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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
+7.09%
1 Year Est. Return
+27.55%
3 Year Est. Return
+38.18%
5 Year Est. Return
+159.07%
10 Year Est. Return
–
AUM
$187M
AUM Growth
+$23.2M
Cap. Flow
+$12.2M
Cap. Flow %
6.51%
Top 10 Hldgs %
35.47%
Holding
197
New
22
Increased
61
Reduced
74
Closed
25

Top Buys

Rank Stock Value
1
VCSH icon
Vanguard Short-Term Corporate Bond ETF
VCSH
+$6.37M
2
ICSH icon
iShares Ultra Short Duration Bond Active ETF
ICSH
+$3.48M
3
SLV icon
iShares Silver Trust
SLV
+$3.13M
4
GLD icon
SPDR Gold Trust
GLD
+$2.85M
5
QCOM icon
Qualcomm
QCOM
+$1.06M

Top Sells

Rank Stock Value
1
SHOP icon
Shopify
SHOP
+$1.41M
2
ARCT icon
Arcturus Therapeutics
ARCT
+$1.04M
3
XLU icon
State Street Utilities Select Sector SPDR ETF
XLU
+$990K
4
RSPS icon
Invesco S&P 500 Equal Weight Consumer Staples ETF
RSPS
+$946K
5
JETS icon
US Global Jets ETF
JETS
+$942K

Sector Composition

Rank Sector Weight
1 Technology 15.03%
2 Healthcare 12.77%
3 Financials 6.97%
4 Consumer Discretionary 4.53%
5 Communication Services 3.96%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
XEL icon
151
Xcel Energy
XEL
$48.8B
$217K 0.12%
+3,017
New +$206K
AWK icon
152
American Water Works
AWK
$26.7B
$216K 0.12%
+1,396
New +$198K
VUSE icon
153
Vident US Equity Strategy ETF
VUSE
$675M
$212K 0.11%
+7,013
New +$203K
LRCX icon
154
Lam Research
LRCX
$367B
$210K 0.11%
6,080
-1,530
-20% -$52.7K
SRGA
155
DELISTED
Surgalign Holdings, Inc. Common Stock
SRGA
$209K 0.11%
3,443
-84
-2% -$6.43K
NEE icon
156
NextEra Energy
NEE
$181B
$204K 0.11%
+2,744
New +$189K
RDVY icon
157
First Trust Rising Dividend Achievers ETF
RDVY
$24.7B
$204K 0.11%
5,967
-8,509
-59% -$276K
MDYG icon
158
State Street SPDR S&P 400 Mid Cap Growth ETF
MDYG
$2.8B
$202K 0.11%
+3,338
New +$190K
DWX icon
159
State Street SPDR S&P International Dividend ETF
DWX
$529M
$201K 0.11%
5,891
-183
-3% -$6.29K
ERH
160
Allspring Utilities & High Income Fund
ERH
$104M
$187K 0.1%
14,944
-335
-2% -$4.27K
FSKR
161
DELISTED
FS KKR Capital Corp. II
FSKR
$185K 0.1%
11,746
+74
+0.6% +$1.06K
HYT icon
162
BlackRock Corporate High Yield Fund
HYT
$1.36B
$165K 0.09%
14,891
+46
+0.3% +$496
PCG icon
163
PG&E
PCG
$38.3B
$155K 0.08%
15,069
+5,690
+61% +$52.7K
MFIC icon
164
MidCap Financial Investment
MFIC
$787M
$91K 0.05%
10,606
-1,634
-13% -$15.1K
ATEC icon
165
Alphatec Holdings
ATEC
$1.46B
$87K 0.05%
12,657
– –
ET icon
166
Energy Transfer Partners
ET
$70.1B
$73K 0.04%
13,317
+2,895
+28% +$18.4K
FAX
167
DELISTED
abrdn Asia-Pacific Income Fund
FAX
$50K 0.03%
2,091
-483
-19% -$11.6K
TXMD icon
168
TherapeuticsMD
TXMD
$23.5M
$17K 0.01%
200
– –
JAGX icon
169
Jaguar Health
JAGX
$4.91M
– –
0
– –
CTHR
170
DELISTED
Charles & Colvard Ltd
CTHR
$12K 0.01%
+1,300
New +$9.45K
SENS icon
171
Senseonics Holdings Inc
SENS
$263M
$10K 0.01%
1,250
– –
PCG icon
172
CALL
PG&E
PCG
$38.3B
$4K ﹤0.01%
10,000
– –
BIDU icon
173
Baidu
BIDU
$37.7B
– –
-3,479
Closed -$445K
CCL icon
174
Carnival Corporation Ltd
CCL
$38.1B
– –
-31,722
Closed -$462K
FTA icon
175
First Trust Large Cap Value AlphaDEX Fund
FTA
$1.39B
– –
-8,144
Closed -$362K
4 5 6
7
8

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AAM
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DFPG Investments's Q3 2020 Portfolio in Review

As of Q3 2020, DFPG Investments held 197 positions worth $187M, up 14% from $164M the previous quarter. Its ten largest holdings account for 35% of the portfolio.

DFPG Investments deployed $12.2M of net new capital in Q3 2020, opening 22 new positions and adding to 61 existing holdings. Its largest new stake was iShares Silver Trust: 137,748 shares worth $3.06M.

By sector, the portfolio is most concentrated in Technology at 15% of assets, down from 16% a quarter earlier, followed by Healthcare and Financials.

On the sell side, the largest reduction was Shopify, an estimated $1.41M trimmed.

  • DFPG Investments's largest Q3 2020 buy was iShares Silver Trust: 137,748 shares worth $3.06M.
  • DFPG Investments added most to Vanguard Short-Term Corporate Bond ETF in Q3 2020, an estimated $6.37M increase.
  • DFPG Investments's biggest Q3 2020 reduction was Shopify, cutting an estimated $1.41M.
  • DFPG Investments fully exited State Street Utilities Select Sector SPDR ETF in Q3 2020, selling an estimated $990K.
  • DFPG Investments's ten largest holdings make up 35% of its $187M portfolio in Q3 2020.
  • DFPG Investments opened 22 new positions and closed 25 in Q3 2020.
  • DFPG Investments's portfolio value rose 14% quarter-over-quarter to $187M.

Based on DFPG Investments's 13F filing for Q3 2020, filed 13 Oct 2020.