Compliance Analyst

0001085146-21-002039.txt : 20210721 0001085146-21-002039.hdr.sgml : 20210721 20210720215534 ACCESSION NUMBER: 0001085146-21-002039 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210630 FILED AS OF DATE: 20210721 DATE AS OF CHANGE: 20210720 EFFECTIVENESS DATE: 20210721 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: 211102630 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 06-30-2021 06-30-2021 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 Daniel Teague Compliance Analyst 801-838-9999 /s/ Daniel Teague Sandy UT 07-19-2021 0 173 264328 false INFORMATION TABLE 2 infotable.xml INFORMATION TABLE ABBOTT LABS COM 002824100 326 2750 SH SOLE 0 0 2750 ABBVIE INC COM 00287Y109 1926 16331 SH SOLE 0 0 16331 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 319 1020 SH SOLE 0 0 1020 ADOBE SYSTEMS INCORPORATED COM 00724F101 485 802 SH SOLE 0 0 802 ADVANCED MICRO DEVICES INC COM 007903107 2762 30605 SH SOLE 0 0 30605 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 4032 19246 SH SOLE 0 0 19246 ALICO INC COM 016230104 1128 32521 SH SOLE 0 0 32521 ALPHABET INC CAP STK CL A 02079K305 4312 1693 SH SOLE 0 0 1693 ALPHABET INC CAP STK CL C 02079K107 1179 450 SH SOLE 0 0 450 ALPHATEC HLDGS INC COM NEW 02081G201 191 12657 SH SOLE 0 0 12657 AMAZON COM INC COM 023135106 6608 1797 SH SOLE 0 0 1797 AMERICAN AIRLS GROUP INC COM 02376R102 341 17045 SH SOLE 0 0 17045 AMERICAN FIN TR INC COM CLASS A 02607T109 506 60512 SH SOLE 0 0 60512 APOLLO COML REAL EST FIN INC NOTE 4.750% 8/2 03762UAB1 15 15000 PRN SOLE 0 0 15000 APOLLO COML REAL EST FIN INC NOTE 5.375%10/1 03762UAC9 10 10000 PRN SOLE 0 0 10000 APPLE INC COM 037833100 8195 56272 SH SOLE 0 0 56272 ARES CAPITAL CORP COM 04010L103 488 24436 SH SOLE 0 0 24436 ARK ETF TR INNOVATION ETF 00214Q104 309 2525 SH SOLE 0 0 2525 ASANA INC CL A 04342Y104 2674 38878 SH SOLE 0 0 38878 AT&T INC COM 00206R102 225 7943 SH SOLE 0 0 7943 AVAYA HLDGS CORP COM 05351X101 294 11350 SH SOLE 0 0 11350 BAIDU INC SPON ADR REP A 056752108 1332 7217 SH SOLE 0 0 7217 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 877 3140 SH SOLE 0 0 3140 BK OF AMERICA CORP COM 060505104 1507 37798 SH SOLE 0 0 37798 BLACKSTONE GROUP INC COM 09260D107 1813 18158 SH SOLE 0 0 18158 BOEING CO COM 097023105 2599 11387 SH SOLE 0 0 11387 BRIGHTSPIRE CAPITAL INC COM CL A 10949T109 471 48643 SH SOLE 0 0 48643 BROADCOM INC COM 11135F101 1364 2819 SH SOLE 0 0 2819 BUMBLE INC COM CL A 12047B105 2162 41512 SH SOLE 0 0 41512 CARNIVAL CORP UNIT 99/99/9999 143658300 2241 98091 SH SOLE 0 0 98091 CHARLES & COLVARD LTD COM 159765106 35 13000 SH SOLE 0 0 13000 CHEVRON CORP NEW COM 166764100 472 4543 SH SOLE 0 0 4543 CHEWY INC CL A 16679L109 1442 17118 SH SOLE 0 0 17118 CISCO SYS INC COM 17275R102 1327 24886 SH SOLE 0 0 24886 COPART INC COM 217204106 274 1978 SH SOLE 0 0 1978 COSTCO WHSL CORP NEW COM 22160K105 2655 6521 SH SOLE 0 0 6521 CREDIT SUISSE AG NASSAU BRH X LINK SILVER 22542D449 89 14695 SH SOLE 0 0 14695 CROWDSTRIKE HLDGS INC CL A 22788C105 330 1265 SH SOLE 0 0 1265 DANAHER CORPORATION COM 235851102 452 1635 SH SOLE 0 0 1635 DISNEY WALT CO COM 254687106 2414 13145 SH SOLE 0 0 13145 DRAFTKINGS INC COM CL A 26142R104 864 18105 SH SOLE 0 0 18105 EIGER BIOPHARMACEUTICALS INC COM 28249U105 269 32430 SH SOLE 0 0 32430 ENERGY TRANSFER L P COM UT LTD PTN 29273V100 5558 540659 SH SOLE 0 0 540659 ENTHUSIAST GAMING HLDGS INC COM 29385B109 77 16000 SH SOLE 0 0 16000 ESSENTIAL UTILS INC COM 29670G102 1483 31488 SH SOLE 0 0 31488 ETF SER SOLUTIONS US GLB JETS 26922A842 2527 108633 SH SOLE 0 0 108633 EXTRA SPACE STORAGE INC COM 30225T102 1064 6202 SH SOLE 0 0 6202 EXXON MOBIL CORP COM 30231G102 1024 16812 SH SOLE 0 0 16812 FACEBOOK INC CL A 30303M102 7654 21738 SH SOLE 0 0 21738 FIDELITY COVINGTON TRUST MSCI CONSM DIS 316092204 342 4160 SH SOLE 0 0 4160 FIDELITY COVINGTON TRUST MSCI INFO TECH I 316092808 340 2822 SH SOLE 0 0 2822 FIRST TR EXCHANGE TRADED FD CLOUD COMPUTING 33734X192 1018 9663 SH SOLE 0 0 9663 FIRST TR EXCHANGE TRADED FD NASDQ CLN EDGE 33737A108 248 2643 SH SOLE 0 0 2643 FIRST TR EXCHANGE TRADED FD US EQTY OPPT ETF 336920103 726 5812 SH SOLE 0 0 5812 FIRST TR EXCHANGE-TRADED FD CAP STRENGTH ETF 33733E104 233 3045 SH SOLE 0 0 3045 FIRST TR EXCHANGE-TRADED FD DJ INTERNT IDX 33733E302 277 1127 SH SOLE 0 0 1127 FIRST TR EXCHANGE-TRADED FD FIRST TR ENH NEW 33739Q408 10437 174119 SH SOLE 0 0 174119 FIRST TR EXCHANGE-TRADED FD FIRST TR TA HIYL 33738D408 687 14155 SH SOLE 0 0 14155 FIRST TR EXCHANGE-TRADED FD FST LOW OPPT EFT 33739Q200 950 18681 SH SOLE 0 0 18681 FIRST TR EXCHANGE-TRADED FD RISNG DIVD ACHIV 33738R506 347 7223 SH SOLE 0 0 7223 FIRST TR NASDAQ 100 TECH IND SHS 337345102 916 5798 SH SOLE 0 0 5798 FIRST TR VALUE LINE DIVID IN SHS 33734H106 1209 30166 SH SOLE 0 0 30166 FS KKR CAP CORP COM 302635206 879 41503 SH SOLE 0 0 41503 GILEAD SCIENCES INC COM 375558103 1118 16438 SH SOLE 0 0 16438 GLOBAL NET LEASE INC COM NEW 379378201 295 15882 SH SOLE 0 0 15882 GLOBAL X FDS NASDAQ 100 COVER 37954Y483 862 38232 SH SOLE 0 0 38232 GOLDMAN SACHS GROUP INC COM 38141G104 1499 3988 SH SOLE 0 0 3988 GRANITESHARES ETF TR XOUT US LRG CP 38747R603 920 22063 SH SOLE 0 0 22063 HEALTHEQUITY INC COM 42226A107 7676 98062 SH SOLE 0 0 98062 HOME DEPOT INC COM 437076102 309 976 SH SOLE 0 0 976 HONEYWELL INTL INC COM 438516106 231 1032 SH SOLE 0 0 1032 ILLUMINA INC COM 452327109 235 486 SH SOLE 0 0 486 INNOVATOR ETFS TR S&P 500 BUFETF 45782C771 2511 77669 SH SOLE 0 0 77669 INNOVATOR ETFS TR S&P 500 POWER 45782C417 1582 55525 SH SOLE 0 0 55525 INVESCO EXCH TRADED FD TR II S&P 500 HB ETF 46138E370 211 2861 SH SOLE 0 0 2861 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 2012 13318 SH SOLE 0 0 13318 INVESCO QQQ TR UNIT SER 1 46090E103 7906 21815 SH SOLE 0 0 21815 ISHARES GOLD TR ISHARES NEW 464285204 2288 66429 SH SOLE 0 0 66429 ISHARES TR BLACKROCK ULTRA 46434V878 8067 159749 SH SOLE 0 0 159749 ISHARES TR CORE S&P500 ETF 464287200 461 1054 SH SOLE 0 0 1054 ISHARES TR FLTG RATE NT ETF 46429B655 2468 48573 SH SOLE 0 0 48573 ISHARES TR IBOXX INV CP ETF 464287242 282 2097 SH SOLE 0 0 2097 ISHARES TR TIPS BD ETF 464287176 2359 18391 SH SOLE 0 0 18391 ISHARES TR U.S. FIN SVC ETF 464287770 366 1967 SH SOLE 0 0 1967 J P MORGAN EXCHANGE-TRADED F ULTRA SHRT INC 46641Q837 1779 35075 SH SOLE 0 0 35075 J P MORGAN EXCHANGE-TRADED F ULTRA SHT MUNCPL 46641Q654 2047 40087 SH SOLE 0 0 40087 JD.COM INC SPON ADR CL A 47215P106 224 2926 SH SOLE 0 0 2926 JOHNSON & JOHNSON COM 478160104 242 1429 SH SOLE 0 0 1429 JPMORGAN CHASE & CO COM 46625H100 2281 14657 SH SOLE 0 0 14657 L3HARRIS TECHNOLOGIES INC COM 502431109 230 1023 SH SOLE 0 0 1023 LILLY ELI & CO COM 532457108 789 3352 SH SOLE 0 0 3352 LOCKHEED MARTIN CORP COM 539830109 1048 2774 SH SOLE 0 0 2774 MASTERCARD INCORPORATED CL A 57636Q104 360 939 SH SOLE 0 0 939 MICROSOFT CORP COM 594918104 5967 21237 SH SOLE 0 0 21237 MODERNA INC COM 60770K107 3747 15935 SH SOLE 0 0 15935 NETFLIX INC COM 64110L106 250 462 SH SOLE 0 0 462 NIKE INC CL B 654106103 226 1396 SH SOLE 0 0 1396 NORTHERN LIGHTS FD TR TOEWS AGLTY DNYM 66538J738 218 8608 SH SOLE 0 0 8608 NORWEGIAN CRUISE LINE HLDG L SHS G66721104 1890 72453 SH SOLE 0 0 72453 NVIDIA CORPORATION COM 67066G104 6716 8291 SH SOLE 0 0 8291 OCCIDENTAL PETE CORP COM 674599105 3928 130587 SH SOLE 0 0 130587 ORACLE CORP COM 68389X105 651 7475 SH SOLE 0 0 7475 OWL ROCK CAPITAL CORPORATION COM 69121K104 6040 415960 SH SOLE 0 0 415960 PALANTIR TECHNOLOGIES INC CL A 69608A108 1665 74171 SH SOLE 0 0 74171 PAYPAL HLDGS INC COM 70450Y103 1699 5642 SH SOLE 0 0 5642 PENNYMAC CORP NOTE 5.500%11/0 70932AAD5 20 20000 PRN SOLE 0 0 20000 PEPSICO INC COM 713448108 689 4505 SH SOLE 0 0 4505 PGIM ETF TR ACTV HY BD ETF 69344A206 316 7629 SH SOLE 0 0 7629 PHILIP MORRIS INTL INC COM 718172109 286 2930 SH SOLE 0 0 2930 PINTEREST INC CL A 72352L106 4481 62136 SH SOLE 0 0 62136 PROSHARES TR S&P 500 DV ARIST 74348A467 1513 16575 SH SOLE 0 0 16575 QUALCOMM INC COM 747525103 2406 17042 SH SOLE 0 0 17042 RAYTHEON TECHNOLOGIES CORP COM 75513E101 237 2773 SH SOLE 0 0 2773 RINGCENTRAL INC CL A 76680R206 212 750 SH SOLE 0 0 750 ROSS STORES INC COM 778296103 3356 27356 SH SOLE 0 0 27356 ROYAL CARIBBEAN GROUP COM V7780T103 1596 20324 SH SOLE 0 0 20324 SALESFORCE COM INC COM 79466L302 791 3242 SH SOLE 0 0 3242 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 571 5410 SH SOLE 0 0 5410 SELECT SECTOR SPDR TR ENERGY 81369Y506 1841 35160 SH SOLE 0 0 35160 SELECT SECTOR SPDR TR FINANCIAL 81369Y605 249 6781 SH SOLE 0 0 6781 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 384 2981 SH SOLE 0 0 2981 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 215 1413 SH SOLE 0 0 1413 SENSEONICS HLDGS INC COM 81727U105 56 18703 SH SOLE 0 0 18703 SERVICENOW INC COM 81762P102 221 396 SH SOLE 0 0 396 SHAKE SHACK INC CL A 819047101 208 2035 SH SOLE 0 0 2035 SHERWIN WILLIAMS CO COM 824348106 1064 3825 SH SOLE 0 0 3825 SHOPIFY INC CL A 82509L107 3135 2067 SH SOLE 0 0 2067 SNOWFLAKE INC CL A 833445109 2087 7885 SH SOLE 0 0 7885 SPDR GOLD TR GOLD SHS 78463V107 6273 37068 SH SOLE 0 0 37068 SPDR INDEX SHS FDS DJ GLB RL ES ETF 78463X749 263 4971 SH SOLE 0 0 4971 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 351 9504 SH SOLE 0 0 9504 SPDR S&P 500 ETF TR TR UNIT 78462F103 2165 4969 SH SOLE 0 0 4969 SPDR SER TR ICE PFD SEC ETF 78464A292 524 11928 SH SOLE 0 0 11928 SPDR SER TR PORTFOLIO INTRMD 78464A375 700 19082 SH SOLE 0 0 19082 SPDR SER TR PORTFOLIO S&P500 78464A854 460 8988 SH SOLE 0 0 8988 SPDR SER TR PRTFLO S&P500 HI 78468R788 385 9671 SH SOLE 0 0 9671 SPDR SER TR RUSSELL YIELD 78468R770 306 3233 SH SOLE 0 0 3233 SSGA ACTIVE ETF TR BLACKSTONE SENR 78467V608 451 9797 SH SOLE 0 0 9797 STAAR SURGICAL CO COM PAR $0.01 852312305 595 4406 SH SOLE 0 0 4406 STARBUCKS CORP COM 855244109 282 2359 SH SOLE 0 0 2359 STORE CAP CORP COM 862121100 1094 30618 SH SOLE 0 0 30618 SURGALIGN HOLDINGS INC COM 86882C105 58 49685 SH SOLE 0 0 49685 TARGET CORP COM 87612E106 1701 6755 SH SOLE 0 0 6755 TESLA INC COM 88160R101 703 1052 SH SOLE 0 0 1052 THE TRADE DESK INC COM CL A 88339J105 205 2677 SH SOLE 0 0 2677 THERAPEUTICSMD INC COM 88338N107 11 10000 SH SOLE 0 0 10000 TRANSLATE BIO INC COM 89374L104 728 24700 SH SOLE 0 0 24700 TWO HBRS INVT CORP NOTE 6.250% 1/1 90187BAA9 20 20000 PRN SOLE 0 0 20000 UBER TECHNOLOGIES INC COM 90353T100 1105 22974 SH SOLE 0 0 22974 UNITED AIRLS HLDGS INC COM 910047109 249 5130 SH SOLE 0 0 5130 UNITEDHEALTH GROUP INC COM 91324P102 240 574 SH SOLE 0 0 574 UNIVERSAL HLTH SVCS INC CL B 913903100 1737 11367 SH SOLE 0 0 11367 VALARIS LIMITED CL A G9460G101 1142 39449 SH SOLE 0 0 39449 VANECK VECTORS ETF TR FALLEN ANGEL HG 92189F437 281 8494 SH SOLE 0 0 8494 VANECK VECTORS ETF TR RARE EARTH STRAT 92189H805 214 2200 SH SOLE 0 0 2200 VANGUARD BD INDEX FDS TOTAL BND MRKT 921937835 1935 22526 SH SOLE 0 0 22526 VANGUARD CHARLOTTE FDS INTL BD IDX ETF 92203J407 698 12165 SH SOLE 0 0 12165 VANGUARD INDEX FDS EXTEND MKT ETF 922908652 1560 8431 SH SOLE 0 0 8431 VANGUARD INDEX FDS GROWTH ETF 922908736 960 3274 SH SOLE 0 0 3274 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 693 2934 SH SOLE 0 0 2934 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 249 2384 SH SOLE 0 0 2384 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 900 2247 SH SOLE 0 0 2247 VANGUARD INDEX FDS SMALL CP ETF 922908751 733 3312 SH SOLE 0 0 3312 VANGUARD INDEX FDS TOTAL STK MKT 922908769 4376 19429 SH SOLE 0 0 19429 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 226 4253 SH SOLE 0 0 4253 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 8148 98640 SH SOLE 0 0 98640 VANGUARD STAR FDS VG TL INTL STK F 921909768 2030 30966 SH SOLE 0 0 30966 VANGUARD WHITEHALL FDS HIGH DIV YLD 921946406 1151 10976 SH SOLE 0 0 10976 VANGUARD WORLD FDS INF TECH ETF 92204A702 335 820 SH SOLE 0 0 820 VIACOMCBS INC CL B 92556H206 2972 69800 SH SOLE 0 0 69800 VISA INC COM CL A 92826C839 423 1744 SH SOLE 0 0 1744 WYNN RESORTS LTD COM 983134107 226 2027 SH SOLE 0 0 2027 ZOETIS INC CL A 98978V103 3571 17919 SH SOLE 0 0 17919