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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
LRCX icon
176
Lam Research
LRCX
$367B
– –
-6,080
Closed -$210K
MCD icon
177
McDonald's
MCD
$192B
– –
-1,385
Closed -$314K
MDYG icon
178
State Street SPDR S&P 400 Mid Cap Growth ETF
MDYG
$2.8B
– –
-3,338
Closed -$202K
NEE icon
179
NextEra Energy
NEE
$181B
– –
-2,744
Closed -$204K
OGE icon
180
OGE Energy
OGE
$9.78B
– –
-11,237
Closed -$360K
PCG icon
181
CALL
PG&E
PCG
$38.3B
– –
-10,000
Closed -$4K
PCG icon
182
PG&E
PCG
$38.3B
– –
-15,069
Closed -$155K
PPH icon
183
VanEck Pharmaceutical ETF
PPH
$959M
– –
-16,613
Closed -$1.03M
SDY icon
184
State Street SPDR S&P Dividend ETF
SDY
$21.7B
– –
-3,901
Closed -$374K
SLV icon
185
iShares Silver Trust
SLV
$28B
– –
-137,748
Closed -$3.06M
VBK icon
186
Vanguard Morningstar Small-Cap Growth ETF
VBK
$23.1B
– –
-981
Closed -$224K
VIDI icon
187
Vident International Equity Strategy
VIDI
$433M
– –
-12,876
Closed -$276K
VUSE icon
188
Vident US Equity Strategy ETF
VUSE
$675M
– –
-7,013
Closed -$212K
WFC icon
189
Wells Fargo
WFC
$261B
– –
-38,236
Closed -$949K
WMT icon
190
Walmart Inc
WMT
$885B
– –
-4,932
Closed -$232K
XEL icon
191
Xcel Energy
XEL
$48.8B
– –
-3,017
Closed -$217K
IEHS
192
DELISTED
iShares Evolved U.S. Healthcare Staples ETF
IEHS
– –
-31,324
Closed -$1.08M
TBIO
193
DELISTED
Translate Bio, Inc. Common Stock
TBIO
– –
-50,000
Closed -$730K
FSKR
194
DELISTED
FS KKR Capital Corp. II
FSKR
– –
-11,746
Closed -$185K
JHMU
195
DELISTED
John Hancock Multifactor Utilities ETF
JHMU
– –
-9,458
Closed -$292K
4 5 6 7
8

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AAM
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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.