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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
+5.72%
1 Year Est. Return
+27.55%
3 Year Est. Return
+38.18%
5 Year Est. Return
+159.07%
10 Year Est. Return
–
AUM
$234M
AUM Growth
+$16.6M
Cap. Flow
+$9.29M
Cap. Flow %
3.97%
Top 10 Hldgs %
31.59%
Holding
181
New
18
Increased
73
Reduced
52
Closed
23

Top Buys

Rank Stock Value
1
SRGA
Surgalign Holdings, Inc. Common Stock
SRGA
+$5.21M
2
ET icon
Energy Transfer Partners
ET
+$3.88M
3
ROST icon
Ross Stores
ROST
+$3.24M
4
GLD icon
SPDR Gold Trust
GLD
+$2.87M
5
AVYA
Avaya Holdings Corp. Common Stock
AVYA
+$1.98M

Top Sells

Rank Stock Value
1
ARCT icon
Arcturus Therapeutics
ARCT
+$5.75M
2
BABA icon
Alibaba
BABA
+$2.32M
3
AAPL icon
Apple
AAPL
+$2.06M
4
NVDA icon
NVIDIA
NVDA
+$2.01M
5
AMD icon
Advanced Micro Devices
AMD
+$1.64M

Sector Composition

Rank Sector Weight
1 Technology 13.63%
2 Healthcare 12.3%
3 Consumer Discretionary 8.78%
4 Communication Services 8.12%
5 Financials 5.25%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
JPST icon
26
JPMorgan Ultra-Short Income ETF
JPST
$40.1B
$2.29M 0.98%
45,241
+5,556
+14% +$282K
SPY icon
27
State Street SPDR S&P 500 ETF Trust
SPY
$771B
$2.21M 0.95%
5,448
-79
-1% -$30.5K
FLOT icon
28
iShares Floating Rate Bond ETF
FLOT
$10.2B
$2.2M 0.94%
43,385
+75
+0.2% +$3.81K
CCL icon
29
Carnival Corporation Ltd
CCL
$38.1B
$2.2M 0.94%
78,270
+12,999
+20% +$307K
COST icon
30
Costco
COST
$432B
$2.19M 0.94%
6,068
+724
+14% +$252K
SHOP icon
31
Shopify
SHOP
$168B
$2.19M 0.94%
19,100
-10,160
-35% -$1.23M
IAU icon
32
iShares Gold Trust
IAU
$62.8B
$2.15M 0.92%
65,461
+2,757
+4% +$94.2K
JPM icon
33
JPMorgan Chase
JPM
$916B
$2.13M 0.91%
13,835
+272
+2% +$39.1K
BA icon
34
Boeing
BA
$169B
$2.12M 0.9%
8,162
+630
+8% +$140K
VXUS icon
35
Vanguard Total International Stock ETF
VXUS
$151B
$2.07M 0.89%
32,266
+885
+3% +$55.5K
QCOM icon
36
Qualcomm
QCOM
$164B
$2.02M 0.86%
14,361
+2,632
+22% +$380K
RSP icon
37
Invesco S&P 500 Equal Weight ETF
RSP
$97.3B
$1.92M 0.82%
13,318
-95
-0.7% -$12.8K
XLE icon
38
State Street Energy Select Sector SPDR ETF
XLE
$39B
$1.8M 0.77%
73,378
+19,304
+36% +$445K
PEP icon
39
PepsiCo
PEP
$196B
$1.78M 0.76%
12,421
+367
+3% +$50.4K
B
40
Barrick Mining
B
$60.9B
$1.77M 0.76%
+85,679
New +$1.85M
UNH icon
41
UnitedHealth
UNH
$382B
$1.65M 0.71%
4,465
+433
+11% +$150K
RCL icon
42
Royal Caribbean
RCL
$86.5B
$1.65M 0.7%
18,490
+5,451
+42% +$432K
NCLH icon
43
Norwegian Cruise Line
NCLH
$9.53B
$1.63M 0.69%
54,742
+17,546
+47% +$467K
ABBV icon
44
AbbVie
ABBV
$465B
$1.58M 0.67%
14,864
+944
+7% +$101K
BND icon
45
Vanguard Total Bond Market
BND
$158B
$1.57M 0.67%
18,551
+544
+3% +$46.9K
OBDC icon
46
Blue Owl Capital
OBDC
$5.35B
$1.57M 0.67%
111,197
+7,315
+7% +$99.6K
PFEB icon
47
Innovator US Equity Power Buffer ETF February
PFEB
$907M
$1.54M 0.66%
55,525
-4,475
-7% -$120K
JMST icon
48
JPMorgan Ultra-Short Municipal Income ETF
JMST
$7.12B
$1.52M 0.65%
29,843
+24,037
+414% +$1.23M
VXF icon
49
Vanguard Extended Market ETF
VXF
$30B
$1.52M 0.65%
8,431
-264
-3% -$46.9K
PARA
50
DELISTED
Paramount Global Class B
PARA
$1.5M 0.64%
35,015
-7,335
-17% -$448K
1
2
3 4 5

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BWM
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AAM
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WP
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B
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DGAM
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DFPG Investments's Q1 2021 Portfolio in Review

As of Q1 2021, DFPG Investments held 181 positions worth $234M, up 7.6% from $217M the previous quarter. Its ten largest holdings account for 32% of the portfolio.

DFPG Investments deployed $9.29M of net new capital in Q1 2021, opening 18 new positions and adding to 73 existing holdings. Its largest new stake was Energy Transfer Partners: 531,098 shares worth $4.15M.

By sector, the portfolio is most concentrated in Technology at 14% of assets, down from 18% a quarter earlier, followed by Healthcare and Consumer Discretionary.

On the sell side, the largest reduction was Alibaba, an estimated $2.32M trimmed.

  • DFPG Investments's largest Q1 2021 buy was Energy Transfer Partners: 531,098 shares worth $4.15M.
  • DFPG Investments added most to Surgalign Holdings, Inc. Common Stock in Q1 2021, an estimated $5.21M increase.
  • DFPG Investments's biggest Q1 2021 reduction was Alibaba, cutting an estimated $2.32M.
  • DFPG Investments fully exited Arcturus Therapeutics in Q1 2021, selling an estimated $5.75M.
  • DFPG Investments's ten largest holdings make up 32% of its $234M portfolio in Q1 2021.
  • DFPG Investments opened 18 new positions and closed 23 in Q1 2021.
  • DFPG Investments's portfolio value rose 7.6% quarter-over-quarter to $234M.

Based on DFPG Investments's 13F filing for Q1 2021, filed 14 Apr 2021.