Director IA Compliance

0001085146-20-002493.txt : 20201013 0001085146-20-002493.hdr.sgml : 20201013 20201013113345 ACCESSION NUMBER: 0001085146-20-002493 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200930 FILED AS OF DATE: 20201013 DATE AS OF CHANGE: 20201013 EFFECTIVENESS DATE: 20201013 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: 201235385 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 09-30-2020 09-30-2020 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 10-09-2020 0 172 187319 false INFORMATION TABLE 2 infotable.xml INFORMATION TABLE ABBOTT LABS COM 002824100 233 2163 SH SOLE 0 0 2163 ABERDEEN ASIA-PACIFIC INCOME COM 003009107 50 12548 SH SOLE 0 0 12548 ADOBE SYSTEMS INCORPORATED COM 00724F101 304 616 SH SOLE 0 0 616 ADVANCED MICRO DEVICES INC COM 007903107 1240 14300 SH SOLE 0 0 14300 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 2016 6800 SH SOLE 0 0 6800 ALPHABET INC CAP STK CL A 02079K305 2205 1511 SH SOLE 0 0 1511 ALPHABET INC CAP STK CL C 02079K107 507 347 SH SOLE 0 0 347 ALPHATEC HLDGS INC COM NEW 02081G201 87 12657 SH SOLE 0 0 12657 AMAZON COM INC COM 023135106 4407 1379 SH SOLE 0 0 1379 AMERICAN EXPRESS CO COM 025816109 861 8330 SH SOLE 0 0 8330 AMERICAN FIN TR INC COM CLASS A 02607T109 393 59614 SH SOLE 0 0 59614 AMERICAN WTR WKS CO INC NEW COM 030420103 216 1396 SH SOLE 0 0 1396 AMERICOLD RLTY TR COM 03064D108 663 17788 SH SOLE 0 0 17788 AMGEN INC COM 031162100 332 1288 SH SOLE 0 0 1288 APOLLO INVT CORP COM NEW 03761U502 91 10606 SH SOLE 0 0 10606 APPLE INC COM 037833100 8237 71576 SH SOLE 0 0 71576 ARCTURUS THERAPEUTICS HLDGS COM 03969T109 9359 183803 SH SOLE 0 0 183803 ARES CAPITAL CORP COM 04010L103 362 25538 SH SOLE 0 0 25538 AT&T INC COM 00206R102 985 34189 SH SOLE 0 0 34189 AVAYA HLDGS CORP COM 05351X101 1219 66631 SH SOLE 0 0 66631 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 2408 11292 SH SOLE 0 0 11292 BIOGEN INC COM 09062X103 278 972 SH SOLE 0 0 972 BK OF AMERICA CORP COM 060505104 809 32533 SH SOLE 0 0 32533 BLACKROCK CORPOR HI YLD FD I COM 09255P107 165 14891 SH SOLE 0 0 14891 BLACKSTONE GROUP INC COM CL A 09260D107 834 15311 SH SOLE 0 0 15311 BOEING CO COM 097023105 1421 8632 SH SOLE 0 0 8632 BROADCOM INC COM 11135F101 955 2604 SH SOLE 0 0 2604 CENTENE CORP DEL COM 15135B101 1041 16117 SH SOLE 0 0 16117 CHARLES & COLVARD LTD COM 159765106 12 13000 SH SOLE 0 0 13000 CHEVRON CORP NEW COM 166764100 296 4008 SH SOLE 0 0 4008 CISCO SYS INC COM 17275R102 1001 25402 SH SOLE 0 0 25402 CLOROX CO DEL COM 189054109 640 2976 SH SOLE 0 0 2976 COLONY CR REAL ESTATE INC COM CL A 19625T101 341 63350 SH SOLE 0 0 63350 COSTCO WHSL CORP NEW COM 22160K105 1773 4883 SH SOLE 0 0 4883 CROWDSTRIKE HLDGS INC CL A 22788C105 325 2250 SH SOLE 0 0 2250 DANAHER CORPORATION COM 235851102 321 1446 SH SOLE 0 0 1446 DILLARDS INC CL A 254067101 308 7500 SH SOLE 0 0 7500 DISNEY WALT CO COM DISNEY 254687106 1477 12014 SH SOLE 0 0 12014 DOLLAR GEN CORP NEW COM 256677105 451 2101 SH SOLE 0 0 2101 DRAFTKINGS INC COM CL A 26142R104 791 14834 SH SOLE 0 0 14834 ENERGY TRANSFER LP COM UT LTD PTN 29273V100 73 13317 SH SOLE 0 0 13317 ESSENTIAL UTILS INC COM 29670G102 976 23778 SH SOLE 0 0 23778 ETF SER SOLUTIONS VIDENTCORE EQ FD 26922A503 212 7013 SH SOLE 0 0 7013 ETF SER SOLUTIONS VIDENT INTL EQ 26922A404 276 12876 SH SOLE 0 0 12876 EXTRA SPACE STORAGE INC COM 30225T102 693 6162 SH SOLE 0 0 6162 EXXON MOBIL CORP COM 30231G102 643 19204 SH SOLE 0 0 19204 FACEBOOK INC CL A 30303M102 960 3720 SH SOLE 0 0 3720 FEDEX CORP COM 31428X106 362 1348 SH SOLE 0 0 1348 FIDELITY COVINGTON TRUST MSCI CONSM DIS 316092204 548 8568 SH SOLE 0 0 8568 FIDELITY COVINGTON TRUST MSCI INDL INDX 316092709 342 8133 SH SOLE 0 0 8133 FIDELITY COVINGTON TRUST MSCI INFO TECH I 316092808 296 3146 SH SOLE 0 0 3146 FIRST TR EXCH TRD ALPHDX FD EUROPE ALPHADEX 33737J117 243 7023 SH SOLE 0 0 7023 FIRST TR EXCHANGE TRADED FD CLOUD COMPUTING 33734X192 363 4400 SH SOLE 0 0 4400 FIRST TR EXCHANGE TRADED FD US EQTY OPPT ETF 336920103 596 5956 SH SOLE 0 0 5956 FIRST TR EXCHANGE-TRADED FD RISNG DIVD ACHIV 33738R506 204 5967 SH SOLE 0 0 5967 FIRST TR EXCHANGE-TRADED FD FIRST TR TA HIYL 33738D408 345 7259 SH SOLE 0 0 7259 FIRST TR EXCHANGE-TRADED FD FST LOW OPPT EFT 33739Q200 1372 26537 SH SOLE 0 0 26537 FIRST TR EXCHANGE-TRADED FD FT STRG INCM ETF 33739Q309 609 13440 SH SOLE 0 0 13440 FIRST TR EXCHANGE-TRADED FD FIRST TR ENH NEW 33739Q408 10550 175712 SH SOLE 0 0 175712 FIRST TR NASDAQ 100 TECH IND SHS 337345102 326 2720 SH SOLE 0 0 2720 FIRST TR VALUE LINE DIVID IN SHS 33734H106 1027 31655 SH SOLE 0 0 31655 FS KKR CAP CORP II COM 35952V303 185 11746 SH SOLE 0 0 11746 FS KKR CAPITAL CORP COM 302635206 605 37142 SH SOLE 0 0 37142 GLOBAL NET LEASE INC COM NEW 379378201 265 15882 SH SOLE 0 0 15882 GLOBAL X FDS NASDAQ 100 COVER 37954Y483 667 30656 SH SOLE 0 0 30656 GOLDMAN SACHS GROUP INC COM 38141G104 842 4137 SH SOLE 0 0 4137 GRANITESHARES ETF TR XOUT US LRG CP 38747R603 237 7240 SH SOLE 0 0 7240 HEALTHEQUITY INC COM 42226A107 5457 100050 SH SOLE 0 0 100050 HOME DEPOT INC COM 437076102 259 916 SH SOLE 0 0 916 INNOVATOR ETFS TR S&P 500 POWER 45782C417 1524 60000 SH SOLE 0 0 60000 INNOVATOR ETFS TR S&P 500 BUFETF 45782C771 2073 73804 SH SOLE 0 0 73804 INTEL CORP COM 458140100 650 12347 SH SOLE 0 0 12347 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 1580 13929 SH SOLE 0 0 13929 INVESCO QQQ TR UNIT SER 1 46090E103 5772 20511 SH SOLE 0 0 20511 ISHARES GOLD TRUST ISHARES 464285105 2259 124959 SH SOLE 0 0 124959 ISHARES SILVER TR ISHARES 46428Q109 3055 137748 SH SOLE 0 0 137748 ISHARES TR U.S. FIN SVC ETF 464287770 386 3047 SH SOLE 0 0 3047 ISHARES TR S&P 500 GRWT ETF 464287309 288 1228 SH SOLE 0 0 1228 ISHARES TR ULTR SH TRM BD 46434V878 7002 138535 SH SOLE 0 0 138535 ISHARES TR TIPS BD ETF 464287176 224 1779 SH SOLE 0 0 1779 ISHARES TR NASDAQ BIOTECH 464287556 725 5145 SH SOLE 0 0 5145 ISHARES TR NATIONAL MUN ETF 464288414 283 2456 SH SOLE 0 0 2456 ISHARES TR CORE S&P500 ETF 464287200 239 700 SH SOLE 0 0 700 ISHARES TR IBOXX INV CP ETF 464287242 388 2879 SH SOLE 0 0 2879 ISHARES TR FLTG RATE NT ETF 46429B655 1729 34089 SH SOLE 0 0 34089 ISHARES U S ETF TR HEALTHCARE 46431W689 1079 31324 SH SOLE 0 0 31324 J P MORGAN EXCHANGE-TRADED F ULTRA SHRT INC 46641Q837 1603 31576 SH SOLE 0 0 31576 JAGUAR HEALTH INC COM 47010C409 14 44900 SH SOLE 0 0 44900 JOHN HANCOCK EXCHANGE TRADED MLTFACTR UTILS 47804J867 292 9458 SH SOLE 0 0 9458 JOHNSON & JOHNSON COM 478160104 320 2161 SH SOLE 0 0 2161 JPMORGAN CHASE & CO COM 46625H100 1432 14357 SH SOLE 0 0 14357 LAM RESEARCH CORP COM 512807108 210 608 SH SOLE 0 0 608 LILLY ELI & CO COM 532457108 530 3556 SH SOLE 0 0 3556 LOCKHEED MARTIN CORP COM 539830109 745 1945 SH SOLE 0 0 1945 MASTERCARD INCORPORATED CL A 57636Q104 1410 4099 SH SOLE 0 0 4099 MCDONALDS CORP COM 580135101 314 1385 SH SOLE 0 0 1385 MICROSOFT CORP COM 594918104 3520 16777 SH SOLE 0 0 16777 MODERNA INC COM 60770K107 1454 20085 SH SOLE 0 0 20085 NETFLIX INC COM 64110L106 854 1597 SH SOLE 0 0 1597 NEXTERA ENERGY INC COM 65339F101 204 686 SH SOLE 0 0 686 NVIDIA CORPORATION COM 67066G104 1211 2168 SH SOLE 0 0 2168 OCCIDENTAL PETE CORP COM 674599105 1376 133826 SH SOLE 0 0 133826 OGE ENERGY CORP COM 670837103 360 11237 SH SOLE 0 0 11237 ORACLE CORP COM 68389X105 269 4444 SH SOLE 0 0 4444 OWL ROCK CAPITAL CORPORATION COM 69121K104 795 65617 SH SOLE 0 0 65617 PAYCOM SOFTWARE INC COM 70432V102 1319 3749 SH SOLE 0 0 3749 PAYPAL HLDGS INC COM 70450Y103 260 1337 SH SOLE 0 0 1337 PEPSICO INC COM 713448108 1686 12308 SH SOLE 0 0 12308 PG&E CORP COM 69331C108 155 15069 SH SOLE 0 0 15069 PG&E CORP COM 69331C108 4 10000 SH Call SOLE 0 0 10000 PROCTER AND GAMBLE CO COM 742718109 305 2171 SH SOLE 0 0 2171 PROSHARES TR S&P 500 DV ARIST 74348A467 1509 20325 SH SOLE 0 0 20325 QUALCOMM INC COM 747525103 1611 13091 SH SOLE 0 0 13091 REAVES UTIL INCOME FD COM SH BEN INT 756158101 244 7500 SH SOLE 0 0 7500 SALESFORCE COM INC COM 79466L302 285 1097 SH SOLE 0 0 1097 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 605 5633 SH SOLE 0 0 5633 SELECT SECTOR SPDR TR ENERGY 81369Y506 749 23945 SH SOLE 0 0 23945 SENSEONICS HLDGS INC COM 81727U105 10 25000 SH SOLE 0 0 25000 SERVICENOW INC COM 81762P102 294 588 SH SOLE 0 0 588 SHERWIN WILLIAMS CO COM 824348106 684 989 SH SOLE 0 0 989 SHOPIFY INC CL A 82509L107 2762 2573 SH SOLE 0 0 2573 SNOWFLAKE INC CL A 833445109 446 1813 SH SOLE 0 0 1813 SPDR GOLD TR GOLD SHS 78463V107 4231 23873 SH SOLE 0 0 23873 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 396 13268 SH SOLE 0 0 13268 SPDR INDEX SHS FDS DJ GLB RL ES ETF 78463X749 256 6261 SH SOLE 0 0 6261 SPDR INDEX SHS FDS S&P INTL ETF 78463X772 201 5891 SH SOLE 0 0 5891 SPDR S&P 500 ETF TR TR UNIT 78462F103 2231 6491 SH SOLE 0 0 6491 SPDR SER TR WELLS FG PFD ETF 78464A292 809 18446 SH SOLE 0 0 18446 SPDR SER TR PRTFLO S&P500 VL 78464A508 300 9556 SH SOLE 0 0 9556 SPDR SER TR S&P DIVID ETF 78464A763 374 3901 SH SOLE 0 0 3901 SPDR SER TR PORTFOLIO S&P500 78464A854 730 18227 SH SOLE 0 0 18227 SPDR SER TR RUSSELL YIELD 78468R770 291 4570 SH SOLE 0 0 4570 SPDR SER TR PRTFLO S&P500 HI 78468R788 407 14128 SH SOLE 0 0 14128 SPDR SER TR S&P 400 MDCP GRW 78464A821 202 3338 SH SOLE 0 0 3338 SPDR SER TR PRTFLO S&P500 GW 78464A409 417 8225 SH SOLE 0 0 8225 SSGA ACTIVE ETF TR BLKSTN GSOSRLN 78467V608 724 16188 SH SOLE 0 0 16188 STAAR SURGICAL CO COM PAR $0.01 852312305 479 8400 SH SOLE 0 0 8400 SURGALIGN HOLDINGS INC COM 86882C105 209 103300 SH SOLE 0 0 103300 TARGET CORP COM 87612E106 1173 7297 SH SOLE 0 0 7297 TESLA INC COM 88160R101 377 886 SH SOLE 0 0 886 THERAPEUTICSMD INC COM 88338N107 17 10000 SH SOLE 0 0 10000 TRANSLATE BIO INC COM 89374L104 730 50000 SH SOLE 0 0 50000 TWILIO INC CL A 90138F102 933 3128 SH SOLE 0 0 3128 UBER TECHNOLOGIES INC COM 90353T100 552 14998 SH SOLE 0 0 14998 UNIVERSAL HLTH SVCS INC CL B 913903100 1020 9319 SH SOLE 0 0 9319 VANECK VECTORS ETF TR FALLEN ANGEL HG 92189F437 235 7817 SH SOLE 0 0 7817 VANECK VECTORS ETF TR PHARMACEUTICAL 92189F692 1032 16613 SH SOLE 0 0 16613 VANGUARD BD INDEX FDS TOTAL BND MRKT 921937835 2357 26852 SH SOLE 0 0 26852 VANGUARD CHARLOTTE FDS INTL BD IDX ETF 92203J407 1014 17426 SH SOLE 0 0 17426 VANGUARD INDEX FDS SMALL CP ETF 922908751 728 4414 SH SOLE 0 0 4414 VANGUARD INDEX FDS GROWTH ETF 922908736 1025 4418 SH SOLE 0 0 4418 VANGUARD INDEX FDS EXTEND MKT ETF 922908652 1239 8966 SH SOLE 0 0 8966 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 769 2436 SH SOLE 0 0 2436 VANGUARD INDEX FDS SML CP GRW ETF 922908595 224 981 SH SOLE 0 0 981 VANGUARD INDEX FDS TOTAL STK MKT 922908769 4423 25152 SH SOLE 0 0 25152 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 302 3619 SH SOLE 0 0 3619 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 635 3392 SH SOLE 0 0 3392 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 228 5119 SH SOLE 0 0 5119 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 7013 84719 SH SOLE 0 0 84719 VANGUARD STAR FDS VG TL INTL STK F 921909768 2019 37636 SH SOLE 0 0 37636 VANGUARD TAX-MANAGED INTL FD FTSE DEV MKT ETF 921943858 227 5421 SH SOLE 0 0 5421 VANGUARD WHITEHALL FDS HIGH DIV YLD 921946406 1119 13313 SH SOLE 0 0 13313 VANGUARD WORLD FDS INF TECH ETF 92204A702 585 1840 SH SOLE 0 0 1840 VIACOMCBS INC CL B 92556H206 433 14995 SH SOLE 0 0 14995 VISA INC COM CL A 92826C839 1392 6877 SH SOLE 0 0 6877 WALMART INC COM 931142103 232 1644 SH SOLE 0 0 1644 WASTE MGMT INC DEL COM 94106L109 793 6968 SH SOLE 0 0 6968 WELLS FARGO CO NEW COM 949746101 949 38236 SH SOLE 0 0 38236 WELLS FARGO UTILITIES AND HI WF UTILITIES INC 94987E109 187 14944 SH SOLE 0 0 14944 XCEL ENERGY INC COM 98389B100 217 3017 SH SOLE 0 0 3017 ZOETIS INC CL A 98978V103 2031 12699 SH SOLE 0 0 12699 ZOOM VIDEO COMMUNICATIONS IN CL A 98980L101 808 1682 SH SOLE 0 0 1682