13F-HR filed by DFPG INVESTMENTS, LLC
DFPG INVESTMENTS, LLC filed this 13F-HR for the quarter ended 2021-06-30, filed 2021-07-21, with 173 holding rows worth $264,328,000.
- Accession
- 0001085146-21-002039
- Filer
- CIK 1504665
- Filed
- 2021-07-21
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2021
A combination report, 173 entries on the cover page, a total value of $264,328,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $264,328,000 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.
Other managers
- reports for this filerTOWNSQUARE CAPITAL LLC028-19141
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 |
|---|---|---|---|---|---|---|
| FIRST TR EXCHANGE-TRADED FD | 33739Q408 | FIRST TR ENH NEW | 174,119 | $10,437,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 56,272 | $8,195,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C409 | COM | 98,640 | $8,148,000 | thousands by filing date | |
| BlackRock Ultra Short-Term Bond ETF | 46434V878 | SHS | 159,749 | $8,067,000 | thousands by filing date | |
| INVESCO QQQ TR | 46090E103 | COM | 21,815 | $7,906,000 | thousands by filing date | |
| HEALTHEQUITY INC COM | 42226A107 | Stock | 98,062 | $7,676,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 21,738 | $7,654,000 | thousands by filing date | |
| NVIDIA Corp | 67066G104 | COM | 8,291 | $6,716,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 1,797 | $6,608,000 | thousands by filing date | |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 37,068 | $6,273,000 | thousands by filing date | |
| BLUE OWL CAPITAL CORPORATION COM | 69121K104 | CEF | 415,960 | $6,040,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 21,237 | $5,967,000 | thousands by filing date | |
| ENERGY TRANSFER L P | 29273V100 | COM UT LTD PTN | 540,659 | $5,558,000 | thousands by filing date | |
| PINTEREST INC CL A | 72352L106 | Stock | 62,136 | $4,481,000 | thousands by filing date | |
| VTI | 922908769 | COM | 19,429 | $4,376,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 1,693 | $4,312,000 | thousands by filing date | |
| ALIBABA GROUP HLDG LTD | 01609W102 | SPONSORED ADS | 19,246 | $4,032,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP | 674599105 | COM | 130,587 | $3,928,000 | thousands by filing date | |
| MODERNA INC | 60770K107 | COM | 15,935 | $3,747,000 | thousands by filing date | |
| ZOETIS INC CL A | 98978V103 | Stock | 17,919 | $3,571,000 | thousands by filing date | |
| ROSS STORES INC COM | 778296103 | Stock | 27,356 | $3,356,000 | thousands by filing date | |
| SHOPIFY INC | 82509L107 | CL A SUB VTG SHS | 2,067 | $3,135,000 | thousands by filing date | |
| PARAMOUNT GLOBAL | 92556H206 | CLASS B COM | 69,800 | $2,972,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 30,605 | $2,762,000 | thousands by filing date | |
| ASANA INC | 04342Y104 | CL A | 38,878 | $2,674,000 | thousands by filing date | |
| Costco Wholesale Corporation | 22160K105 | COM | 6,521 | $2,655,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 11,387 | $2,599,000 | thousands by filing date | |
| U.S. GLOBAL JETS ETF | 26922A842 | ETF | 108,633 | $2,527,000 | thousands by filing date | |
| INNOVATOR U.S. EQUITY BUFFER ETF - OCTOBER | 45782C771 | ETF | 77,669 | $2,511,000 | thousands by filing date | |
| iShares Floating Rate Bond ETF | 46429B655 | SHS | 48,573 | $2,468,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 13,145 | $2,414,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 17,042 | $2,406,000 | thousands by filing date | |
| iShares TIPS Bond ETF | 464287176 | SHS | 18,391 | $2,359,000 | thousands by filing date | |
| iShares Gold Trust | 464285204 | COM | 66,429 | $2,288,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 14,657 | $2,281,000 | thousands by filing date | |
| CARNIVAL CORP COMMON STOCK | 143658300 | Stock | 98,091 | $2,241,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 4,969 | $2,165,000 | thousands by filing date | |
| BUMBLE INC | 12047B105 | COM CL A | 41,512 | $2,162,000 | thousands by filing date | |
| SNOWFLAKE INC COM SHS | 833445109 | Stock | 7,885 | $2,087,000 | thousands by filing date | |
| JPMORGAN ULTRA-SHORT MUNICIPAL INCOME ETF | 46641Q654 | ETF | 40,087 | $2,047,000 | thousands by filing date | |
| VANGUARD STAR FDS | 921909768 | COM | 30,966 | $2,030,000 | thousands by filing date | |
| INVESCO EXCHANGE-TRADED FD TR S&P 500 EQUAL WEIGHT ETF | 46137V357 | COM | 13,318 | $2,012,000 | thousands by filing date | |
| Vanguard Total Bond Market ETF | 921937835 | SHS | 22,526 | $1,935,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 16,331 | $1,926,000 | thousands by filing date | |
| NORWEGIAN CRUISE LINE HLDGS LT SHS | G66721104 | Stock | 72,453 | $1,890,000 | thousands by filing date | |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 35,160 | $1,841,000 | thousands by filing date | |
| BLACKSTONE INC | 09260D107 | COM | 18,158 | $1,813,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q837 | ULTRA SHRT ETF | 35,075 | $1,779,000 | thousands by filing date | |
| UNIVERSAL HLTH SVCS INC CL B | 913903100 | Stock | 11,367 | $1,737,000 | thousands by filing date | |
| TARGET CORP COM | 87612E106 | Stock | 6,755 | $1,701,000 | thousands by filing date | |
| PAYPALHLDGSINC | 70450Y103 | STOK | 5,642 | $1,699,000 | thousands by filing date | |
| Palantir Technologies Inc. Class A | 69608A108 | COM | 74,171 | $1,665,000 | thousands by filing date | |
| ROYAL CARIBBEAN GROUP COM | V7780T103 | Stock | 20,324 | $1,596,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C417 | US EQTY PWR BUF | 55,525 | $1,582,000 | thousands by filing date | |
| Vanguard Extended Market ETF | 922908652 | SHS | 8,431 | $1,560,000 | thousands by filing date | |
| PROSHARES TR | 74348A467 | S&P 500 DV ARIST | 16,575 | $1,513,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 37,798 | $1,507,000 | thousands by filing date | |
| Goldman Sachs Group,Inc. | 38141G104 | COM | 3,988 | $1,499,000 | thousands by filing date | |
| ESSENTIAL UTILS INC COM | 29670G102 | Stock | 31,488 | $1,483,000 | thousands by filing date | |
| CHEWYINCCLASSCLASSA | 16679L109 | STOK | 17,118 | $1,442,000 | thousands by filing date | |
| Broadcom Inc. | 11135F101 | COM | 2,819 | $1,364,000 | thousands by filing date | |
| BAIDU INC SPON ADR REP A | 056752108 | ADR | 7,217 | $1,332,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 24,886 | $1,327,000 | thousands by filing date | |
| FIRST TR VALUE LINE DIVID IN | 33734H106 | SHS | 30,166 | $1,209,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 450 | $1,179,000 | thousands by filing date | |
| Vanguard High Dividend Yield ETF | 921946406 | SHS | 10,976 | $1,151,000 | thousands by filing date | |
| VALARIS LTD | G9460G101 | CL A | 39,449 | $1,142,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 32,521 | $1,128,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 16,438 | $1,118,000 | thousands by filing date | |
| Uber Technologies | 90353T100 | COM | 22,974 | $1,105,000 | thousands by filing date | |
| STORE CAP CORP | 862121100 | COM | 30,618 | $1,094,000 | thousands by filing date | |
| SHERWIN WILLIAMS CO | 824348106 | COM | 3,825 | $1,064,000 | thousands by filing date | |
| EXTRA SPACE STORAGE INC COM | 30225T102 | REIT | 6,202 | $1,064,000 | thousands by filing date | |
| Lockheed Martin Corporation | 539830109 | COM | 2,774 | $1,048,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 16,812 | $1,024,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X192 | CLOUD COMPUTING | 9,663 | $1,018,000 | thousands by filing date | |
| Vanguard Growth | 922908736 | COM | 3,274 | $960,000 | thousands by filing date | |
| FIRST TRUST LOW DURATION OPPORTUNITIES ETF | 33739Q200 | ETF | 18,681 | $950,000 | thousands by filing date | |
| GRANITESHARES ETF TR | 38747R603 | CMN | 22,063 | $920,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 337345102 | SHS | 5,798 | $916,000 | thousands by filing date | |
| Vanguard S&P 500 ETF | 922908363 | COM | 2,247 | $900,000 | thousands by filing date | |
| FS KKR CAP CORP | 302635206 | COM | 41,503 | $879,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 3,140 | $877,000 | thousands by filing date | |
| DRAFTKINGS INC | 26142R104 | COM CL A | 18,105 | $864,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y483 | NASDAQ 100 COVER | 38,232 | $862,000 | thousands by filing date | |
| Salesforce.com, Inc | 79466L302 | COM | 3,242 | $791,000 | thousands by filing date | |
| Eli Lilly and Company | 532457108 | COM | 3,352 | $789,000 | thousands by filing date | |
| Vanguard Small-Cap ETF | 922908751 | SHS | 3,312 | $733,000 | thousands by filing date | |
| TRANSLATE BIO INC. | 89374L104 | Common Stock | 24,700 | $728,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 336920103 | US EQTY OPPT ETF | 5,812 | $726,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 1,052 | $703,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A375 | ST INTER BD ETF | 19,082 | $700,000 | thousands by filing date | |
| Vanguard Total International Bond Index Fund ETF | 92203J407 | SHS | 12,165 | $698,000 | thousands by filing date | |
| Vanguard Mid-Cap Growth ETF | 922908538 | SHS | 2,934 | $693,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 4,505 | $689,000 | thousands by filing date | |
| FIRST TRUST HIGH YIELD LONG/SH | 33738D408 | FIRST TR TA HIYL | 14,155 | $687,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 7,475 | $651,000 | thousands by filing date | |
| STAAR SURGICAL CO COM PAR $0.01 | 852312305 | Stock | 4,406 | $595,000 | thousands by filing date | |
| Schwab U.S. Large-Cap ETF | 808524201 | SHS | 5,410 | $571,000 | thousands by filing date | |
| SPDR SER TR | 78464A292 | WELLS FG PFD ETF | 11,928 | $524,000 | thousands by filing date | |
| AMERICAN FINANCE TRUST INC | 02607T109 | COM CLASS A | 60,512 | $506,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010L103 | COM | 24,436 | $488,000 | thousands by filing date | |
| Adobe Inc | 00724F101 | COM | 802 | $485,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 4,543 | $472,000 | thousands by filing date | |
| BRIGHTSPIRE CAPITAL INC COM CL A | 10949T109 | REIT | 48,643 | $471,000 | thousands by filing date | |
| ISHARES TR CORE S&P 500 ETF | 464287200 | SHS | 1,054 | $461,000 | thousands by filing date | |
| SPDR SER TR STATE STR SPDR PORT S&P 500 ETF | 78464A854 | SHS | 8,988 | $460,000 | thousands by filing date | |
| Danaher Corporation | 235851102 | COM | 1,635 | $452,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V608 | BLACKSTONE SENR | 9,797 | $451,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 1,744 | $423,000 | thousands by filing date | |
| SPDR Portfolio S&P 500 High Dividend ETF | 78468R788 | SHS | 9,671 | $385,000 | thousands by filing date | |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 2,981 | $384,000 | thousands by filing date | |
| ISHARES TR | 464287770 | U.S. FIN SVC ETF | 1,967 | $366,000 | thousands by filing date | |
| MasterCard, Inc | 57636Q104 | COM | 939 | $360,000 | thousands by filing date | |
| SPDW | 78463X889 | COM | 9,504 | $351,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R506 | RISNG DIVD ACHIV | 7,223 | $347,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092204 | MSCI CONSM DIS | 4,160 | $342,000 | thousands by filing date | |
| AMERICAN AIRLINES GROUP INC COM | 02376R102 | Stock | 17,045 | $341,000 | thousands by filing date | |
| Fidelity MSCI Information Technology Index ETF | 316092808 | SHS | 2,822 | $340,000 | thousands by filing date | |
| VGT | 92204A702 | SHS | 820 | $335,000 | thousands by filing date | |
| CROWDSTRIKE HLDGS INC | 22788C105 | COM | 1,265 | $330,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 2,750 | $326,000 | thousands by filing date | |
| Accenture Plc Class A | G1151C101 | COM | 1,020 | $319,000 | thousands by filing date | |
| PGIM ETF TR | 69344A206 | ACTV HY BD ETF | 7,629 | $316,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 976 | $309,000 | thousands by filing date | |
| ARK ETF TR | 00214Q104 | INNOVATION ETF | 2,525 | $309,000 | thousands by filing date | |
| STATE STREET SPDR RUSSELL YIELD F | 78468R770 | ETF | 3,233 | $306,000 | thousands by filing date | |
| GLOBAL NET LEASE INC COM NEW | 379378201 | REIT | 15,882 | $295,000 | thousands by filing date | |
| AVAYA HLDGS CORP | 05351X101 | COM | 11,350 | $294,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 2,930 | $286,000 | thousands by filing date | |
| iShares iBoxx Inv Grade Corporate Bond ETF | 464287242 | SHS | 2,097 | $282,000 | thousands by filing date | |
| Starbucks Corporation | 855244109 | COM | 2,359 | $282,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F437 | COM | 8,494 | $281,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E302 | DJ INTERNT IDX | 1,127 | $277,000 | thousands by filing date | |
| COPART INC COM | 217204106 | Stock | 1,978 | $274,000 | thousands by filing date | |
| EIGER BIOPHARMACEUTICALS INC | 28249U105 | COM | 32,430 | $269,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X749 | ST DOW GLOBA ETF | 4,971 | $263,000 | thousands by filing date | |
| Netflix, Inc | 64110L106 | COM | 462 | $250,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 6,781 | $249,000 | thousands by filing date | |
| Vanguard Real Estate | 922908553 | SHS | 2,384 | $249,000 | thousands by filing date | |
| UNITED AIRLS HLDGS INC COM | 910047109 | Stock | 5,130 | $249,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33737A108 | NASDQ CLN EDGE | 2,643 | $248,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 1,429 | $242,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 574 | $240,000 | thousands by filing date | |
| Raytheon Technologies Corporation | 75513E101 | COM | 2,773 | $237,000 | thousands by filing date | |
| ILLUMINA INC | 452327109 | COM | 486 | $235,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E104 | CAP STRENGTH ETF | 3,045 | $233,000 | thousands by filing date | |
| Honeywell Technologies | 438516106 | COM | 1,032 | $231,000 | thousands by filing date | |
| L3HARRIS TECHNOLOGIES INC COM | 502431109 | Stock | 1,023 | $230,000 | thousands by filing date | |
| NIKE,Inc. Class B | 654106103 | COM | 1,396 | $226,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 4,253 | $226,000 | thousands by filing date | |
| WYNN RESORTS LTD | 983134107 | COM | 2,027 | $226,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 7,943 | $225,000 | thousands by filing date | |
| JD.COM INC SPON ADS CL A | 47215P106 | ADR | 2,926 | $224,000 | thousands by filing date | |
| ServiceNow,Inc. | 81762P102 | COM | 396 | $221,000 | thousands by filing date | |
| NORTHERN LIGHTS FD TR | 66538J738 | TOEWS AGLTY DNYM | 8,608 | $218,000 | thousands by filing date | |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 1,413 | $215,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189H805 | RARE EAR STR ETF | 2,200 | $214,000 | thousands by filing date | |
| RINGCENTRAL INC | 76680R206 | CL A | 750 | $212,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E370 | S&P 500 HB ETF | 2,861 | $211,000 | thousands by filing date | |
| SHAKE SHACK INC | 819047101 | CL A | 2,035 | $208,000 | thousands by filing date | |
| THETRADEDESKINCCLASSCLASSA | 88339J105 | STOK | 2,677 | $205,000 | thousands by filing date | |
| ALPHATEC HLDGS INC | 02081G201 | COM NEW | 12,657 | $191,000 | thousands by filing date | |
| UBS AG ETRACS SILVER SHARES COVERED CALL ETNS DUE APRIL 21, 2033 ETP 2022-2 | 22542D449 | ETF | 14,695 | $89,000 | thousands by filing date | |
| ENTHUSIAST GAMING HLDGS INC | 29385B109 | COM | 16,000 | $77,000 | thousands by filing date | |
| SURGALIGN HOLDINGS INC | 86882C105 | COM | 49,685 | $58,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 18,703 | $56,000 | thousands by filing date | |
| CHARLES + COLVARD LTD | 159765106 | COM | 13,000 | $35,000 | thousands by filing date | |
| PENNYMAC CORP | 70932AAD5 | BOND | 20,000 | $20,000 | thousands by filing date | principal |
| TWO HARBORS INVENTMENT CORPO | 90187BAA9 | NOTE 6.250% 1/1 | 20,000 | $20,000 | thousands by filing date | principal |
| APOLLO COML REAL EST FIN INC | 03762UAB1 | NOTE 4.750% 8/2 | 15,000 | $15,000 | thousands by filing date | principal |
| THERAPEUTICSMD INC | 88338N107 | COM | 10,000 | $11,000 | thousands by filing date | |
| APOLLO COML REAL ESTATE FIN | 03762UAC9 | BOND | 10,000 | $10,000 | thousands by filing date | principal |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-21-002039 | this filing | 2021-07-21 | acceptance time not in the bulk data set |