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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
-12.29%
1 Year Est. Return
+27.55%
3 Year Est. Return
+38.18%
5 Year Est. Return
+159.07%
10 Year Est. Return
–
AUM
$134M
AUM Growth
-$18.8M
Cap. Flow
+$464K
Cap. Flow %
0.35%
Top 10 Hldgs %
35.77%
Holding
186
New
23
Increased
67
Reduced
58
Closed
30

Top Buys

Rank Stock Value
1
HQY icon
HealthEquity
HQY
+$6.68M
2
PFEB icon
Innovator US Equity Power Buffer ETF February
PFEB
+$1.39M
3
USO icon
United States Oil Fund
USO
+$957K
4
TEVA icon
Teva Pharmaceuticals
TEVA
+$939K
5
EXR icon
Extra Space Storage
EXR
+$645K

Top Sells

Rank Stock Value
1
VTI icon
Vanguard Total Stock Market ETF
VTI
+$4.07M
2
VXUS icon
Vanguard Total International Stock ETF
VXUS
+$2.5M
3
ARCT icon
Arcturus Therapeutics
ARCT
+$1.79M
4
ZTS icon
Zoetis
ZTS
+$822K
5
LAZ icon
Lazard
LAZ
+$652K

Sector Composition

Rank Sector Weight
1 Technology 13.75%
2 Healthcare 12.67%
3 Financials 6.86%
4 Consumer Discretionary 4.8%
5 Communication Services 4.55%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
FTSM icon
1
First Trust Enhanced Short Maturity ETF
FTSM
$6.51B
$12.5M 9.29%
209,561
+92
+0% +$5.51K
AAPL icon
2
Apple
AAPL
$4.89T
$5.8M 4.32%
81,532
+3,624
+5% +$267K
ARCT icon
3
Arcturus Therapeutics
ARCT
$157M
$5.7M 4.25%
316,784
-139,606
-31% -$1.79M
HQY icon
4
HealthEquity
HQY
$7.91B
$4.61M 3.44%
+100,650
New +$6.68M
AMZN icon
5
Amazon
AMZN
$2.5T
$3.93M 2.93%
34,040
-320
-0.9% -$31K
QQQ icon
6
Invesco QQQ Trust
QQQ
$455B
$3.77M 2.81%
18,015
+999
+6% +$211K
MSFT icon
7
Microsoft
MSFT
$2.84T
$3.42M 2.55%
19,925
+742
+4% +$122K
VTI icon
8
Vanguard Total Stock Market ETF
VTI
$654B
$3.41M 2.54%
24,600
-26,294
-52% -$4.07M
ICSH icon
9
iShares Ultra Short Duration Bond Active ETF
ICSH
$7.97B
$2.54M 1.89%
50,460
-10,727
-18% -$539K
GOOGL icon
10
Alphabet (Google) Class A
GOOGL
$3.91T
$2.34M 1.75%
37,280
-1,020
-3% -$69.1K
BND icon
11
Vanguard Total Bond Market
BND
$157B
$2.29M 1.7%
26,072
-5,510
-17% -$468K
BRK.B icon
12
Berkshire Hathaway Class B
BRK.B
$1.07T
$2.27M 1.69%
12,052
+565
+5% +$120K
SPY icon
13
State Street SPDR S&P 500 ETF Trust
SPY
$778B
$1.83M 1.37%
6,608
-594
-8% -$181K
SHOP icon
14
Shopify
SHOP
$148B
$1.82M 1.36%
36,630
-4,860
-12% -$219K
LMBS icon
15
First Trust Exchange-Traded Fund IV First Trust Low Duration Opportunities ETF
LMBS
$6.32B
$1.62M 1.21%
31,456
-4,968
-14% -$258K
ZTS icon
16
Zoetis
ZTS
$31.6B
$1.61M 1.2%
13,017
-6,243
-32% -$822K
BOCT icon
17
Innovator US Equity Buffer ETF October
BOCT
$283M
$1.53M 1.14%
64,410
+500
+0.8% +$12.6K
VXUS icon
18
Vanguard Total International Stock ETF
VXUS
$153B
$1.5M 1.12%
34,696
-49,128
-59% -$2.5M
RSP icon
19
Invesco S&P 500 Equal Weight ETF
RSP
$96.1B
$1.43M 1.07%
15,993
+107
+0.7% +$11.4K
UHS icon
20
Universal Health Services
UHS
$9.43B
$1.38M 1.03%
13,335
+1,725
+15% +$218K
PFEB icon
21
Innovator US Equity Power Buffer ETF February
PFEB
$914M
$1.36M 1.01%
+60,000
New +$1.39M
JPM icon
22
JPMorgan Chase
JPM
$939B
$1.32M 0.99%
14,579
+2,125
+17% +$258K
SH icon
23
ProShares Short S&P500
SH
$887M
$1.31M 0.98%
12,894
+2,065
+19% +$209K
NOBL icon
24
ProShares S&P 500 Dividend Aristocrats ETF
NOBL
$11.6B
$1.29M 0.96%
42,096
+9,874
+31% +$345K
VYM icon
25
Vanguard High Dividend Yield ETF
VYM
$81.1B
$1.25M 0.93%
16,618
-4,132
-20% -$355K
1
2 3 4 5

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BWM
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AAM
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WP
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B
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DGAM
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DFPG Investments's Q1 2020 Portfolio in Review

As of Q1 2020, DFPG Investments held 186 positions worth $134M, down 12% from $153M the previous quarter. Its ten largest holdings account for 36% of the portfolio.

DFPG Investments's Q1 2020 filing shows 23 new, 67 increased, 58 reduced and 30 closed positions. Its largest new stake was HealthEquity: 100,650 shares worth $4.61M. The largest sale was Vanguard Total Stock Market ETF, an estimated $4.07M.

By sector, the portfolio is most concentrated in Technology at 14% of assets, up from 12% a quarter earlier, followed by Healthcare and Financials.

  • DFPG Investments's largest Q1 2020 buy was HealthEquity: 100,650 shares worth $4.61M.
  • DFPG Investments added most to Teva Pharmaceuticals in Q1 2020, an estimated $939K increase.
  • DFPG Investments's biggest Q1 2020 reduction was Vanguard Total Stock Market ETF, cutting an estimated $4.07M.
  • DFPG Investments fully exited Lazard in Q1 2020, selling an estimated $652K.
  • DFPG Investments's ten largest holdings make up 36% of its $134M portfolio in Q1 2020.
  • DFPG Investments opened 23 new positions and closed 30 in Q1 2020.
  • DFPG Investments's portfolio value fell 12% quarter-over-quarter to $134M.

Based on DFPG Investments's 13F filing for Q1 2020, filed 17 Apr 2020.