Skip to content
Disclosery

DFPG INVESTMENTS, LLC

Follow

13F filer, CIK 1504665, SANDY, UT

DFPG INVESTMENTS, LLC reported $931,132,833 across 514 holdings for the quarter ended 2023-03-31, in a 13F-HR filed 2023-04-11. Its ten largest share positions make up 26.14% of the portfolio.

Filed (acceptance time not in the bulk data set), ingested 13F-HR 0001085146-23-001603

Period
2023-03-31
Reported value
$931M
Holdings
514
Top 10 weight
26.14%
New
100
Sold out
20

Largest buys vs the previous quarter

SecurityShares changeApprox. value
IEFadded+320,394$31.8M
TLTadded+261,192$27.8M
SHYadded+212,268$17.4M
EDVnew+168,717$15.3M
STIPadded+135,768$13.5M

Ranked by the share change valued at this quarter's implied price (value over shares in the 13F). A position sold out is valued at the previous quarter's price, its last report.

Largest sells vs the previous quarter

SecurityShares changeApprox. value
XLUexited-133,195-$9.6M
DEreduced-11,834-$4.89M
VALexited-68,282-$4.69M
JPSTreduced-49,839-$2.51M
FLOTreduced-46,232-$2.33M

Ranked by the share change valued at this quarter's implied price (value over shares in the 13F). A position sold out is valued at the previous quarter's price, its last report.

Holdings, Q1 2023

Share positions as resolved from 13F-HR 0001085146-23-001603, largest first. % of portfolio is the value over $931,095,183, the sum of the share positions whose value is usable for ratios (method).

SecurityHistorySharesValue% of portfolioChangeLatest eventTimeline
BIZDVANECK ETF TRUSTQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2021Q2: restricted; 2021Q3: restricted; 2021Q4: restricted; 2022Q1: not reported; 2022Q2: not reported; 2022Q3: not reported; 2022Q4: 10,218 shares; 2023Q1: 10,343 shares 10,343$153K0.02%+125Timeline
FBRTFRANKLIN BSP RLTY TR INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2021Q2: restricted; 2021Q3: restricted; 2021Q4: restricted; 2022Q1: not reported; 2022Q2: not reported; 2022Q3: not reported; 2022Q4: 12,413 shares; 2023Q1: 12,474 shares 12,474$149K0.02%+61Timeline
GAPGAP INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2021Q2: restricted; 2021Q3: restricted; 2021Q4: restricted; 2022Q1: not reported; 2022Q2: not reported; 2022Q3: not reported; 2022Q4: 12,400 shares; 2023Q1: 13,068 shares 13,068$131K0.01%+668Timeline
BDJBLACKROCK ENHANCED EQUITY DIQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2021Q2: restricted; 2021Q3: restricted; 2021Q4: restricted; 2022Q1: not reported; 2022Q2: not reported; 2022Q3: not reported; 2022Q4: 12,801 shares; 2023Q1: 12,801 shares 12,801$110K0.01%0Timeline
TEVATEVA PHARMACEUTICAL INDS LTDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2021Q2: restricted; 2021Q3: restricted; 2021Q4: restricted; 2022Q1: not reported; 2022Q2: not reported; 2022Q3: not reported; 2022Q4: 10,170 shares; 2023Q1: 10,170 shares 10,170$90K0.01%0Timeline
ILPTINDUSTRIAL LOGISTICS PPTYS TQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2021Q2: restricted; 2021Q3: restricted; 2021Q4: restricted; 2022Q1: not reported; 2022Q2: not reported; 2022Q3: not reported; 2022Q4: not reported; 2023Q1: 22,283 shares 22,283$68.4K0.01%newTimeline
AUGMEDIX INCAUGMEDIX INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2021Q2: restricted; 2021Q3: restricted; 2021Q4: restricted; 2022Q1: not reported; 2022Q2: not reported; 2022Q3: not reported; 2022Q4: 28,668 shares; 2023Q1: 29,186 shares 29,186$50.8K0.01%+518
STREAMLINE HEALTH SOLUTIONSSTREAMLINE HEALTH SOLUTIONSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2021Q2: restricted; 2021Q3: restricted; 2021Q4: restricted; 2022Q1: not reported; 2022Q2: not reported; 2022Q3: not reported; 2022Q4: 11,048 shares; 2023Q1: 27,272 shares 27,272$49.1K0.01%+16,224
QURATE RETAIL INCQURATE RETAIL INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2021Q2: restricted; 2021Q3: restricted; 2021Q4: restricted; 2022Q1: not reported; 2022Q2: not reported; 2022Q3: not reported; 2022Q4: 34,585 shares; 2023Q1: 40,115 shares 40,115$39.6K<0.01%+5,530
TTITETRA TECHNOLOGIES INC DELQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2021Q2: restricted; 2021Q3: restricted; 2021Q4: restricted; 2022Q1: not reported; 2022Q2: not reported; 2022Q3: not reported; 2022Q4: 11,580 shares; 2023Q1: 12,091 shares 12,091$32K<0.01%+511Timeline
EIGER BIOPHARMACEUTICALS INCEIGER BIOPHARMACEUTICALS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2021Q2: restricted; 2021Q3: restricted; 2021Q4: restricted; 2022Q1: 32,430 shares; 2022Q2: 32,430 shares; 2022Q3: 32,430 shares; 2022Q4: 32,430 shares; 2023Q1: 32,430 shares 32,430$29.1K<0.01%0
ASPIRA WOMENS HEALTH INCASPIRA WOMENS HEALTH INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2021Q2: restricted; 2021Q3: restricted; 2021Q4: restricted; 2022Q1: not reported; 2022Q2: not reported; 2022Q3: not reported; 2022Q4: 20,590 shares; 2023Q1: 57,198 shares 57,198$20.9K<0.01%+36,608

Options

Puts and calls, as filed. The amount and value describe the underlying shares, not the option premium, so they stay out of % of portfolio (H5).

SecurityTypeAmountValueChange
SCHWCHARLES SCHWAB CORP (THE) COMcall80,000$37.6Knew

Principal amounts

Notes and convertibles filed as a face amount (PRN). A face amount is never added to a share count (H6).

SecurityTypeAmountValueChange
WESTERN DIGITAL CORP.WESTERN DIGITAL CORP. NOTE 1.500% 2/0principal69,000$66.5Knew

Sold out in Q1 2023

Positions in the previous quarter's report that this quarter's report no longer lists.

SecurityShares beforeValue beforeType
XLUSELECT SECTOR SPDR TR133,195$9.6Mshares
VALVALARIS LTD68,282$4.69Mshares
LINDE PLC/OLDLINDE PLC/OLD2,503$825Kshares
ALCOALICO INC23,293$578Kshares
EEMISHARES TR13,575$554Kshares
DUCK CREEK TECHNOLOGIES INCDUCK CREEK TECHNOLOGIES INC26,069$496Kshares
ICSHISHARES TR8,957$449Kshares
STAASTAAR SURGICAL CO6,289$431Kshares
IEPICAHN ENTERPRISES LP7,094$376Kshares
VS TRUSTVS TRUST75,905$371Kshares
RDVYFIRST TR EXCHANGE TRADED FD6,562$303Kshares
HYGISHARES TR3,696$282Kshares
CNNECANNAE HLDGS INC11,664$264Kshares
IYGISHARES TR1,548$258Kshares
VVVANGUARD INDEX FDS1,369$247Kshares
NSCNORFOLK SOUTHN CORP928$238Kshares
FDISFIDELITY COVINGTON TRUST3,629$221Kshares
COFCAPITAL ONE FINL CORP1,996$203Kshares
PRCHPORCH GROUP INC12,236$25.6Kshares
CHARLES + COLVARD LTDCHARLES + COLVARD LTD11,611$10.9Kshares

How Q1 2023 was built

Available 13F filings of this filer for the quarter and their roles: the base report is the latest original or restatement, NEW HOLDINGS amendments filed after it are added (method).

FilingRoleAmendmentFiledAcceptedIngested
13F-HR 0001085146-23-001603 base2023-04-11acceptance time not in the bulk data set