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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
+1.99%
1 Year Est. Return
+27.55%
3 Year Est. Return
+38.18%
5 Year Est. Return
+159.07%
10 Year Est. Return
–
AUM
$121M
AUM Growth
+$16.6M
Cap. Flow
+$19.1M
Cap. Flow %
15.78%
Top 10 Hldgs %
30.34%
Holding
183
New
20
Increased
81
Reduced
52
Closed
24

Top Buys

Rank Stock Value
1
ARCT icon
Arcturus Therapeutics
ARCT
+$4.98M
2
VTI icon
Vanguard Total Stock Market ETF
VTI
+$4.17M
3
VXUS icon
Vanguard Total International Stock ETF
VXUS
+$2.6M
4
ICSH icon
iShares Ultra Short Duration Bond Active ETF
ICSH
+$2.41M
5
ABBV icon
AbbVie
ABBV
+$1.22M

Top Sells

Rank Stock Value
1
ZBRA icon
Zebra Technologies
ZBRA
+$1.21M
2
NVDA icon
NVIDIA
NVDA
+$1.04M
3
AAPL icon
Apple
AAPL
+$574K
4
AX icon
Axos Financial
AX
+$548K
5
SIVB
SVB Financial Group
SIVB
+$498K

Sector Composition

Rank Sector Weight
1 Healthcare 9.9%
2 Technology 9.78%
3 Financials 8.93%
4 Communication Services 5.73%
5 Consumer Discretionary 3.58%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
LAZ icon
76
Lazard
LAZ
$4.21B
$466K 0.39%
+13,329
New +$472K
CVX icon
77
Chevron
CVX
$374B
$455K 0.38%
4,069
-155
-4% -$18.8K
FPX icon
78
First Trust US Equity Opportunities ETF
FPX
$1.47B
$454K 0.38%
6,142
-722
-11% -$56.8K
RDVY icon
79
First Trust Rising Dividend Achievers ETF
RDVY
$24.7B
$443K 0.37%
14,471
+1
+0% +$31
DWX icon
80
State Street SPDR S&P International Dividend ETF
DWX
$527M
$440K 0.36%
11,407
-3,008
-21% -$117K
ATVI
81
DELISTED
Activision Blizzard
ATVI
$433K 0.36%
8,005
+1,829
+30% +$91.2K
GOOG icon
82
Alphabet (Google) Class C
GOOG
$4.07T
$422K 0.35%
7,100
-3,320
-32% -$196K
LLY icon
83
Eli Lilly
LLY
$1.09T
$420K 0.35%
3,920
+105
+3% +$11.7K
ONEY icon
84
State Street SPDR Russell 1000 Yield Focus ETF
ONEY
$689M
$415K 0.34%
6,176
-52
-0.8% -$3.61K
VGT icon
85
Vanguard Information Technology ETF
VGT
$136B
$404K 0.33%
15,328
+1,448
+10% +$39K
NFLX icon
86
Netflix
NFLX
$301B
$401K 0.33%
14,800
-2,340
-14% -$73.2K
FTA icon
87
First Trust Large Cap Value AlphaDEX Fund
FTA
$1.41B
$398K 0.33%
8,140
+2
+0% +$103
IYG icon
88
iShares US Financial Services ETF
IYG
$2.18B
$394K 0.33%
9,045
+1,077
+14% +$48.5K
FDIS icon
89
Fidelity MSCI Consumer Discretionary Index ETF
FDIS
$1.64B
$386K 0.32%
8,667
+1,484
+21% +$68.3K
WB icon
90
Weibo
WB
$1.95B
$386K 0.32%
8,335
-403
-5% -$17.1K
VWO icon
91
Vanguard FTSE Emerging Markets ETF
VWO
$119B
$382K 0.32%
9,583
-5,971
-38% -$246K
NKE icon
92
Nike
NKE
$63.9B
$380K 0.31%
4,146
-2,006
-33% -$172K
UBER icon
93
Uber
UBER
$144B
$378K 0.31%
12,896
-328
-2% -$12.3K
ZM icon
94
Zoom
ZM
$26.8B
$377K 0.31%
5,122
+2,352
+85% +$212K
BA icon
95
Boeing
BA
$175B
$375K 0.31%
1,003
-362
-27% -$129K
CSCO icon
96
Cisco
CSCO
$456B
$375K 0.31%
8,075
-425
-5% -$22.1K
JNJ icon
97
Johnson & Johnson
JNJ
$643B
$359K 0.3%
2,725
-225
-8% -$29.6K
HYLS icon
98
First Trust Exchange-Traded Fund IV First Trust Tactical High Yield ETF
HYLS
$1.6B
$353K 0.29%
7,363
+34
+0.5% +$1.64K
UTG icon
99
Reaves Utility Income Fund
UTG
$3.57B
$352K 0.29%
9,836
-522
-5% -$19K
OKE icon
100
Oneok
OKE
$55.9B
$350K 0.29%
5,125
+546
+12% +$38.6K
2 3
4
5 6

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BWM
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AAM
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B
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DGAM
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FAAM
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DFPG Investments's Q3 2019 Portfolio in Review

As of Q3 2019, DFPG Investments held 183 positions worth $121M, up 16% from $104M the previous quarter. Its ten largest holdings account for 30% of the portfolio.

DFPG Investments deployed $19.1M of net new capital in Q3 2019, opening 20 new positions and adding to 81 existing holdings. Its largest new stake was Arcturus Therapeutics: 460,450 shares worth $4.8M.

By sector, the portfolio is most concentrated in Healthcare at 9.9% of assets, up from 5% a quarter earlier, followed by Technology and Financials.

On the sell side, the largest reduction was Apple, an estimated $574K trimmed.

  • DFPG Investments's largest Q3 2019 buy was Arcturus Therapeutics: 460,450 shares worth $4.8M.
  • DFPG Investments added most to Vanguard Total Stock Market ETF in Q3 2019, an estimated $4.17M increase.
  • DFPG Investments's biggest Q3 2019 reduction was Apple, cutting an estimated $574K.
  • DFPG Investments fully exited Zebra Technologies in Q3 2019, selling an estimated $1.21M.
  • DFPG Investments's ten largest holdings make up 30% of its $121M portfolio in Q3 2019.
  • DFPG Investments opened 20 new positions and closed 24 in Q3 2019.
  • DFPG Investments's portfolio value rose 16% quarter-over-quarter to $121M.

Based on DFPG Investments's 13F filing for Q3 2019, filed 15 Oct 2019.