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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
-12.29%
1 Year Est. Return
+27.55%
3 Year Est. Return
+38.18%
5 Year Est. Return
+159.07%
10 Year Est. Return
–
AUM
$134M
AUM Growth
-$18.8M
Cap. Flow
+$464K
Cap. Flow %
0.35%
Top 10 Hldgs %
35.77%
Holding
186
New
23
Increased
67
Reduced
58
Closed
30

Top Buys

Rank Stock Value
1
HQY icon
HealthEquity
HQY
+$6.68M
2
PFEB icon
Innovator US Equity Power Buffer ETF February
PFEB
+$1.39M
3
USO icon
United States Oil Fund
USO
+$957K
4
TEVA icon
Teva Pharmaceuticals
TEVA
+$939K
5
EXR icon
Extra Space Storage
EXR
+$645K

Top Sells

Rank Stock Value
1
VTI icon
Vanguard Morningstar Total Stock Market ETF
VTI
+$4.07M
2
VXUS icon
Vanguard Total International Stock ETF
VXUS
+$2.5M
3
ARCT icon
Arcturus Therapeutics
ARCT
+$1.79M
4
ZTS icon
Zoetis
ZTS
+$822K
5
LAZ icon
Lazard
LAZ
+$652K

Sector Composition

Rank Sector Weight
1 Technology 13.75%
2 Healthcare 12.67%
3 Financials 6.86%
4 Consumer Discretionary 4.8%
5 Communication Services 4.55%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
ATEC icon
151
Alphatec Holdings
ATEC
$1.46B
$48K 0.04%
12,657
– –
OTLK icon
152
Outlook Therapeutics
OTLK
$183M
$25K 0.02%
1,738
+1,063
+157% +$17.6K
AVYA
153
CALL
DELISTED
Avaya Holdings Corp. Common Stock
AVYA
$12K 0.01%
10,000
– –
TXMD icon
154
TherapeuticsMD
TXMD
$23.5M
$9K 0.01%
200
– –
UA icon
155
Under Armour Class C
UA
$2.77B
$1K ﹤0.01%
+95
New +$1.36K
AWR icon
156
American States Water
AWR
$3.36B
– –
-2,713
Closed -$232K
DAL icon
157
Delta Air Lines
DAL
$57.5B
– –
-9,709
Closed -$598K
DIAX
158
DELISTED
Nuveen Dow 30SM Dynamic Overwrite Fund
DIAX
– –
-10,027
Closed -$179K
DWX icon
159
State Street SPDR S&P International Dividend ETF
DWX
$529M
– –
-8,025
Closed -$324K
ET icon
160
Energy Transfer Partners
ET
$70.1B
– –
-18,791
Closed -$254K
EVV
161
Eaton Vance Limited Duration Income Fund
EVV
$1.06B
– –
-12,045
Closed -$161K
HYS icon
162
PIMCO 0-5 Year High Yield Corporate Bond Index Exchange-Traded Fund
HYS
$1.75B
– –
-2,468
Closed -$247K
IDV icon
163
iShares International Select Dividend ETF
IDV
$8.45B
– –
-6,081
Closed -$205K
INTC icon
164
Intel
INTC
$455B
– –
-3,632
Closed -$214K
LAZ icon
165
Lazard
LAZ
$4.13B
– –
-14,818
Closed -$652K
LMT icon
166
Lockheed Martin
LMT
$134B
– –
-531
Closed -$224K
LQD icon
167
iShares iBoxx $ Investment Grade Corporate Bond ETF
LQD
$34.3B
– –
-2,075
Closed -$267K
MRK icon
168
Merck
MRK
$322B
– –
-2,673
Closed -$234K
MUB icon
169
iShares National Muni Bond ETF
MUB
$45.1B
– –
-2,264
Closed -$260K
NKE icon
170
Nike
NKE
$61.9B
– –
-5,350
Closed -$550K
OGS icon
171
ONE Gas
OGS
$4.87B
– –
-2,305
Closed -$217K
OKE icon
172
Oneok
OKE
$57.2B
– –
-5,699
Closed -$433K
PTON icon
173
CALL
Peloton Interactive
PTON
$2.77B
– –
-10,000
Closed -$33K
PTON icon
174
Peloton Interactive
PTON
$2.77B
– –
-3,000
Closed -$93K
QTEC icon
175
First Trust NASDAQ-100 Technology Index Fund
QTEC
$4.52B
– –
-2,287
Closed -$237K
4 5 6
7
8

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DFPG Investments's Q1 2020 Portfolio in Review

As of Q1 2020, DFPG Investments held 186 positions worth $134M, down 12% from $153M the previous quarter. Its ten largest holdings account for 36% of the portfolio.

DFPG Investments's Q1 2020 filing shows 23 new, 67 increased, 58 reduced and 30 closed positions. Its largest new stake was HealthEquity: 100,650 shares worth $4.61M. The largest sale was Vanguard Morningstar Total Stock Market ETF, an estimated $4.07M.

By sector, the portfolio is most concentrated in Technology at 14% of assets, up from 12% a quarter earlier, followed by Healthcare and Financials.

  • DFPG Investments's largest Q1 2020 buy was HealthEquity: 100,650 shares worth $4.61M.
  • DFPG Investments added most to Teva Pharmaceuticals in Q1 2020, an estimated $939K increase.
  • DFPG Investments's biggest Q1 2020 reduction was Vanguard Morningstar Total Stock Market ETF, cutting an estimated $4.07M.
  • DFPG Investments fully exited Lazard in Q1 2020, selling an estimated $652K.
  • DFPG Investments's ten largest holdings make up 36% of its $134M portfolio in Q1 2020.
  • DFPG Investments opened 23 new positions and closed 30 in Q1 2020.
  • DFPG Investments's portfolio value fell 12% quarter-over-quarter to $134M.

Based on DFPG Investments's 13F filing for Q1 2020, filed 17 Apr 2020.