Director IA Compliance

0001085146-21-001188.txt : 20210414 0001085146-21-001188.hdr.sgml : 20210414 20210414133920 ACCESSION NUMBER: 0001085146-21-001188 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210331 FILED AS OF DATE: 20210414 DATE AS OF CHANGE: 20210414 EFFECTIVENESS DATE: 20210414 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: 21825284 BUSINESS ADDRESS: STREET 1: 9017 S RIVERSIDE DRIVE STREET 2: SUITE 210 CITY: SANDY STATE: UT ZIP: 84070 BUSINESS PHONE: 801-838-9999 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 03-31-2021 03-31-2021 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 04-09-2021 0 158 234084 false INFORMATION TABLE 2 infotable.xml INFORMATION TABLE ABBOTT LABS COM 002824100 365 3046 SH SOLE 0 0 3046 ABBVIE INC COM 00287Y109 1578 14864 SH SOLE 0 0 14864 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 305 1084 SH SOLE 0 0 1084 ACELRX PHARMACEUTICALS INC COM 00444T100 84 52576 SH SOLE 0 0 52576 ADOBE SYSTEMS INCORPORATED COM 00724F101 418 851 SH SOLE 0 0 851 AGORA INC ADS 00851L103 940 18272 SH SOLE 0 0 18272 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 3611 16027 SH SOLE 0 0 16027 ALPHABET INC CAP STK CL A 02079K305 3573 1610 SH SOLE 0 0 1610 ALPHABET INC CAP STK CL C 02079K107 1057 475 SH SOLE 0 0 475 ALPHATEC HLDGS INC COM NEW 02081G201 194 12657 SH SOLE 0 0 12657 AMAZON COM INC COM 023135106 4582 1420 SH SOLE 0 0 1420 AMERICAN AIRLS GROUP INC COM 02376R102 341 14070 SH SOLE 0 0 14070 AMERICAN FIN TR INC COM CLASS A 02607T109 620 62195 SH SOLE 0 0 62195 APPLE INC COM 037833100 6684 53092 SH SOLE 0 0 53092 ARES CAPITAL CORP COM 04010L103 457 24068 SH SOLE 0 0 24068 ARK ETF TR INNOVATION ETF 00214Q104 231 1902 SH SOLE 0 0 1902 AT&T INC COM 00206R102 219 7145 SH SOLE 0 0 7145 AVAYA HLDGS CORP COM 05351X101 2563 85789 SH SOLE 0 0 85789 BARRICK GOLD CORP COM 067901108 1768 85679 SH SOLE 0 0 85679 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 883 3360 SH SOLE 0 0 3360 BK OF AMERICA CORP COM 060505104 1380 34665 SH SOLE 0 0 34665 BLACKSTONE GROUP INC COM 09260D107 1437 19161 SH SOLE 0 0 19161 BOEING CO COM 097023105 2117 8162 SH SOLE 0 0 8162 BROADCOM INC COM 11135F101 1325 2713 SH SOLE 0 0 2713 CARNIVAL CORP UNIT 99/99/9999 143658300 2200 78270 SH SOLE 0 0 78270 CHARLES & COLVARD LTD COM 159765106 38 13000 SH SOLE 0 0 13000 CHEVRON CORP NEW COM 166764100 434 4157 SH SOLE 0 0 4157 CHEWY INC CL A 16679L109 1144 14147 SH SOLE 0 0 14147 CISCO SYS INC COM 17275R102 952 18167 SH SOLE 0 0 18167 COLONY CR REAL ESTATE INC COM CL A 19625T101 470 55118 SH SOLE 0 0 55118 COPART INC COM 217204106 221 1943 SH SOLE 0 0 1943 COSTCO WHSL CORP NEW COM 22160K105 2190 6068 SH SOLE 0 0 6068 CROWDSTRIKE HLDGS INC CL A 22788C105 234 1255 SH SOLE 0 0 1255 DANAHER CORPORATION COM 235851102 370 1635 SH SOLE 0 0 1635 DISNEY WALT CO COM 254687106 2506 13295 SH SOLE 0 0 13295 DRAFTKINGS INC COM CL A 26142R104 752 12000 SH SOLE 0 0 12000 EIGER BIOPHARMACEUTICALS INC COM 28249U105 290 32430 SH SOLE 0 0 32430 ENERGY TRANSFER LP COM UT LTD PTN 29273V100 4153 531098 SH SOLE 0 0 531098 ESSENTIAL UTILS INC COM 29670G102 1306 28568 SH SOLE 0 0 28568 ETF SER SOLUTIONS US GLB JETS 26922A842 3173 114909 SH SOLE 0 0 114909 EXTRA SPACE STORAGE INC COM 30225T102 832 6164 SH SOLE 0 0 6164 EXXON MOBIL CORP COM 30231G102 945 16725 SH SOLE 0 0 16725 FACEBOOK INC CL A 30303M102 6663 21568 SH SOLE 0 0 21568 FIDELITY COVINGTON TRUST MSCI CONSM DIS 316092204 316 4032 SH SOLE 0 0 4032 FIDELITY COVINGTON TRUST MSCI INFO TECH I 316092808 310 2819 SH SOLE 0 0 2819 FIRST TR EXCHANGE TRADED FD CLOUD COMPUTING 33734X192 796 8022 SH SOLE 0 0 8022 FIRST TR EXCHANGE TRADED FD US EQTY OPPT ETF 336920103 709 5812 SH SOLE 0 0 5812 FIRST TR EXCHANGE-TRADED FD DJ INTERNT IDX 33733E302 219 971 SH SOLE 0 0 971 FIRST TR EXCHANGE-TRADED FD FIRST TR ENH NEW 33739Q408 10604 176821 SH SOLE 0 0 176821 FIRST TR EXCHANGE-TRADED FD FIRST TR TA HIYL 33738D408 661 13550 SH SOLE 0 0 13550 FIRST TR EXCHANGE-TRADED FD FST LOW OPPT EFT 33739Q200 728 14233 SH SOLE 0 0 14233 FIRST TR EXCHANGE-TRADED FD RISNG DIVD ACHIV 33738R506 331 7074 SH SOLE 0 0 7074 FIRST TR NASDAQ 100 TECH IND SHS 337345102 864 5725 SH SOLE 0 0 5725 FIRST TR VALUE LINE DIVID IN SHS 33734H106 1186 30792 SH SOLE 0 0 30792 FS KKR CAP CORP COM 302635206 682 33252 SH SOLE 0 0 33252 GILEAD SCIENCES INC COM 375558103 1010 15230 SH SOLE 0 0 15230 GLOBAL NET LEASE INC COM NEW 379378201 297 15882 SH SOLE 0 0 15882 GLOBAL X FDS NASDAQ 100 COVER 37954Y483 809 35561 SH SOLE 0 0 35561 GOLDMAN SACHS GROUP INC COM 38141G104 1287 3979 SH SOLE 0 0 3979 GRANITESHARES ETF TR XOUT US LRG CP 38747R603 744 19593 SH SOLE 0 0 19593 HEALTHEQUITY INC COM 42226A107 6618 99050 SH SOLE 0 0 99050 HOME DEPOT INC COM 437076102 344 1091 SH SOLE 0 0 1091 INNOVATOR ETFS TR S&P 500 BUFETF 45782C771 2451 77669 SH SOLE 0 0 77669 INNOVATOR ETFS TR S&P 500 POWER 45782C417 1544 55525 SH SOLE 0 0 55525 INVESCO EXCH TRADED FD TR II S&P 500 HB ETF 46138E370 205 2891 SH SOLE 0 0 2891 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 1923 13318 SH SOLE 0 0 13318 INVESCO QQQ TR UNIT SER 1 46090E103 6496 19624 SH SOLE 0 0 19624 ISHARES GOLD TR ISHARES 464285105 2154 130922 SH SOLE 0 0 130922 ISHARES TR BLACKROCK ULTRA 46434V878 9173 181633 SH SOLE 0 0 181633 ISHARES TR CORE S&P500 ETF 464287200 409 1003 SH SOLE 0 0 1003 ISHARES TR FLTG RATE NT ETF 46429B655 2201 43385 SH SOLE 0 0 43385 ISHARES TR IBOXX INV CP ETF 464287242 276 2127 SH SOLE 0 0 2127 ISHARES TR NATIONAL MUN ETF 464288414 239 2059 SH SOLE 0 0 2059 ISHARES TR TIPS BD ETF 464287176 223 1779 SH SOLE 0 0 1779 ISHARES TR U.S. FIN SVC ETF 464287770 349 1992 SH SOLE 0 0 1992 J P MORGAN EXCHANGE-TRADED F ULTRA SHRT INC 46641Q837 2295 45241 SH SOLE 0 0 45241 J P MORGAN EXCHANGE-TRADED F ULTRA SHT MUNCPL 46641Q654 1523 29843 SH SOLE 0 0 29843 JOHNSON & JOHNSON COM 478160104 245 1499 SH SOLE 0 0 1499 JPMORGAN CHASE & CO COM 46625H100 2125 13835 SH SOLE 0 0 13835 L3HARRIS TECHNOLOGIES INC COM 502431109 231 1112 SH SOLE 0 0 1112 LILLY ELI & CO COM 532457108 622 3364 SH SOLE 0 0 3364 LOCKHEED MARTIN CORP COM 539830109 940 2482 SH SOLE 0 0 2482 MASTERCARD INCORPORATED CL A 57636Q104 352 957 SH SOLE 0 0 957 MICROSOFT CORP COM 594918104 3558 14287 SH SOLE 0 0 14287 MODERNA INC COM 60770K107 3527 27147 SH SOLE 0 0 27147 MODERNA INC COM 60770K107 1 4500 SH Call SOLE 0 0 4500 NETFLIX INC COM 64110L106 257 475 SH SOLE 0 0 475 NIKE INC CL B 654106103 213 1577 SH SOLE 0 0 1577 NORWEGIAN CRUISE LINE HLDG L SHS G66721104 1626 54742 SH SOLE 0 0 54742 NVIDIA CORPORATION COM 67066G104 5492 9816 SH SOLE 0 0 9816 OCCIDENTAL PETE CORP COM 674599105 3303 130494 SH SOLE 0 0 130494 ORACLE CORP COM 68389X105 262 3539 SH SOLE 0 0 3539 OWL ROCK CAPITAL CORPORATION COM 69121K104 1569 111197 SH SOLE 0 0 111197 PALANTIR TECHNOLOGIES INC CL A 69608A108 1186 50614 SH SOLE 0 0 50614 PAYPAL HLDGS INC COM 70450Y103 1458 5809 SH SOLE 0 0 5809 PEPSICO INC COM 713448108 1778 12421 SH SOLE 0 0 12421 PINTEREST INC CL A 72352L106 3223 40520 SH SOLE 0 0 40520 PROSHARES TR S&P 500 DV ARIST 74348A467 1475 16864 SH SOLE 0 0 16864 QUALCOMM INC COM 747525103 2015 14361 SH SOLE 0 0 14361 RAYTHEON TECHNOLOGIES CORP COM 75513E101 230 2953 SH SOLE 0 0 2953 ROSS STORES INC COM 778296103 3361 27331 SH SOLE 0 0 27331 ROYAL CARIBBEAN GROUP COM V7780T103 1648 18490 SH SOLE 0 0 18490 SALESFORCE COM INC COM 79466L302 781 3545 SH SOLE 0 0 3545 SELECT SECTOR SPDR TR ENERGY 81369Y506 1802 36689 SH SOLE 0 0 36689 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 369 3147 SH SOLE 0 0 3147 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 233 6712 SH SOLE 0 0 6712 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 215 1555 SH SOLE 0 0 1555 SENSEONICS HLDGS INC COM 81727U105 48 18703 SH SOLE 0 0 18703 SERVICENOW INC COM 81762P102 315 613 SH SOLE 0 0 613 SHAKE SHACK INC CL A 819047101 232 2035 SH SOLE 0 0 2035 SHERWIN WILLIAMS CO COM 824348106 899 3514 SH SOLE 0 0 3514 SHOPIFY INC CL A 82509L107 2189 1910 SH SOLE 0 0 1910 SILVERGATE CAP CORP CL A 82837P408 301 2000 SH SOLE 0 0 2000 SNOWFLAKE INC CL A 833445109 1417 6099 SH SOLE 0 0 6099 SPDR GOLD TR GOLD SHS 78463V107 6296 38882 SH SOLE 0 0 38882 SPDR INDEX SHS FDS DJ GLB RL ES ETF 78463X749 276 5740 SH SOLE 0 0 5740 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 532 14623 SH SOLE 0 0 14623 SPDR S&P 500 ETF TR TR UNIT 78462F103 2214 5448 SH SOLE 0 0 5448 SPDR SER TR PORTFOLIO AGRGTE 78464A649 203 6837 SH SOLE 0 0 6837 SPDR SER TR PORTFOLIO S&P500 78464A854 921 19280 SH SOLE 0 0 19280 SPDR SER TR PORTFOLIO S&P600 78468R853 263 6104 SH SOLE 0 0 6104 SPDR SER TR PRTFLO S&P500 GW 78464A409 204 3497 SH SOLE 0 0 3497 SPDR SER TR PRTFLO S&P500 HI 78468R788 385 9883 SH SOLE 0 0 9883 SPDR SER TR RUSSELL YIELD 78468R770 295 3233 SH SOLE 0 0 3233 SPDR SER TR WELLS FG PFD ETF 78464A292 600 13799 SH SOLE 0 0 13799 SSGA ACTIVE ETF TR BLACKSTONE SENR 78467V608 528 11557 SH SOLE 0 0 11557 STAAR SURGICAL CO COM PAR $0.01 852312305 895 8400 SH SOLE 0 0 8400 STARBUCKS CORP COM 855244109 265 2385 SH SOLE 0 0 2385 STORE CAP CORP COM 862121100 968 28224 SH SOLE 0 0 28224 SURGALIGN HOLDINGS INC COM 86882C105 6631 2973645 SH SOLE 0 0 2973645 TARGET CORP COM 87612E106 1403 6833 SH SOLE 0 0 6833 TESLA INC COM 88160R101 544 787 SH SOLE 0 0 787 THERAPEUTICSMD INC COM 88338N107 14 10000 SH SOLE 0 0 10000 TRANSLATE BIO INC COM 89374L104 458 27215 SH SOLE 0 0 27215 TWO HBRS INVT CORP NOTE 6.250% 1/1 90187BAA9 20 20000 PRN SOLE 0 0 20000 UBER TECHNOLOGIES INC COM 90353T100 1277 22251 SH SOLE 0 0 22251 UNITED AIRLS HLDGS INC COM 910047109 363 6130 SH SOLE 0 0 6130 UNITEDHEALTH GROUP INC COM 91324P102 1653 4465 SH SOLE 0 0 4465 UNIVERSAL HLTH SVCS INC CL B 913903100 1463 10731 SH SOLE 0 0 10731 VANECK VECTORS ETF TR FALLEN ANGEL HG 92189F437 250 7817 SH SOLE 0 0 7817 VANGUARD BD INDEX FDS TOTAL BND MRKT 921937835 1571 18551 SH SOLE 0 0 18551 VANGUARD CHARLOTTE FDS INTL BD IDX ETF 92203J407 709 12425 SH SOLE 0 0 12425 VANGUARD INDEX FDS EXTEND MKT ETF 922908652 1520 8431 SH SOLE 0 0 8431 VANGUARD INDEX FDS GROWTH ETF 922908736 870 3270 SH SOLE 0 0 3270 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 644 2934 SH SOLE 0 0 2934 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 217 2308 SH SOLE 0 0 2308 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 730 1956 SH SOLE 0 0 1956 VANGUARD INDEX FDS SMALL CP ETF 922908751 798 3656 SH SOLE 0 0 3656 VANGUARD INDEX FDS TOTAL STK MKT 922908769 4279 20209 SH SOLE 0 0 20209 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 224 4253 SH SOLE 0 0 4253 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 9283 112738 SH SOLE 0 0 112738 VANGUARD STAR FDS VG TL INTL STK F 921909768 2073 32266 SH SOLE 0 0 32266 VANGUARD WHITEHALL FDS HIGH DIV YLD 921946406 1182 11551 SH SOLE 0 0 11551 VANGUARD WORLD FDS INF TECH ETF 92204A702 307 825 SH SOLE 0 0 825 VIACOMCBS INC CL B 92556H206 1502 35015 SH SOLE 0 0 35015 VISA INC COM CL A 92826C839 347 1585 SH SOLE 0 0 1585 WASTE MGMT INC DEL COM 94106L109 1091 8331 SH SOLE 0 0 8331 ZOETIS INC CL A 98978V103 2737 17278 SH SOLE 0 0 17278