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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
RWO icon
101
State Street SPDR Dow Jones Global Real Estate ETF
RWO
$1.32B
$350K 0.29%
6,760
-607
-8% -$30.8K
VNQ icon
102
Vanguard Real Estate ETF
VNQ
$40B
$345K 0.29%
3,716
-107
-3% -$9.71K
FTSL icon
103
First Trust Senior Loan Fund ETF
FTSL
$2.32B
$329K 0.27%
6,978
+39
+0.6% +$1.85K
LQD icon
104
iShares iBoxx $ Investment Grade Corporate Bond ETF
LQD
$34.5B
$328K 0.27%
2,569
-655
-20% -$82.5K
VEA icon
105
Vanguard FTSE Developed Markets ETF
VEA
$225B
$318K 0.26%
7,945
-4,347
-35% -$178K
JHMU
106
DELISTED
John Hancock Multifactor Utilities ETF
JHMU
$309K 0.26%
+9,045
New +$299K
ORCL icon
107
Oracle
ORCL
$346B
$301K 0.25%
5,565
-1,497
-21% -$82.7K
PFF icon
108
iShares Preferred and Income Securities ETF
PFF
$13.2B
$301K 0.25%
8,104
-3,102
-28% -$115K
FIDU icon
109
Fidelity MSCI Industrials Index ETF
FIDU
$2.34B
$300K 0.25%
+7,897
New +$311K
STAA icon
110
STAAR Surgical
STAA
$1.13B
$295K 0.24%
+12,000
New +$365K
SCHD icon
111
Schwab US Dividend Equity ETF
SCHD
$104B
$287K 0.24%
16,311
+6
+0% +$107
AVGO icon
112
Broadcom
AVGO
$1.81T
$282K 0.23%
10,420
-1,380
-12% -$39.2K
BIDU icon
113
Baidu
BIDU
$35.7B
$275K 0.23%
2,762
+1,012
+58% +$109K
AMGN icon
114
Amgen
AMGN
$212B
$271K 0.22%
1,381
+17
+1% +$3.26K
IQDY icon
115
FlexShares International Quality Dividend Dynamic Index Fund
IQDY
$108M
$265K 0.22%
11,315
– –
IVW icon
116
iShares S&P 500 Growth ETF
IVW
$71.9B
$265K 0.22%
6,044
-1,824
-23% -$82.5K
OGE icon
117
OGE Energy
OGE
$10.2B
$254K 0.21%
5,839
– –
ERH
118
Allspring Utilities & High Income Fund
ERH
$106M
$253K 0.21%
18,907
-1,320
-7% -$17.4K
D icon
119
Dominion Energy
D
$62.1B
$251K 0.21%
+3,109
New +$240K
LMT icon
120
Lockheed Martin
LMT
$134B
$247K 0.2%
+646
New +$243K
MRK icon
121
Merck
MRK
$326B
$241K 0.2%
3,035
-635
-17% -$50.9K
ICLN icon
122
iShares Global Clean Energy ETF
ICLN
$2.27B
$239K 0.2%
21,893
+6,332
+41% +$69K
MBB icon
123
iShares MBS ETF
MBB
$39.2B
$239K 0.2%
+2,205
New +$238K
MUB icon
124
iShares National Muni Bond ETF
MUB
$45.3B
$239K 0.2%
2,088
-19
-0.9% -$2.17K
SPYV icon
125
State Street SPDR Portfolio S&P 500 Value ETF
SPYV
$36.5B
$239K 0.2%
+7,727
New +$243K
3 4
5
6 7

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BWM
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AAM
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DGAM
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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.