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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
+1.99%
1 Year Est. Return
+27.55%
3 Year Est. Return
+38.18%
5 Year Est. Return
+159.07%
10 Year Est. Return
–
AUM
$121M
AUM Growth
+$16.6M
Cap. Flow
+$19.1M
Cap. Flow %
15.78%
Top 10 Hldgs %
30.34%
Holding
183
New
20
Increased
81
Reduced
52
Closed
24

Top Buys

Rank Stock Value
1
ARCT icon
Arcturus Therapeutics
ARCT
+$4.98M
2
VTI icon
Vanguard Total Stock Market ETF
VTI
+$4.17M
3
VXUS icon
Vanguard Total International Stock ETF
VXUS
+$2.6M
4
ICSH icon
iShares Ultra Short Duration Bond Active ETF
ICSH
+$2.41M
5
ABBV icon
AbbVie
ABBV
+$1.22M

Top Sells

Rank Stock Value
1
ZBRA icon
Zebra Technologies
ZBRA
+$1.21M
2
NVDA icon
NVIDIA
NVDA
+$1.04M
3
AAPL icon
Apple
AAPL
+$574K
4
AX icon
Axos Financial
AX
+$548K
5
SIVB
SVB Financial Group
SIVB
+$498K

Sector Composition

Rank Sector Weight
1 Healthcare 9.9%
2 Technology 9.78%
3 Financials 8.93%
4 Communication Services 5.73%
5 Consumer Discretionary 3.58%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
VTI icon
1
Vanguard Total Stock Market ETF
VTI
$661B
$7.77M 6.42%
52,935
+27,662
+109% +$4.17M
ARCT icon
2
Arcturus Therapeutics
ARCT
$169M
$4.8M 3.97%
+460,450
New +$4.98M
AAPL icon
3
Apple
AAPL
$4.79T
$4.49M 3.71%
79,984
-10,988
-12% -$574K
VXUS icon
4
Vanguard Total International Stock ETF
VXUS
$155B
$4.25M 3.51%
84,080
+50,363
+149% +$2.6M
QQQ icon
5
Invesco QQQ Trust
QQQ
$469B
$2.85M 2.36%
15,383
-1,478
-9% -$280K
ICSH icon
6
iShares Ultra Short Duration Bond Active ETF
ICSH
$7.97B
$2.75M 2.27%
54,673
+47,919
+709% +$2.41M
FTSM icon
7
First Trust Enhanced Short Maturity ETF
FTSM
$6.51B
$2.6M 2.15%
43,195
-2,489
-5% -$150K
MSFT icon
8
Microsoft
MSFT
$2.9T
$2.5M 2.07%
18,426
-375
-2% -$51.6K
BND icon
9
Vanguard Total Bond Market
BND
$158B
$2.36M 1.95%
27,884
+14,001
+101% +$1.17M
BRK.B icon
10
Berkshire Hathaway Class B
BRK.B
$1.06T
$2.34M 1.94%
11,487
+1,563
+16% +$322K
AMZN icon
11
Amazon
AMZN
$2.63T
$2.29M 1.89%
26,820
-1,560
-5% -$145K
ZTS icon
12
Zoetis
ZTS
$31.1B
$2.17M 1.8%
17,332
+4,548
+36% +$549K
GOOGL icon
13
Alphabet (Google) Class A
GOOGL
$4.17T
$2.1M 1.73%
35,220
+4,100
+13% +$243K
SPY icon
14
State Street SPDR S&P 500 ETF Trust
SPY
$787B
$2.09M 1.73%
7,234
-463
-6% -$137K
RSP icon
15
Invesco S&P 500 Equal Weight ETF
RSP
$95.7B
$1.71M 1.41%
16,469
-771
-4% -$82.7K
RTL
16
DELISTED
The Necessity Retail REIT, Inc. Class A Common Stock
RTL
$1.6M 1.32%
114,658
-40,878
-26% -$497K
FVD icon
17
First Trust Value Line Dividend Fund
FVD
$8.18B
$1.56M 1.29%
46,165
-7,250
-14% -$247K
UHS icon
18
Universal Health Services
UHS
$9.04B
$1.49M 1.23%
10,376
+2,095
+25% +$301K
SH icon
19
ProShares Short S&P500
SH
$877M
$1.45M 1.2%
13,519
+1,215
+10% +$128K
VYM icon
20
Vanguard High Dividend Yield ETF
VYM
$80.8B
$1.36M 1.13%
15,904
-235
-1% -$20.6K
JPM icon
21
JPMorgan Chase
JPM
$926B
$1.33M 1.1%
11,941
+6,840
+134% +$774K
LMBS icon
22
First Trust Exchange-Traded Fund IV First Trust Low Duration Opportunities ETF
LMBS
$6.32B
$1.33M 1.1%
25,494
-563
-2% -$29.2K
ABBV icon
23
AbbVie
ABBV
$448B
$1.3M 1.08%
+17,753
New +$1.22M
PSK icon
24
State Street SPDR ICE Preferred Securities ETF
PSK
$696M
$1.15M 0.95%
26,129
+315
+1% +$13.8K
PEP icon
25
PepsiCo
PEP
$185B
$1.13M 0.93%
8,231
+1,246
+18% +$166K
1
2 3 4 5

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BWM
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AAM
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DFPG Investments's Q3 2019 Portfolio in Review

As of Q3 2019, DFPG Investments held 183 positions worth $121M, up 16% from $104M the previous quarter. Its ten largest holdings account for 30% of the portfolio.

DFPG Investments deployed $19.1M of net new capital in Q3 2019, opening 20 new positions and adding to 81 existing holdings. Its largest new stake was Arcturus Therapeutics: 460,450 shares worth $4.8M.

By sector, the portfolio is most concentrated in Healthcare at 9.9% of assets, up from 5% a quarter earlier, followed by Technology and Financials.

On the sell side, the largest reduction was Apple, an estimated $574K trimmed.

  • DFPG Investments's largest Q3 2019 buy was Arcturus Therapeutics: 460,450 shares worth $4.8M.
  • DFPG Investments added most to Vanguard Total Stock Market ETF in Q3 2019, an estimated $4.17M increase.
  • DFPG Investments's biggest Q3 2019 reduction was Apple, cutting an estimated $574K.
  • DFPG Investments fully exited Zebra Technologies in Q3 2019, selling an estimated $1.21M.
  • DFPG Investments's ten largest holdings make up 30% of its $121M portfolio in Q3 2019.
  • DFPG Investments opened 20 new positions and closed 24 in Q3 2019.
  • DFPG Investments's portfolio value rose 16% quarter-over-quarter to $121M.

Based on DFPG Investments's 13F filing for Q3 2019, filed 15 Oct 2019.