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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
+13.19%
1 Year Est. Return
+27.55%
3 Year Est. Return
+38.18%
5 Year Est. Return
+159.07%
10 Year Est. Return
–
AUM
$217M
AUM Growth
+$30.2M
Cap. Flow
+$8.82M
Cap. Flow %
4.06%
Top 10 Hldgs %
33.74%
Holding
196
New
23
Increased
56
Reduced
74
Closed
32

Top Buys

Rank Stock Value
1
NVDA icon
NVIDIA
NVDA
+$6.1M
2
BABA icon
Alibaba
BABA
+$5.18M
3
META icon
Meta Platforms (Facebook)
META
+$3.98M
4
PINS icon
Pinterest
PINS
+$2.42M
5
JETS icon
US Global Jets ETF
JETS
+$2.2M

Top Sells

Rank Stock Value
1
ARCT icon
Arcturus Therapeutics
ARCT
+$6.42M
2
SLV icon
iShares Silver Trust
SLV
+$3.06M
3
BRK.B icon
Berkshire Hathaway Class B
BRK.B
+$1.22M
4
IEHS
iShares Evolved U.S. Healthcare Staples ETF
IEHS
+$1.08M
5
CNC icon
Centene
CNC
+$1.04M

Sector Composition

Rank Sector Weight
1 Technology 17.74%
2 Healthcare 12.73%
3 Communication Services 7.45%
4 Consumer Discretionary 7.43%
5 Financials 6.6%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
CRM icon
76
Salesforce
CRM
$151B
$810K 0.37%
3,648
+2,551
+233% +$620K
STOR
77
DELISTED
STORE Capital Corporation
STOR
$806K 0.37%
+25,995
New +$790K
CSCO icon
78
Cisco
CSCO
$457B
$790K 0.36%
17,541
-7,861
-31% -$323K
SHW icon
79
Sherwin-Williams
SHW
$82.7B
$783K 0.36%
3,222
+255
+9% +$60.5K
QYLD icon
80
Global X NASDAQ-100 Covered Call ETF
QYLD
$8.11B
$764K 0.35%
33,138
+2,482
+8% +$54.9K
LMT icon
81
Lockheed Martin
LMT
$134B
$741K 0.34%
2,205
+260
+13% +$95.6K
LMBS icon
82
First Trust Exchange-Traded Fund IV First Trust Low Duration Opportunities ETF
LMBS
$6.35B
$733K 0.34%
14,218
-12,319
-46% -$635K
FPX icon
83
First Trust US Equity Opportunities ETF
FPX
$1.47B
$732K 0.34%
5,937
-19
-0.3% -$2.06K
VOT icon
84
Vanguard Morningstar Mid-Cap Growth ETF
VOT
$19.2B
$724K 0.33%
3,319
-73
-2% -$14.4K
STAA icon
85
STAAR Surgical
STAA
$1.21B
$709K 0.33%
8,400
– –
BNDX icon
86
Vanguard Total International Bond ETF
BNDX
$81.9B
$704K 0.32%
12,062
-5,364
-31% -$313K
TSLA icon
87
Tesla
TSLA
$1.23T
$693K 0.32%
2,361
-297
-11% -$50.7K
EXR icon
88
Extra Space Storage
EXR
$31.3B
$691K 0.32%
6,164
+2
+0% +$228
CLX icon
89
Clorox
CLX
$11.6B
$686K 0.32%
3,468
+492
+17% +$102K
PSK icon
90
State Street SPDR ICE Preferred Securities ETF
PSK
$692M
$671K 0.31%
15,495
-2,951
-16% -$129K
HYLS icon
91
First Trust Exchange-Traded Fund IV First Trust Tactical High Yield ETF
HYLS
$1.61B
$628K 0.29%
12,829
+5,570
+77% +$268K
GOOG icon
92
Alphabet (Google) Class C
GOOG
$4.36T
$625K 0.29%
6,920
-20
-0.3% -$1.69K
NFLX icon
93
Netflix
NFLX
$299B
$620K 0.29%
12,140
-3,830
-24% -$194K
LLY icon
94
Eli Lilly
LLY
$1.02T
$592K 0.27%
3,560
+4
+0.1% +$597
SRLN icon
95
State Street Blackstone Senior Loan ETF
SRLN
$5.3B
$587K 0.27%
12,773
-3,415
-21% -$154K
FSK icon
96
FS KKR Capital
FSK
$2.96B
$569K 0.26%
32,754
-4,388
-12% -$72.9K
XLV icon
97
State Street Health Care Select Sector SPDR ETF
XLV
$41.9B
$521K 0.24%
4,440
-1,193
-21% -$130K
BRSP
98
BrightSpire Capital
BRSP
$634M
$488K 0.22%
56,409
-6,941
-11% -$45K
VGT icon
99
Vanguard Information Technology ETF
VGT
$139B
$471K 0.22%
10,552
-4,168
-28% -$171K
SPDW icon
100
State Street SPDR Portfolio Developed World ex-US ETF
SPDW
$40.2B
$462K 0.21%
13,145
-123
-0.9% -$3.88K
2 3
4
5 6

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AAM
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DFPG Investments's Q4 2020 Portfolio in Review

As of Q4 2020, DFPG Investments held 196 positions worth $217M, up 16% from $187M the previous quarter. Its ten largest holdings account for 34% of the portfolio.

DFPG Investments deployed $8.82M of net new capital in Q4 2020, opening 23 new positions and adding to 56 existing holdings. Its largest new stake was Pinterest: 40,364 shares worth $2.9M.

By sector, the portfolio is most concentrated in Technology at 18% of assets, up from 15% a quarter earlier, followed by Healthcare and Communication Services.

On the sell side, the largest reduction was Arcturus Therapeutics, an estimated $6.42M trimmed.

  • DFPG Investments's largest Q4 2020 buy was Pinterest: 40,364 shares worth $2.9M.
  • DFPG Investments added most to NVIDIA in Q4 2020, an estimated $6.1M increase.
  • DFPG Investments's biggest Q4 2020 reduction was Arcturus Therapeutics, cutting an estimated $6.42M.
  • DFPG Investments fully exited iShares Silver Trust in Q4 2020, selling an estimated $3.06M.
  • DFPG Investments's ten largest holdings make up 34% of its $217M portfolio in Q4 2020.
  • DFPG Investments opened 23 new positions and closed 32 in Q4 2020.
  • DFPG Investments's portfolio value rose 16% quarter-over-quarter to $217M.

Based on DFPG Investments's 13F filing for Q4 2020, filed 19 Jan 2021.