0001085146-19-001145.txt : 20190410
0001085146-19-001145.hdr.sgml : 20190410
20190410115043
ACCESSION NUMBER: 0001085146-19-001145
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20190331
FILED AS OF DATE: 20190410
DATE AS OF CHANGE: 20190410
EFFECTIVENESS DATE: 20190410
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: DFPG INVESTMENTS, INC.
CENTRAL INDEX KEY: 0001504665
IRS NUMBER: 273648334
STATE OF INCORPORATION: UT
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-18973
FILM NUMBER: 19741045
BUSINESS ADDRESS:
STREET 1: 9017 S RIVERSIDE DRIVE
STREET 2: SUITE 210
CITY: SANDY
STATE: UT
ZIP: 84070
BUSINESS PHONE: 720-454-4275
MAIL ADDRESS:
STREET 1: 9017 S RIVERSIDE DRIVE
STREET 2: SUITE 210
CITY: SANDY
STATE: UT
ZIP: 84070
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
true
false
0001504665
XXXXXXXX
03-31-2019
03-31-2019
false
DFPG INVESTMENTS, INC.
9017 S RIVERSIDE DRIVE
SUITE 210
SANDY
UT
84070
13F HOLDINGS REPORT
028-18973
N
Craig Watanabe
Director IA Compliance
626-818-7640
/s/ Craig Watanabe
Sandy
UT
04-09-2019
0
139
93053
INFORMATION TABLE
2
form13fInfoTable.xml
DESCRIPTION FOR INFORMATION TABLE
ABBVIE INC
COM
00287Y109
259
3129
SH
SOLE
0
0
3129
ABERDEEN ASIA PACIFIC INCOM
COM
003009107
92
21664
SH
SOLE
0
0
21664
ALIBABA GROUP HLDG LTD
SPONSORED ADS
01609W102
1085
5990
SH
SOLE
0
0
5990
ALPHABET INC
CAP STK CL C
02079K107
1215
1000
SH
SOLE
0
0
1000
ALPHABET INC
CAP STK CL A
02079K305
694
569
SH
SOLE
0
0
569
ALPS ETF TR
ALERIAN MLP
00162Q866
204
20172
SH
SOLE
0
0
20172
AMAZON COM INC
COM
023135106
2557
1406
SH
SOLE
0
0
1406
AMERICAN FIN TR INC
COM CLASS A
02607T109
1760
165758
SH
SOLE
0
0
165758
AMGEN INC
COM
031162100
297
1544
SH
SOLE
0
0
1544
APOLLO INVT CORP
COM NEW
03761U502
212
13912
SH
SOLE
0
0
13912
APPLE INC
COM
037833100
4724
24139
SH
SOLE
0
0
24139
ARES CAP CORP
COM
04010L103
466
26763
SH
SOLE
0
0
26763
AT&T INC
COM
00206R102
429
13430
SH
SOLE
0
0
13430
BAIDU INC
SPON ADR REP A
056752108
221
1235
SH
SOLE
0
0
1235
BANK AMER CORP
COM
060505104
753
25846
SH
SOLE
0
0
25846
BERKSHIRE HATHAWAY INC DEL
CL A
084670108
919
3
SH
SOLE
0
0
3
BERKSHIRE HATHAWAY INC DEL
CL B NEW
084670702
1900
9311
SH
SOLE
0
0
9311
BLACKROCK CORPOR HI YLD FD I
COM
09255P107
169
16291
SH
SOLE
0
0
16291
BLACKSTONE GROUP L P
COM UNIT LTD
09253U108
540
15562
SH
SOLE
0
0
15562
BLOOM ENERGY CORP
COM CL A
093712107
217
17141
SH
SOLE
0
0
17141
BOEING CO
COM
097023105
2023
5110
SH
SOLE
0
0
5110
BROADCOM INC
COM
11135F101
285
944
SH
SOLE
0
0
944
CAESARS ENTMT CORP
COM
127686103
91
10000
SH
SOLE
0
0
10000
CANOPY GROWTH CORP
COM
138035100
224
5170
SH
SOLE
0
0
5170
CBRE CLARION GLOBAL REAL EST
COM
12504G100
75
10065
SH
SOLE
0
0
10065
CHEVRON CORP NEW
COM
166764100
691
5538
SH
SOLE
0
0
5538
CISCO SYS INC
COM
17275R102
531
9637
SH
SOLE
0
0
9637
COCA COLA CO
COM
191216100
204
4385
SH
SOLE
0
0
4385
COHEN & STEERS INFRASTRUCTUR
COM
19248A109
213
8629
SH
SOLE
0
0
8629
COLONY CR REAL ESTATE INC
COM CL A
19625T101
842
52898
SH
SOLE
0
0
52898
CONSTELLATION BRANDS INC
CL A
21036P108
434
2269
SH
SOLE
0
0
2269
DANAHER CORPORATION
COM
235851102
256
1960
SH
SOLE
0
0
1960
DBX ETF TR
XTRACK MSCI EAFE
233051200
461
14468
SH
SOLE
0
0
14468
DISNEY WALT CO
COM DISNEY
254687106
627
5468
SH
SOLE
0
0
5468
EATON VANCE LTD DUR INCOME F
COM
27828H105
149
11767
SH
SOLE
0
0
11767
EXXON MOBIL CORP
COM
30231G102
350
4269
SH
SOLE
0
0
4269
FACEBOOK INC
CL A
30303M102
1834
10419
SH
SOLE
0
0
10419
FIDELITY
MSCI INFO TECH I
316092808
389
6436
SH
SOLE
0
0
6436
FIDELITY COMWLTH TR
NDQ CP IDX TRK
315912808
217
702
SH
SOLE
0
0
702
FIRST TR EXCH TRD ALPHA FD I
EUROPE ALPHADEX
33737J117
582
16245
SH
SOLE
0
0
16245
FIRST TR EXCHANGE TRADED FD
US EQTY OPPT ETF
336920103
516
6863
SH
SOLE
0
0
6863
FIRST TR EXCHANGE TRADED FD
SENIOR LN FD
33738D309
279
5866
SH
SOLE
0
0
5866
FIRST TR EXCHANGE TRADED FD
FIRST TR TA HIYL
33738D408
214
4450
SH
SOLE
0
0
4450
FIRST TR EXCHANGE TRADED FD
RISNG DIVD ACHIV
33738R506
446
14469
SH
SOLE
0
0
14469
FIRST TR EXCHANGE TRADED FD
FST LOW OPPT EFT
33739Q200
1224
23860
SH
SOLE
0
0
23860
FIRST TR EXCHANGE TRADED FD
FT STRG INCM ETF
33739Q309
854
17115
SH
SOLE
0
0
17115
FIRST TR EXCHANGE TRADED FD
FIRST TR ENH NEW
33739Q408
1743
29057
SH
SOLE
0
0
29057
FIRST TR LRG CP VL ALPHADEX
COM SHS
33735J101
429
8137
SH
SOLE
0
0
8137
FIRST TR NASDAQ100 TECH INDE
SHS
337345102
206
2412
SH
SOLE
0
0
2412
FIRST TR VALUE LINE DIVID IN
SHS
33734H106
2067
63296
SH
SOLE
0
0
63296
FLEXSHARES TR
INT QLTDVDYNAM
33939L829
287
11315
SH
SOLE
0
0
11315
FORD MTR CO DEL
COM
345370860
140
15129
SH
SOLE
0
0
15129
FS KKR CAPITAL CORP
COM
302635107
903
144993
SH
SOLE
0
0
144993
GENERAL ELECTRIC CO
COM
369604103
228
22780
SH
SOLE
0
0
22780
GLOBAL NET LEASE INC
COM NEW
379378201
292
15410
SH
SOLE
0
0
15410
GLOBAL X FDS
NASDAQ 100 COVER
37954Y483
314
13734
SH
SOLE
0
0
13734
GOLDMAN SACHS GROUP INC
COM
38141G104
455
2251
SH
SOLE
0
0
2251
INTEL CORP
COM
458140100
215
3837
SH
SOLE
0
0
3837
INTERNATIONAL BUSINESS MACHS
COM
459200101
200
1403
SH
SOLE
0
0
1403
INVESCO EXCHANGE TRADED FD T
S&P SML600 GWT
46137V175
408
3564
SH
SOLE
0
0
3564
INVESCO EXCHANGE TRADED FD T
BUYBACK ACHIEV
46137V308
269
4399
SH
SOLE
0
0
4399
INVESCO EXCHANGE TRADED FD T
S&P500 EQL WGT
46137V357
1916
18017
SH
SOLE
0
0
18017
INVESCO QQQ TR
UNIT SER 1
46090E103
3077
16747
SH
SOLE
0
0
16747
ISHARES INC
MIN VOL GBL ETF
464286525
1324
14808
SH
SOLE
0
0
14808
ISHARES TR
CORE US AGGBD ET
464287226
256
2364
SH
SOLE
0
0
2364
ISHARES TR
IBOXX INV CP ETF
464287242
1133
9569
SH
SOLE
0
0
9569
ISHARES TR
S&P 500 GRWT ETF
464287309
373
2134
SH
SOLE
0
0
2134
ISHARES TR
S&P 500 VAL ETF
464287408
253
2203
SH
SOLE
0
0
2203
ISHARES TR
20 YR TR BD ETF
464287432
244
1973
SH
SOLE
0
0
1973
ISHARES TR
CORE S&P MCP ETF
464287507
1216
6293
SH
SOLE
0
0
6293
ISHARES TR
CORE S&P SCP ETF
464287804
710
9024
SH
SOLE
0
0
9024
ISHARES TR
PFD AND INCM SEC
464288687
500
13602
SH
SOLE
0
0
13602
ISHARES TR
US AER DEF ETF
464288760
662
3259
SH
SOLE
0
0
3259
ISHARES TR
CORE MSCI EAFE
46432F842
450
7262
SH
SOLE
0
0
7262
JOHNSON & JOHNSON
COM
478160104
528
3892
SH
SOLE
0
0
3892
JP MORGAN EXCHANGE TRADED FD
ULTRA SHRT INC
46641Q837
2901
57677
SH
SOLE
0
0
57677
JPMORGAN CHASE & CO
COM
46625H100
801
7584
SH
SOLE
0
0
7584
JUST ENERGY GROUP INC
COM
48213W101
45
13114
SH
SOLE
0
0
13114
LILLY ELI & CO
COM
532457108
479
3815
SH
SOLE
0
0
3815
MASTERCARD INC
CL A
57636Q104
1071
4538
SH
SOLE
0
0
4538
MERCK & CO INC
COM
58933Y105
332
4057
SH
SOLE
0
0
4057
MICROSOFT CORP
COM
594918104
2142
17950
SH
SOLE
0
0
17950
MOODYS CORP
COM
615369105
640
3427
SH
SOLE
0
0
3427
NETFLIX INC
COM
64110L106
951
2585
SH
SOLE
0
0
2585
NIKE INC
CL B
654106103
607
7119
SH
SOLE
0
0
7119
NVIDIA CORP
COM
67066G104
419
2226
SH
SOLE
0
0
2226
OGE ENERGY CORP
COM
670837103
262
6168
SH
SOLE
0
0
6168
ONEOK INC NEW
COM
682680103
309
4448
SH
SOLE
0
0
4448
ORACLE CORP
COM
68389X105
400
7436
SH
SOLE
0
0
7436
PAYCOM SOFTWARE INC
COM
70432V102
230
1250
SH
SOLE
0
0
1250
PEPSICO INC
COM
713448108
655
5391
SH
SOLE
0
0
5391
PFIZER INC
COM
717081103
382
8942
SH
SOLE
0
0
8942
PIMCO ETF TR
0-5 HIGH YIELD
72201R783
223
2238
SH
SOLE
0
0
2238
PORTFOLIO RECOVERY ASSOCS IN
NOTE 3.000% 8/0
73640QAB1
43
45000
PRN
SOLE
0
0
45000
PROCTER AND GAMBLE CO
COM
742718109
353
3416
SH
SOLE
0
0
3416
PROSHARES TR
SHORT S&P 500 NE
74347B425
443
16259
SH
SOLE
0
0
16259
PROSHARES TR
S&P 500 DV ARIST
74348A467
1096
16041
SH
SOLE
0
0
16041
PROSPECT CAPITAL CORPORATION
NOTE 4.750% 4/1
74348TAQ5
61
60000
PRN
SOLE
0
0
60000
QUALCOMM INC
COM
747525103
229
3962
SH
SOLE
0
0
3962
REALTY INCOME CORP
COM
756109104
251
3490
SH
SOLE
0
0
3490
REAVES UTIL INCOME FD
COM SH BEN INT
756158101
357
10530
SH
SOLE
0
0
10530
SCHWAB STRATEGIC TR
US DIVIDEND EQ
808524797
289
5434
SH
SOLE
0
0
5434
SELECT SECTOR SPDR TR
SBI HEALTHCARE
81369Y209
464
5082
SH
SOLE
0
0
5082
SELECT SECTOR SPDR TR
SBI CONS STPLS
81369Y308
212
3822
SH
SOLE
0
0
3822
SELECT SECTOR SPDR TR
ENERGY
81369Y506
360
5418
SH
SOLE
0
0
5418
SELECT SECTOR SPDR TR
SBI INT-FINL
81369Y605
371
13971
SH
SOLE
0
0
13971
SELECT SECTOR SPDR TR
TECHNOLOGY
81369Y803
555
7347
SH
SOLE
0
0
7347
SPDR INDEX SHS FDS
DJ GLB RL ES ETF
78463X749
530
10555
SH
SOLE
0
0
10555
SPDR INDEX SHS FDS
S&P INTL ETF
78463X772
725
18872
SH
SOLE
0
0
18872
SPDR INDEX SHS FDS
PORTFOLIO DEVLPD
78463X889
460
15455
SH
SOLE
0
0
15455
SPDR S&P 500 ETF TR
TR UNIT
78462F103
2161
7525
SH
SOLE
0
0
7525
SPDR SER TR
RUSSELL YIELD
78468R770
480
6813
SH
SOLE
0
0
6813
SPDR SER TR
PRTFLO S&P500 HI
78468R788
954
24814
SH
SOLE
0
0
24814
SPDR SERIES TRUST
WELLS FG PFD ETF
78464A292
1168
27314
SH
SOLE
0
0
27314
SPDR SERIES TRUST
BLMBRG BRC CNVRT
78464A359
206
3913
SH
SOLE
0
0
3913
SPDR SERIES TRUST
S&P DIVID ETF
78464A763
467
4647
SH
SOLE
0
0
4647
SPDR SERIES TRUST
PORTFOLIO LR ETF
78464A854
714
21153
SH
SOLE
0
0
21153
SSGA ACTIVE ETF TR
BLKSTN GSOSRLN
78467V608
636
13777
SH
SOLE
0
0
13777
THERAPEUTICSMD INC
COM
88338N107
50
10000
SH
SOLE
0
0
10000
VANECK VECTORS ETF TR
FALLEN ANGEL HG
92189F437
228
7916
SH
SOLE
0
0
7916
VANGUARD INDEX FDS
S&P 500 ETF SHS
922908363
1561
5919
SH
SOLE
0
0
5919
VANGUARD INDEX FDS
MCAP GR IDXVIP
922908538
563
3888
SH
SOLE
0
0
3888
VANGUARD INDEX FDS
REAL ESTATE ETF
922908553
554
6347
SH
SOLE
0
0
6347
VANGUARD INDEX FDS
SML CP GRW ETF
922908595
208
1140
SH
SOLE
0
0
1140
VANGUARD INDEX FDS
EXTEND MKT ETF
922908652
1221
10406
SH
SOLE
0
0
10406
VANGUARD INDEX FDS
GROWTH ETF
922908736
774
4862
SH
SOLE
0
0
4862
VANGUARD INDEX FDS
SMALL CP ETF
922908751
1050
6744
SH
SOLE
0
0
6744
VANGUARD INDEX FDS
TOTAL STK MKT
922908769
1014
6894
SH
SOLE
0
0
6894
VANGUARD INTL EQUITY INDEX F
FTSE EMR MKT ETF
922042858
1342
30845
SH
SOLE
0
0
30845
VANGUARD TAX MANAGED INTL FD
FTSE DEV MKT ETF
921943858
682
16371
SH
SOLE
0
0
16371
VANGUARD WHITEHALL FDS INC
HIGH DIV YLD
921946406
1429
16472
SH
SOLE
0
0
16472
VANGUARD WORLD FDS
INDUSTRIAL ETF
92204A603
335
2338
SH
SOLE
0
0
2338
VERIZON COMMUNICATIONS INC
COM
92343V104
337
5706
SH
SOLE
0
0
5706
VISA INC
COM CL A
92826C839
218
1381
SH
SOLE
0
0
1381
WEIBO CORP
SPONSORED ADR
948596101
318
4621
SH
SOLE
0
0
4621
WELLS FARGO CO NEW
COM
949746101
278
5649
SH
SOLE
0
0
5649
WELLS FARGO UTILITIES AND HI
WF UTILITIES INC
94987E109
271
20870
SH
SOLE
0
0
20870
XILINX INC
COM
983919101
203
1585
SH
SOLE
0
0
1585
ZEBRA TECHNOLOGIES CORP
CL A
989207105
461
2153
SH
SOLE
0
0
2153