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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
LHX icon
151
L3Harris
LHX
$51.6B
$201K 0.09%
+1,112
New +$203K
ATEC icon
152
Alphatec Holdings
ATEC
$1.46B
$169K 0.08%
12,657
– –
ERH
153
Allspring Utilities & High Income Fund
ERH
$104M
$137K 0.06%
10,671
-4,273
-29% -$53.4K
HYT icon
154
BlackRock Corporate High Yield Fund
HYT
$1.36B
$132K 0.06%
11,715
-3,176
-21% -$35.6K
MFIC icon
155
MidCap Financial Investment
MFIC
$787M
$124K 0.06%
10,579
-27
-0.3% -$262
TLPH icon
156
Talphera
TLPH
$66.4M
$71K 0.03%
+2,629
New +$80.4K
IZEA icon
157
IZEA Worldwide
IZEA
$60.6M
$56K 0.03%
+6,250
New +$24K
FAX
158
DELISTED
abrdn Asia-Pacific Income Fund
FAX
$45K 0.02%
1,687
-404
-19% -$9.98K
SENS icon
159
Senseonics Holdings Inc
SENS
$263M
$38K 0.02%
2,185
+935
+75% +$8.14K
CTHR
160
DELISTED
Charles & Colvard Ltd
CTHR
$17K 0.01%
1,300
– –
TXMD icon
161
TherapeuticsMD
TXMD
$23.5M
$13K 0.01%
200
– –
CTRM icon
162
Castor Maritime
CTRM
$18.8M
$3K ﹤0.01%
+150
New +$2.33K
AWK icon
163
American Water Works
AWK
$26.7B
– –
-1,396
Closed -$216K
BIIB icon
164
Biogen
BIIB
$30B
– –
-972
Closed -$278K
CNC icon
165
Centene
CNC
$30.7B
– –
-16,117
Closed -$1.04M
COLD icon
166
Americold
COLD
$4.02B
– –
-17,788
Closed -$663K
DDS icon
167
Dillards
DDS
$9.19B
– –
-7,500
Closed -$308K
DWX icon
168
State Street SPDR S&P International Dividend ETF
DWX
$529M
– –
-5,891
Closed -$201K
ET icon
169
Energy Transfer Partners
ET
$70.1B
– –
-13,317
Closed -$73K
FDX icon
170
FedEx
FDX
$72.7B
– –
-1,348
Closed -$362K
FEP icon
171
First Trust Europe AlphaDEX Fund
FEP
$526M
– –
-7,023
Closed -$243K
HISF icon
172
First Trust Exchange-Traded Fund IV First Trust High Income Strategic Focus ETF
HISF
$98.4M
– –
-13,440
Closed -$609K
IBB icon
173
iShares Biotechnology ETF
IBB
$9.34B
– –
-5,145
Closed -$725K
INTC icon
174
Intel
INTC
$455B
– –
-12,347
Closed -$650K
JAGX icon
175
Jaguar Health
JAGX
$4.91M
– –
0
– -$14K
4 5 6
7
8

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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.