761 | $2,096,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 7,234 | $2,087,000 | thousands by filing date | |
| INVESCO EXCHANGE-TRADED FD TR S&P 500 EQUAL WEIGHT ETF | 46137V357 | COM | 16,469 | $1,711,000 | thousands by filing date | |
| AMERICAN FINANCE TRUST INC | 02607T109 | COM CLASS A | 114,658 | $1,598,000 | thousands by filing date | |
| FIRST TR VALUE LINE DIVID IN | 33734H106 | SHS | 46,165 | $1,559,000 | thousands by filing date | |
| UNIVERSAL HLTH SVCS INC CL B | 913903100 | Stock | 10,376 | $1,486,000 | thousands by filing date | |
| Proshares Short S&P | 74347B425 | COM | 54,076 | $1,454,000 | thousands by filing date | |
| Vanguard High Dividend Yield ETF | 921946406 | SHS | 15,904 | $1,365,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 11,941 | $1,335,000 | thousands by filing date | |
| FIRST TRUST LOW DURATION OPPORTUNITIES ETF | 33739Q200 | ETF | 25,494 | $1,328,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 17,753 | $1,305,000 | thousands by filing date | |
| SPDR SER TR | 78464A292 | WELLS FG PFD ETF | 26,129 | $1,149,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 8,231 | $1,130,000 | thousands by filing date | |
| Vanguard Extended Market ETF | 922908652 | SHS | 9,655 | $1,089,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 20,285 | $1,087,000 | thousands by filing date | |
| BLACKSTONE INC | 09260D107 | COM | 23,061 | $1,052,000 | thousands by filing date | |
| Vanguard Total International Bond Index Fund ETF | 92203J407 | SHS | 17,249 | $1,015,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 26,904 | $1,008,000 | thousands by filing date | |
| FS KKR CAPITAL CORP | 302635107 | COM | 177,449 | $1,006,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 7,738 | $994,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 5,530 | $983,000 | thousands by filing date | |
| COLONY CR REAL ESTATE INC | 19625T101 | COM CL A | 70,021 | $962,000 | thousands by filing date | |
| Vanguard Small-Cap ETF | 922908751 | SHS | 6,450 | $961,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q837 | ULTRA SHRT ETF | 18,902 | $954,000 | thousands by filing date | |
| SHOPIFY INC | 82509L107 | CL A SUB VTG SHS | 3,057 | $951,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y483 | NASDAQ 100 COVER | 42,385 | $946,000 | thousands by filing date | |
| Vanguard S&P 500 ETF | 922908363 | COM | 3,488 | $924,000 | thousands by filing date | |
| ALIBABA GROUP HLDG LTD | 01609W102 | SPONSORED ADS | 5,659 | $916,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 32,849 | $908,000 | thousands by filing date | |
| MasterCard, Inc | 57636Q104 | COM | 3,333 | $890,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V373 | S&P500 EQL STP | 6,451 | $885,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739Q309 | HIGH INCM STRGC | 17,295 | $871,000 | thousands by filing date | |
| Vanguard Growth | 922908736 | COM | 5,003 | $815,000 | thousands by filing date | |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 5,596 | $794,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 4,593 | $792,000 | thousands by filing date | |
| SPDR SER TR STATE STR SPDR PORT S&P 500 ETF | 78464A854 | SHS | 22,243 | $754,000 | thousands by filing date | |
| Waste Management, Inc. | 94106L109 | COM | 6,559 | $753,000 | thousands by filing date | |
| ISHARES TR | 464287812 | US CONSM STAPLES | 5,780 | $714,000 | thousands by filing date | |
| SPDR Portfolio S&P 500 High Dividend ETF | 78468R788 | SHS | 19,428 | $708,000 | thousands by filing date | |
| PROSHARES TR | 74348A467 | S&P 500 DV ARIST | 10,112 | $697,000 | thousands by filing date | |
| PAYCOMSOFTWAREINC | 70432V102 | STOK | 3,267 | $678,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V608 | BLACKSTONE SENR | 14,410 | $660,000 | thousands by filing date | |
| iShares U.S. Aerospace & Defense ETF | 464288760 | SHS | 2,951 | $644,000 | thousands by filing date | |
| ISHARES TR | 464288711 | GLOB UTILITS ETF | 11,066 | $636,000 | thousands by filing date | |
| AQUA AMERICA INC | 03836W103 | COM | 14,011 | $631,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C409 | COM | 7,457 | $606,000 | thousands by filing date | |
| Utilities Select Sector SPDR Fund | 81369Y886 | SHS | 9,316 | $595,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J117 | EUROPE ALPHADEX | 17,853 | $591,000 | thousands by filing date | |
| PROSHARES TR | 74347B383 | ULTRASHRT S&P500 | 18,533 | $577,000 | thousands by filing date | |
| PAYPALHLDGSINC | 70450Y103 | STOK | 5,794 | $576,000 | thousands by filing date | |
| TD AMERITRADE HLDG CORP | 87236Y108 | COM | 17,082 | $571,000 | thousands by filing date | |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 6,252 | $551,000 | thousands by filing date | |
| Vanguard Mid-Cap Growth ETF | 922908538 | SHS | 3,773 | $544,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010L103 | COM | 29,443 | $536,000 | thousands by filing date | |
| LULULEMON ATHLETICA INC | 550021109 | COM | 2,793 | $534,000 | thousands by filing date | |
| CENTENE CORP DEL COM | 15135B101 | Stock | 12,240 | $523,000 | thousands by filing date | |
| AVAYA HLDGS CORP | 05351X101 | COM | 38,998 | $509,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y704 | INDL | 6,848 | $507,000 | thousands by filing date | |
| AMERICOLD REALTY TRUST INC COM | 03064D108 | REIT | 13,371 | $501,000 | thousands by filing date | |
| Fidelity MSCI Information Technology Index ETF | 316092808 | SHS | 7,774 | $485,000 | thousands by filing date | |
| SPDW | 78463X889 | COM | 16,825 | $481,000 | thousands by filing date | |
| DELTA AIR LINES INC COM NEW | 247361702 | Stock | 9,040 | $481,000 | thousands by filing date | |
| TWILIO INC CL A | 90138F102 | Stock | 4,424 | $480,000 | thousands by filing date | |
| LAZARD LTD-CLASS A | G54050102 | SHS A | 13,329 | $466,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 4,069 | $455,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 336920103 | US EQTY OPPT ETF | 6,142 | $454,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R506 | RISNG DIVD ACHIV | 14,471 | $443,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X772 | S&P INTL ETF | 11,407 | $440,000 | thousands by filing date | |
| ACTVISION BLIZZARD INC | 00507V109 | COM | 8,005 | $433,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 355 | $422,000 | thousands by filing date | |
| Eli Lilly and Company | 532457108 | COM | 3,920 | $420,000 | thousands by filing date | |
| STATE STREET SPDR RUSSELL YIELD F | 78468R770 | ETF | 6,176 | $415,000 | thousands by filing date | |
| VGT | 92204A702 | SHS | 1,916 | $404,000 | thousands by filing date | |
| Netflix, Inc | 64110L106 | COM | 1,480 | $401,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33735J101 | COM SHS | 8,140 | $398,000 | thousands by filing date | |
| ISHARES TR | 464287770 | U.S. FIN SVC ETF | 3,015 | $394,000 | thousands by filing date | |
| WEIBO CORP SPONSORED ADR | 948596101 | ADR | 8,335 | $386,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092204 | MSCI CONSM DIS | 8,667 | $386,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 9,583 | $382,000 | thousands by filing date | |
| NIKE,Inc. Class B | 654106103 | COM | 4,146 | $380,000 | thousands by filing date | |
| Uber Technologies | 90353T100 | COM | 12,896 | $378,000 | thousands by filing date | |
| ZOOM COMMUNICATIONS INC CL A | 98980L101 | Stock | 5,122 | $377,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 1,003 | $375,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 8,075 | $375,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 2,725 | $359,000 | thousands by filing date | |
| FIRST TRUST HIGH YIELD LONG/SH | 33738D408 | FIRST TR TA HIYL | 7,363 | $353,000 | thousands by filing date | |
| REAVES UTIL INCOME FD | 756158101 | COM SH BEN INT | 9,836 | $352,000 | thousands by filing date | |
| ONEOK INC NEW | 682680103 | COM | 5,125 | $350,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X749 | ST DOW GLOBA ETF | 6,760 | $350,000 | thousands by filing date | |
| Vanguard Real Estate | 922908553 | SHS | 3,716 | $345,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738D309 | SENIOR LN FD | 6,978 | $329,000 | thousands by filing date | |
| iShares iBoxx Inv Grade Corporate Bond ETF | 464287242 | SHS | 2,569 | $328,000 | thousands by filing date | |
| Vanguard FTSE Developed Markets ETF | 921943858 | SHS | 7,945 | $318,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J867 | MLTFACTR UTILS | 9,045 | $309,000 | thousands by filing date | |
| ISHARES TR | 464288687 | COM | 8,104 | $301,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 5,565 | $301,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092709 | MSCI INDL INDX | 7,897 | $300,000 | thousands by filing date | |
| STAAR SURGICAL CO COM PAR $0.01 | 852312305 | Stock | 12,000 | $295,000 | thousands by filing date | |
| SCHD | 808524797 | COM | 5,437 | $287,000 | thousands by filing date | |
| Broadcom Inc. | 11135F101 | COM | 1,042 | $282,000 | thousands by filing date | |
| BAIDU INC SPON ADR REP A | 056752108 | ADR | 2,762 | $275,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 1,381 | $271,000 | thousands by filing date | |
| iShares S&P 500 Growth ETF | 464287309 | SHS | 1,511 | $265,000 | thousands by filing date | |
| FLEXSHARES INTERNATIONALQUALITY DIVIDEND DYNAMICINDEX FUND | 33939L829 | ETF | 11,315 | $265,000 | thousands by filing date | |
| OGE ENERGY CORP | 670837103 | COM | 5,839 | $254,000 | thousands by filing date | |
| ALLSPRING UTILITIES AND HIGH | 94987E109 | WF UTILITIES INC | 18,907 | $253,000 | thousands by filing date | |
| DOMINION ENERGY INC COM | 25746U109 | Stock | 3,109 | $251,000 | thousands by filing date | |
| Lockheed Martin Corporation | 539830109 | COM | 646 | $247,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 2,896 | $241,000 | thousands by filing date | |
| iShares MBS ETF | 464288588 | SHS | 2,205 | $239,000 | thousands by filing date | |
| iShares S&P Global Clean Energy Index Fund | 464288224 | COM | 21,893 | $239,000 | thousands by filing date | |
| ISHARES TR | 464288414 | NATIONAL MUN ETF | 2,088 | $239,000 | thousands by filing date | |
| SPDR SER TR | 78464A508 | PRTFLO S&P500 VL | 7,727 | $239,000 | thousands by filing date | |
| COHEN & STEERS INFRASTRUCTUR | 19248A109 | COM | 9,196 | $238,000 | thousands by filing date | |
| ENERGY TRANSFER L P | 29273V100 | COM UT LTD PTN | 19,127 | $236,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F437 | COM | 8,136 | $235,000 | thousands by filing date | |
| GLOBAL NET LEASE INC COM NEW | 379378201 | REIT | 12,052 | $235,000 | thousands by filing date | |
| L3HARRIS TECHNOLOGIES INC COM | 502431109 | Stock | 1,117 | $234,000 | thousands by filing date | |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 4,171 | $233,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R783 | 0-5 HIGH YIELD | 2,305 | $227,000 | thousands by filing date | |
| iShares Core US Aggregate Bond ETF | 464287226 | SHS | 1,991 | $226,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 8,305 | $222,000 | thousands by filing date | |
| Costco Wholesale Corporation | 22160K105 | COM | 755 | $220,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A649 | ST STR AGGRE ETF | 7,352 | $219,000 | thousands by filing date | |
| IJH | 464287507 | COM | 1,170 | $217,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q783 | RIVRFRNT STR INC | 8,707 | $217,000 | thousands by filing date | |
| Vanguard Small-Cap Growth ETF | 922908595 | SHS | 1,210 | $215,000 | thousands by filing date | |
| SPDR S&P Dividend ETF | 78464A763 | SHS | 2,158 | $213,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 3,531 | $211,000 | thousands by filing date | |
| Vanguard Short-Term Bond ETF | 921937827 | SHS | 2,589 | $210,000 | thousands by filing date | |
| Starbucks Corporation | 855244109 | COM | 2,459 | $209,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 1,714 | $207,000 | thousands by filing date | |
| ISHARES TR | 464287457 | COM | 2,419 | $206,000 | thousands by filing date | |
| APOLLO UNVT CORP | 03761U502 | COM NEW | 13,321 | $205,000 | thousands by filing date | |
| BLACKROCK CORPORATE HIGH YIELD | 09255P107 | COM | 17,655 | $187,000 | thousands by filing date | |
| IQIYI INC SPONSORED ADS | 46267X108 | ADR | 10,270 | $161,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q866 | ALERIAN MLP | 17,962 | $159,000 | thousands by filing date | |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 12,476 | $156,000 | thousands by filing date | |
| CALAMOS CONVERTIBLE OPPORTUNIT | 128117108 | SH BEN INT | 11,590 | $121,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 21,907 | $92,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 15,620 | $77,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAQ5 | NOTE 4.750% 4/1 | 70,000 | $70,000 | thousands by filing date | principal |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | 881624209 | ADR | 10,400 | $68,000 | thousands by filing date | |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 60,000 | $60,000 | thousands by filing date | principal |
| THERAPEUTICSMD INC | 88338N107 | COM | 10,000 | $36,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W101 | COM | 12,720 | $27,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 10,000 | $17,000 | thousands by filing date | call |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-19-002526 | this filing | 2019-10-15 | acceptance time not in the bulk data set |