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DFPG Investments Portfolio holdings

AUM $1.28B
1-Year Est. Return 27.55%
This Fund
S&P 500
This Quarter Est. Return
-1.44%
1 Year Est. Return
+27.55%
3 Year Est. Return
+38.18%
5 Year Est. Return
+159.07%
10 Year Est. Return
–
AUM
$1.08B
AUM Growth
-$34M
Cap. Flow
+$13.1M
Cap. Flow %
1.22%
Top 10 Hldgs %
21.95%
Holding
648
New
73
Increased
222
Reduced
265
Closed
73

Top Buys

Rank Stock Value
1
XLE icon
State Street Energy Select Sector SPDR ETF
XLE
+$21.5M
2
XOP icon
State Street SPDR S&P Oil & Gas Exploration & Production ETF
XOP
+$13.8M
3
BKMC icon
BNY Mellon US Mid Cap Core Equity ETF
BKMC
+$11.3M
4
AMD icon
Advanced Micro Devices
AMD
+$6.81M
5
IVV icon
iShares Core S&P 500 ETF
IVV
+$6.7M

Top Sells

Rank Stock Value
1
XHE icon
State Street SPDR S&P Health Care Equipment ETF
XHE
+$30.3M
2
GLD icon
SPDR Gold Trust
GLD
+$18.7M
3
TLT icon
iShares 20+ Year Treasury Bond ETF
TLT
+$16.2M
4
IEF icon
iShares 7-10 Year Treasury Bond ETF
IEF
+$14.4M
5
XLV icon
State Street Health Care Select Sector SPDR ETF
XLV
+$11.1M

Sector Composition

Rank Sector Weight
1 Technology 18.2%
2 Financials 7.8%
3 Healthcare 6.81%
4 Consumer Discretionary 5.98%
5 Communication Services 5.21%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
DHR icon
376
Danaher
DHR
$137B
$442K 0.04%
2,547
+173
+7% +$38.6K
CARR icon
377
Carrier Global
CARR
$51B
$440K 0.04%
8,733
+104
+1% +$5.72K
ING icon
378
ING
ING
$99.8B
$440K 0.04%
+34,003
New +$479K
SLYG icon
379
State Street SPDR S&P 600 Small Cap Growth ETF
SLYG
$5.07B
$440K 0.04%
6,230
-11,369
-65% -$876K
SLYV icon
380
State Street SPDR S&P 600 Small Cap Value ETF
SLYV
$4.89B
$438K 0.04%
6,307
-11,212
-64% -$866K
EMBJ
381
Embraer S.A. ADS
EMBJ
$12.2B
$435K 0.04%
+28,685
New +$427K
BLK icon
382
Blackrock
BLK
$169B
$434K 0.04%
666
+80
+14% +$55.9K
SAIA icon
383
Saia
SAIA
$9.27B
$433K 0.04%
1,130
+586
+108% +$236K
COP icon
384
ConocoPhillips
COP
$147B
$433K 0.04%
3,792
+1,267
+50% +$147K
USFR icon
385
WisdomTree Floating Rate Treasury Fund
USFR
$18.4B
$432K 0.04%
8,579
-9,941
-54% -$501K
HYG icon
386
iShares iBoxx $ High Yield Corporate Bond ETF
HYG
$15.9B
$431K 0.04%
5,851
-5,686
-49% -$425K
VIPS icon
387
Vipshop
VIPS
$7.37B
$429K 0.04%
+30,294
New +$492K
CB icon
388
Chubb
CB
$135B
$427K 0.04%
1,953
-268
-12% -$54.2K
SHM icon
389
State Street SPDR Nuveen ICE Short Term Municipal Bond ETF
SHM
$3.46B
$427K 0.04%
9,142
-358
-4% -$16.8K
FIX icon
390
Comfort Systems
FIX
$60.9B
$426K 0.04%
+2,300
New +$404K
ARCC icon
391
Ares Capital
ARCC
$13.5B
$424K 0.04%
21,813
-4,861
-18% -$94.2K
CPA icon
392
Copa Holdings
CPA
$5.76B
$422K 0.04%
+4,797
New +$498K
BAX icon
393
Baxter International
BAX
$13.5B
$416K 0.04%
12,657
-10,270
-45% -$437K
TQQQ icon
394
ProShares UltraPro QQQ
TQQQ
$32.9B
$414K 0.04%
21,640
+6,260
+41% +$127K
TCOM icon
395
Trip.com Group
TCOM
$29.6B
$412K 0.04%
+12,232
New +$460K
STZ icon
396
Constellation Brands
STZ
$22.2B
$410K 0.04%
1,716
-227
-12% -$59.3K
ESML icon
397
iShares ESG Aware MSCI USA Small-Cap ETF
ESML
$2.82B
$410K 0.04%
12,783
-11,341
-47% -$404K
CUBE icon
398
CubeSmart
CUBE
$9.39B
$408K 0.04%
11,160
-4,413
-28% -$186K
ARKK icon
399
ARK Innovation ETF
ARKK
$5.66B
$407K 0.04%
10,420
+10
+0.1% +$441
SPSC icon
400
SPS Commerce
SPSC
$2.64B
$407K 0.04%
2,450
+921
+60% +$163K
14 15
16
17 18

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BWM
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AAM
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B
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DFPG Investments's Q3 2023 Portfolio in Review

As of Q3 2023, DFPG Investments held 648 positions worth $1.08B, down 3.1% from $1.11B the previous quarter. Its ten largest holdings account for 22% of the portfolio.

DFPG Investments's Q3 2023 filing shows 73 new, 222 increased, 265 reduced and 73 closed positions. Its largest new stake was State Street SPDR S&P Oil & Gas Exploration & Production ETF: 96,328 shares worth $13.1M. The largest sale was State Street SPDR S&P Health Care Equipment ETF, an estimated $30.3M.

By sector, the portfolio is most concentrated in Technology at 18% of assets, up from 17% a quarter earlier, followed by Financials and Healthcare.

  • DFPG Investments's largest Q3 2023 buy was State Street SPDR S&P Oil & Gas Exploration & Production ETF: 96,328 shares worth $13.1M.
  • DFPG Investments added most to State Street Energy Select Sector SPDR ETF in Q3 2023, an estimated $21.5M increase.
  • DFPG Investments's biggest Q3 2023 reduction was SPDR Gold Trust, cutting an estimated $18.7M.
  • DFPG Investments fully exited State Street SPDR S&P Health Care Equipment ETF in Q3 2023, selling an estimated $30.3M.
  • DFPG Investments's ten largest holdings make up 22% of its $1.08B portfolio in Q3 2023.
  • DFPG Investments opened 73 new positions and closed 73 in Q3 2023.
  • DFPG Investments's portfolio value fell 3.1% quarter-over-quarter to $1.08B.

Based on DFPG Investments's 13F filing for Q3 2023, filed 13 Nov 2023.