0001085146-20-001153.txt : 20200417
0001085146-20-001153.hdr.sgml : 20200417
20200417172254
ACCESSION NUMBER: 0001085146-20-001153
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20200331
FILED AS OF DATE: 20200417
DATE AS OF CHANGE: 20200417
EFFECTIVENESS DATE: 20200417
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: DFPG INVESTMENTS, LLC
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: 20800622
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
FORMER COMPANY:
FORMER CONFORMED NAME: DFPG INVESTMENTS, INC.
DATE OF NAME CHANGE: 20190822
FORMER COMPANY:
FORMER CONFORMED NAME: DFPG INVESTMENTS, LLC
DATE OF NAME CHANGE: 20190812
FORMER COMPANY:
FORMER CONFORMED NAME: DFPG INVESTMENTS, INC.
DATE OF NAME CHANGE: 20101029
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
false
false
0001504665
XXXXXXXX
03-31-2020
03-31-2020
false
DFPG INVESTMENTS, LLC
9017 S RIVERSIDE DRIVE
SUITE 210
SANDY
UT
84070
13F COMBINATION REPORT
028-18973
0001761755
028-19141
TOWNSQUARE CAPITAL LLC
N
Craig Watanabe
Director IA Compliance
626-818-7640
/s/ Craig Watanabe
Sandy
UT
04-17-2020
0
158
134150
INFORMATION TABLE
2
form13fInfoTable.xml
DESCRIPTION FOR INFORMATION TABLE
ABERDEEN ASIA-PACIFIC INCOME
COM
003009107
53
15294
SH
SOLE
0
0
15294
ADOBE INC
COM
00724F101
201
604
SH
SOLE
0
0
604
ADVANCED MICRO DEVICES INC
COM
007903107
799
14535
SH
SOLE
0
0
14535
ALIBABA GROUP HLDG LTD
SPONSORED ADS
01609W102
1107
5318
SH
SOLE
0
0
5318
ALPHABET INC
CAP STK CL A
02079K305
2344
1864
SH
SOLE
0
0
1864
ALPHABET INC
CAP STK CL C
02079K107
442
350
SH
SOLE
0
0
350
ALPHATEC HLDGS INC
COM NEW
02081G201
48
12657
SH
SOLE
0
0
12657
ALPS ETF TR
RIVRFRNT STR INC
00162Q783
205
8787
SH
SOLE
0
0
8787
AMAZON COM INC
COM
023135106
3928
1702
SH
SOLE
0
0
1702
AMERICAN AIRLS GROUP INC
COM
02376R102
184
14983
SH
SOLE
0
0
14983
AMERICAN FIN TR INC
COM CLASS A
02607T109
455
67534
SH
SOLE
0
0
67534
AMERICOLD RLTY TR
COM
03064D108
560
16936
SH
SOLE
0
0
16936
AMGEN INC
COM
031162100
275
1239
SH
SOLE
0
0
1239
APOLLO INVT CORP
COM NEW
03761U502
99
12240
SH
SOLE
0
0
12240
APPLE INC
COM
037833100
5798
20383
SH
SOLE
0
0
20383
ARCTURUS THERAPEUTICS HLDG I
COM
03969T109
5702
316784
SH
SOLE
0
0
316784
ARES CAPITAL CORP
COM
04010L103
356
29311
SH
SOLE
0
0
29311
AT&T INC
COM
00206R102
888
29521
SH
SOLE
0
0
29521
AVAYA HLDGS CORP
COM
05351X101
366
41937
SH
SOLE
0
0
41937
AVAYA HLDGS CORP
COM
05351X101
12
10000
SH
Call
SOLE
0
0
10000
BERKSHIRE HATHAWAY INC DEL
CL B NEW
084670702
2273
12052
SH
SOLE
0
0
12052
BK OF AMERICA CORP
COM
060505104
795
35816
SH
SOLE
0
0
35816
BLACKROCK CORPOR HI YLD FD I
COM
09255P107
145
15445
SH
SOLE
0
0
15445
BLACKSTONE GROUP INC
COM CL A
09260D107
953
20953
SH
SOLE
0
0
20953
BOEING CO
COM
097023105
437
2995
SH
SOLE
0
0
2995
BROADCOM INC
COM
11135F101
731
2838
SH
SOLE
0
0
2838
CARNIVAL CORP
UNIT 99/99/9999
143658300
192
15517
SH
SOLE
0
0
15517
CENTENE CORP DEL
COM
15135B101
685
9919
SH
SOLE
0
0
9919
CHEVRON CORP NEW
COM
166764100
320
3877
SH
SOLE
0
0
3877
CISCO SYS INC
COM
17275R102
423
10177
SH
SOLE
0
0
10177
COCA COLA CO
COM
191216100
1109
23290
SH
SOLE
0
0
23290
COLONY CR REAL ESTATE INC
COM CL A
19625T101
258
66891
SH
SOLE
0
0
66891
COSTCO WHSL CORP NEW
COM
22160K105
736
2371
SH
SOLE
0
0
2371
DANAHER CORPORATION
COM
235851102
221
1446
SH
SOLE
0
0
1446
DISNEY WALT CO
COM DISNEY
254687106
964
9321
SH
SOLE
0
0
9321
DOMINION ENERGY INC
COM
25746U109
205
2572
SH
SOLE
0
0
2572
ESSENTIAL UTILS INC
COM
29670G102
857
20401
SH
SOLE
0
0
20401
ETF SER SOLUTIONS
US GLB JETS
26922A842
208
14096
SH
SOLE
0
0
14096
EXTRA SPACE STORAGE INC
COM
30225T102
576
6194
SH
SOLE
0
0
6194
EXXON MOBIL CORP
COM
30231G102
272
6731
SH
SOLE
0
0
6731
FACEBOOK INC
CL A
30303M102
745
4211
SH
SOLE
0
0
4211
FIDELITY COVINGTON TR
MSCI CONSM DIS
316092204
391
9233
SH
SOLE
0
0
9233
FIDELITY COVINGTON TR
MSCI INDL INDX
316092709
268
8538
SH
SOLE
0
0
8538
FIDELITY COVINGTON TR
MSCI INFO TECH I
316092808
542
7997
SH
SOLE
0
0
7997
FIRST TR EXCHANGE TRADED ALP
EUROPE ALPHADEX
33737J117
414
15765
SH
SOLE
0
0
15765
FIRST TR EXCHANGE TRADED FD
CLOUD COMPUTING
33734X192
246
4194
SH
SOLE
0
0
4194
FIRST TR EXCHANGE TRADED FD
US EQTY OPPT ETF
336920103
408
5956
SH
SOLE
0
0
5956
FIRST TR EXCHANGE-TRADED FD
FIRST TR ENH NEW
33739Q408
12458
209561
SH
SOLE
0
0
209561
FIRST TR EXCHANGE-TRADED FD
FIRST TR TA HIYL
33738D408
321
7028
SH
SOLE
0
0
7028
FIRST TR EXCHANGE-TRADED FD
FST LOW OPPT EFT
33739Q200
1621
31456
SH
SOLE
0
0
31456
FIRST TR EXCHANGE-TRADED FD
FT STRG INCM ETF
33739Q309
674
15723
SH
SOLE
0
0
15723
FIRST TR EXCHANGE-TRADED FD
RISNG DIVD ACHIV
33738R506
392
14474
SH
SOLE
0
0
14474
FIRST TR EXCHANGE-TRADED FD
SENIOR LN FD
33738D309
282
6354
SH
SOLE
0
0
6354
FIRST TR LRG CP VL ALPHADEX
COM SHS
33735J101
316
8142
SH
SOLE
0
0
8142
FIRST TR VALUE LINE DIVID IN
SHS
33734H106
1227
42572
SH
SOLE
0
0
42572
FLEXSHARES TR
INT QLTDVDYNAM
33939L829
223
11315
SH
SOLE
0
0
11315
FS KKR CAPITAL CORP
COM
302635107
613
166086
SH
SOLE
0
0
166086
GLOBAL NET LEASE INC
COM NEW
379378201
201
14710
SH
SOLE
0
0
14710
GLOBAL X FDS
NASDAQ 100 COVER
37954Y483
568
28776
SH
SOLE
0
0
28776
GOLDMAN SACHS GROUP INC
COM
38141G104
214
1197
SH
SOLE
0
0
1197
HEALTHEQUITY INC
COM
42226A107
4613
100650
SH
SOLE
0
0
100650
INNOVATOR ETFS TR
S&P 500 BUFETF
45782C771
1531
64410
SH
SOLE
0
0
64410
INNOVATOR ETFS TR
S&P 500 POWER
45782C417
1356
60000
SH
SOLE
0
0
60000
INTERNATIONAL BUSINESS MACHS
COM
459200101
201
1690
SH
SOLE
0
0
1690
INVESCO EXCHANGE TRADED FD T
S&P500 EQL MAT
46137V316
496
5642
SH
SOLE
0
0
5642
INVESCO EXCHANGE TRADED FD T
S&P500 EQL STP
46137V373
855
6397
SH
SOLE
0
0
6397
INVESCO EXCHANGE TRADED FD T
S&P500 EQL WGT
46137V357
1433
15993
SH
SOLE
0
0
15993
INVESCO QQQ TR
UNIT SER 1
46090E103
3773
18015
SH
SOLE
0
0
18015
ISHARES TR
CORE S&P500 ETF
464287200
223
799
SH
SOLE
0
0
799
ISHARES TR
PFD AND INCM SEC
464288687
223
6659
SH
SOLE
0
0
6659
ISHARES TR
S&P 500 GRWT ETF
464287309
279
1552
SH
SOLE
0
0
1552
ISHARES TR
U.S. FIN SVC ETF
464287770
335
3155
SH
SOLE
0
0
3155
ISHARES TR
ULTR SH TRM BD
46434V878
2537
50460
SH
SOLE
0
0
50460
ISHARES TR
US AER DEF ETF
464288760
863
5752
SH
SOLE
0
0
5752
ISHARES U S ETF TR
HEALTHCARE
46431W689
612
20905
SH
SOLE
0
0
20905
J P MORGAN EXCHANGE-TRADED F
ULTRA SHRT INC
46641Q837
1086
21693
SH
SOLE
0
0
21693
JOHN HANCOCK ETF TRUST
MLTFACTR UTILS
47804J867
293
9832
SH
SOLE
0
0
9832
JOHNSON & JOHNSON
COM
478160104
325
2203
SH
SOLE
0
0
2203
JPMORGAN CHASE & CO
COM
46625H100
1324
14579
SH
SOLE
0
0
14579
L3HARRIS TECHNOLOGIES INC
COM
502431109
215
1102
SH
SOLE
0
0
1102
LILLY ELI & CO
COM
532457108
550
3636
SH
SOLE
0
0
3636
LULULEMON ATHLETICA INC
COM
550021109
337
1620
SH
SOLE
0
0
1620
MASTERCARD INC
CL A
57636Q104
753
2928
SH
SOLE
0
0
2928
MCDONALDS CORP
COM
580135101
246
1385
SH
SOLE
0
0
1385
MGM RESORTS INTERNATIONAL
COM
552953101
177
12295
SH
SOLE
0
0
12295
MICROSOFT CORP
COM
594918104
3425
19925
SH
SOLE
0
0
19925
NETFLIX INC
COM
64110L106
722
1692
SH
SOLE
0
0
1692
NVIDIA CORP
COM
67066G104
985
3507
SH
SOLE
0
0
3507
OCCIDENTAL PETE CORP
COM
674599105
261
19194
SH
SOLE
0
0
19194
OGE ENERGY CORP
COM
670837103
350
11229
SH
SOLE
0
0
11229
ORACLE CORP
COM
68389X105
247
4655
SH
SOLE
0
0
4655
OUTLOOK THERAPEUTICS INC
COM NEW
69012T206
25
34750
SH
SOLE
0
0
34750
PAYCOM SOFTWARE INC
COM
70432V102
868
3835
SH
SOLE
0
0
3835
PAYPAL HLDGS INC
COM
70450Y103
442
4097
SH
SOLE
0
0
4097
PEPSICO INC
COM
713448108
1232
9127
SH
SOLE
0
0
9127
PROCTER & GAMBLE CO
COM
742718109
241
1985
SH
SOLE
0
0
1985
PROSHARES TR
S&P 500 DV ARIST
74348A467
1288
21048
SH
SOLE
0
0
21048
PROSHARES TR
SHORT S&P 500 NE
74347B425
1309
51575
SH
SOLE
0
0
51575
QUALCOMM INC
COM
747525103
214
2816
SH
SOLE
0
0
2816
REAVES UTIL INCOME FD
COM SH BEN INT
756158101
252
8505
SH
SOLE
0
0
8505
RED ROCK RESORTS INC
CL A
75700L108
142
13786
SH
SOLE
0
0
13786
SCHWAB STRATEGIC TR
US DIVIDEND EQ
808524797
268
5555
SH
SOLE
0
0
5555
SELECT SECTOR SPDR TR
SBI HEALTHCARE
81369Y209
627
6487
SH
SOLE
0
0
6487
SELECT SECTOR SPDR TR
SBI INT-INDS
81369Y704
602
9892
SH
SOLE
0
0
9892
SELECT SECTOR SPDR TR
SBI INT-UTILS
81369Y886
1230
20973
SH
SOLE
0
0
20973
SHAKE SHACK INC
CL A
819047101
229
5337
SH
SOLE
0
0
5337
SHOPIFY INC
CL A
82509L107
1821
3663
SH
SOLE
0
0
3663
SPDR GOLD TRUST
GOLD SHS
78463V107
1240
7661
SH
SOLE
0
0
7661
SPDR INDEX SHS FDS
DJ GLB RL ES ETF
78463X749
248
6630
SH
SOLE
0
0
6630
SPDR INDEX SHS FDS
PORTFOLIO DEVLPD
78463X889
368
15070
SH
SOLE
0
0
15070
SPDR S&P 500 ETF TR
TR UNIT
78462F103
1835
6608
SH
SOLE
0
0
6608
SPDR SER TR
PORTFOLIO S&P500
78464A854
649
19910
SH
SOLE
0
0
19910
SPDR SER TR
PRTFLO S&P500 GW
78464A409
349
8978
SH
SOLE
0
0
8978
SPDR SER TR
PRTFLO S&P500 HI
78468R788
477
18254
SH
SOLE
0
0
18254
SPDR SER TR
PRTFLO S&P500 VL
78464A508
333
12092
SH
SOLE
0
0
12092
SPDR SER TR
RUSSELL YIELD
78468R770
273
5463
SH
SOLE
0
0
5463
SPDR SER TR
S&P DIVID ETF
78464A763
337
4024
SH
SOLE
0
0
4024
SPDR SER TR
WELLS FG PFD ETF
78464A292
920
22338
SH
SOLE
0
0
22338
SSGA ACTIVE ETF TR
BLKSTN GSOSRLN
78467V608
692
16422
SH
SOLE
0
0
16422
STAAR SURGICAL CO
COM PAR $0.01
852312305
468
13000
SH
SOLE
0
0
13000
TARGET CORP
COM
87612E106
697
6558
SH
SOLE
0
0
6558
TD AMERITRADE HLDG CORP
COM
87236Y108
568
15855
SH
SOLE
0
0
15855
TENNECO INC
CL A VTG COM STK
880349105
75
20000
SH
SOLE
0
0
20000
TEVA PHARMACEUTICAL INDS LTD
SPONSORED ADS
881624209
1023
101675
SH
SOLE
0
0
101675
THERAPEUTICSMD INC
COM
88338N107
9
10000
SH
SOLE
0
0
10000
TILRAY INC
COM CL 2
88688T100
68
10000
SH
SOLE
0
0
10000
TWILIO INC
CL A
90138F102
686
6801
SH
SOLE
0
0
6801
UBER TECHNOLOGIES INC
COM
90353T100
726
26478
SH
SOLE
0
0
26478
UNDER ARMOUR INC
CL C
904311206
1
95
SH
SOLE
0
0
95
UNDER ARMOUR INC
CL C
904311206
0
20000
SH
Call
SOLE
0
0
20000
UNITED AIRLS HLDGS INC
COM
910047109
229
7173
SH
SOLE
0
0
7173
UNITED STATES OIL FUND LP
UNITS
91232N108
440
99366
SH
SOLE
0
0
99366
UNITED STS NAT GAS FD LP
UNIT PAR
912318300
0
23
SH
SOLE
0
0
23
UNITED STS NAT GAS FD LP
UNIT PAR
912318300
0
30000
SH
Call
SOLE
0
0
30000
UNIVERSAL HLTH SVCS INC
CL B
913903100
1375
13335
SH
SOLE
0
0
13335
VANECK VECTORS ETF TR
FALLEN ANGEL HG
92189F437
214
7817
SH
SOLE
0
0
7817
VANECK VECTORS ETF TR
PHARMACEUTICAL
92189F692
581
10056
SH
SOLE
0
0
10056
VANGUARD BD INDEX FDS
TOTAL BND MRKT
921937835
2285
26072
SH
SOLE
0
0
26072
VANGUARD CHARLOTTE FDS
INTL BD IDX ETF
92203J407
961
16926
SH
SOLE
0
0
16926
VANGUARD INDEX FDS
EXTEND MKT ETF
922908652
909
9511
SH
SOLE
0
0
9511
VANGUARD INDEX FDS
GROWTH ETF
922908736
823
4807
SH
SOLE
0
0
4807
VANGUARD INDEX FDS
MCAP GR IDXVIP
922908538
546
3957
SH
SOLE
0
0
3957
VANGUARD INDEX FDS
REAL ESTATE ETF
922908553
280
3748
SH
SOLE
0
0
3748
VANGUARD INDEX FDS
S&P 500 ETF SHS
922908363
734
2875
SH
SOLE
0
0
2875
VANGUARD INDEX FDS
SMALL CP ETF
922908751
714
5927
SH
SOLE
0
0
5927
VANGUARD INDEX FDS
TOTAL STK MKT
922908769
3408
24600
SH
SOLE
0
0
24600
VANGUARD INTL EQUITY INDEX F
FTSE EMR MKT ETF
922042858
285
8174
SH
SOLE
0
0
8174
VANGUARD SCOTTSDALE FDS
SHRT TRM CORP BD
92206C409
633
7803
SH
SOLE
0
0
7803
VANGUARD STAR FDS
VG TL INTL STK F
921909768
1501
34696
SH
SOLE
0
0
34696
VANGUARD TAX-MANAGED INTL FD
FTSE DEV MKT ETF
921943858
204
6002
SH
SOLE
0
0
6002
VANGUARD WHITEHALL FDS
HIGH DIV YLD
921946406
1251
16618
SH
SOLE
0
0
16618
VANGUARD WORLD FDS
INF TECH ETF
92204A702
457
1990
SH
SOLE
0
0
1990
VISA INC
COM CL A
92826C839
813
4900
SH
SOLE
0
0
4900
WALMART INC
COM
931142103
225
1744
SH
SOLE
0
0
1744
WASTE MGMT INC DEL
COM
94106L109
768
7944
SH
SOLE
0
0
7944
WELLS FARGO UTILITIES AND HI
WF UTILITIES INC
94987E109
178
15212
SH
SOLE
0
0
15212
ZOETIS INC
CL A
98978V103
1612
13017
SH
SOLE
0
0
13017
ZOOM VIDEO COMMUNICATIONS IN
CL A
98980L101
960
6334
SH
SOLE
0
0
6334