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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
FTSL icon
176
First Trust Senior Loan Fund ETF
FTSL
$2.32B
– –
-6,381
Closed -$290K
IQDY icon
177
FlexShares International Quality Dividend Dynamic Index Fund
IQDY
$110M
– –
-10,465
Closed -$240K
ITA icon
178
iShares US Aerospace & Defense ETF
ITA
$14.2B
– –
-11,110
Closed -$891K
JETS icon
179
US Global Jets ETF
JETS
$776M
– –
-57,802
Closed -$942K
JMST icon
180
JPMorgan Ultra-Short Municipal Income ETF
JMST
$7.12B
– –
-4,207
Closed -$214K
KO icon
181
Coca-Cola
KO
$377B
– –
-17,596
Closed -$796K
LVS icon
182
Las Vegas Sands
LVS
$31.7B
– –
-6,623
Closed -$298K
MGM icon
183
MGM Resorts International
MGM
$11.4B
– –
-17,095
Closed -$276K
PFF icon
184
iShares Preferred and Income Securities ETF
PFF
$13.3B
– –
-6,464
Closed -$224K
RIGS icon
185
ALPS Strategic Income Fund
RIGS
$60.1M
– –
-8,830
Closed -$218K
RRR icon
186
Red Rock Resorts
RRR
$3.77B
– –
-23,239
Closed -$237K
RSPM icon
187
Invesco S&P 500 Equal Weight Materials ETF
RSPM
$183M
– –
-30,580
Closed -$639K
RSPS icon
188
Invesco S&P 500 Equal Weight Consumer Staples ETF
RSPS
$248M
– –
-34,560
Closed -$946K
SCHD icon
189
Schwab US Dividend Equity ETF
SCHD
$103B
– –
-16,911
Closed -$290K
TEVA icon
190
Teva Pharmaceuticals
TEVA
$40.8B
– –
-28,794
Closed -$323K
WYNN icon
191
Wynn Resorts
WYNN
$10.3B
– –
-8,715
Closed -$639K
XLI icon
192
State Street Industrial Select Sector SPDR ETF
XLI
$32.8B
– –
-10,103
Closed -$693K
XLU icon
193
State Street Utilities Select Sector SPDR ETF
XLU
$22.8B
– –
-34,764
Closed -$990K
BKCC
194
DELISTED
BlackRock Capital Investment Corporation
BKCC
– –
-10,280
Closed -$27K
AVYA
195
CALL
DELISTED
Avaya Holdings Corp. Common Stock
AVYA
– –
-10,000
Closed -$27K
AMTD
196
DELISTED
TD Ameritrade Holding Corp
AMTD
– –
-17,079
Closed -$625K
CHAP
197
DELISTED
Chaparral Energy, Inc.
CHAP
– –
-24,625
Closed -$14K
4 5 6 7
8

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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.