Compliance Analyst

0001085146-21-002835.txt : 20211019 0001085146-21-002835.hdr.sgml : 20211019 20211019132640 ACCESSION NUMBER: 0001085146-21-002835 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210930 FILED AS OF DATE: 20211019 DATE AS OF CHANGE: 20211019 EFFECTIVENESS DATE: 20211019 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: 211330300 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 09-30-2021 09-30-2021 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 10-19-2021 0 182 264228 false INFORMATION TABLE 2 infotable.xml INFORMATION TABLE ABBOTT LABS COM 002824100 394 3349 SH SOLE 0 0 3349 ABBVIE INC COM 00287Y109 1826 16769 SH SOLE 0 0 16769 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 362 1069 SH SOLE 0 0 1069 ADOBE SYSTEMS INCORPORATED COM 00724F101 555 913 SH SOLE 0 0 913 ADVANCED MICRO DEVICES INC COM 007903107 3488 31150 SH SOLE 0 0 31150 AIRBNB INC COM CL A 009066101 1342 7871 SH SOLE 0 0 7871 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 3580 21465 SH SOLE 0 0 21465 ALICO INC COM 016230104 1129 32590 SH SOLE 0 0 32590 ALPHABET INC CAP STK CL A 02079K305 4542 1609 SH SOLE 0 0 1609 ALPHABET INC CAP STK CL C 02079K107 1281 453 SH SOLE 0 0 453 ALPHATEC HLDGS INC COM NEW 02081G201 158 13004 SH SOLE 0 0 13004 AMAZON COM INC COM 023135106 6986 2117 SH SOLE 0 0 2117 AMERICAN FIN TR INC COM CLASS A 02607T109 503 59352 SH SOLE 0 0 59352 APOLLO COML REAL EST FIN INC NOTE 4.750% 8/2 03762UAB1 15 15000 PRN SOLE 0 0 15000 APOLLO COML REAL ESTATE FIN NOTE 5.375%10/1 03762UAC9 10 10000 PRN SOLE 0 0 10000 APPLE INC COM 037833100 9297 64669 SH SOLE 0 0 64669 ARES CAPITAL CORP COM 04010L103 491 23422 SH SOLE 0 0 23422 ARK ETF TR INNOVATION ETF 00214Q104 322 2788 SH SOLE 0 0 2788 ASANA INC CL A 04342Y104 3880 33381 SH SOLE 0 0 33381 ASML HOLDING N V N Y REGISTRY SHS N07059210 202 260 SH SOLE 0 0 260 AUTODESK INC COM 052769106 223 770 SH SOLE 0 0 770 AVAYA HLDGS CORP COM 05351X101 227 11350 SH SOLE 0 0 11350 BAIDU INC SPON ADR REP A 056752108 1289 7924 SH SOLE 0 0 7924 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 886 3146 SH SOLE 0 0 3146 BK OF AMERICA CORP COM 060505104 1728 38334 SH SOLE 0 0 38334 BLACKSTONE INC COM 09260D107 2026 16602 SH SOLE 0 0 16602 BOEING CO COM 097023105 552 2539 SH SOLE 0 0 2539 BRIGHTSPIRE CAPITAL INC COM CL A 10949T109 457 46189 SH SOLE 0 0 46189 BROADCOM INC COM 11135F101 1360 2734 SH SOLE 0 0 2734 BUMBLE INC COM CL A 12047B105 1765 33282 SH SOLE 0 0 33282 CARNIVAL CORP UNIT 99/99/9999 143658300 2441 102878 SH SOLE 0 0 102878 CASSAVA SCIENCES INC COM 14817C107 251 4700 SH SOLE 0 0 4700 CHARLES & COLVARD LTD COM 159765106 32 11611 SH SOLE 0 0 11611 CHEVRON CORP NEW COM 166764100 500 4596 SH SOLE 0 0 4596 CHEWY INC CL A 16679L109 1080 17256 SH SOLE 0 0 17256 CISCO SYS INC COM 17275R102 1268 22788 SH SOLE 0 0 22788 CLOUDFLARE INC CL A COM 18915M107 259 1569 SH SOLE 0 0 1569 COPART INC COM 217204106 309 2136 SH SOLE 0 0 2136 COSTCO WHSL CORP NEW COM 22160K105 2952 6550 SH SOLE 0 0 6550 CREDIT SUISSE AG NASSAU BRH X LINK SILVER 22542D449 90 16902 SH SOLE 0 0 16902 CROWDSTRIKE HLDGS INC CL A 22788C105 342 1240 SH SOLE 0 0 1240 DANAHER CORPORATION COM 235851102 487 1622 SH SOLE 0 0 1622 DISNEY WALT CO COM 254687106 526 3017 SH SOLE 0 0 3017 DRAFTKINGS INC COM CL A 26142R104 900 18233 SH SOLE 0 0 18233 EIGER BIOPHARMACEUTICALS INC COM 28249U105 219 32430 SH SOLE 0 0 32430 ENERGY TRANSFER L P COM UT LTD PTN 29273V100 6073 610979 SH SOLE 0 0 610979 ENTHUSIAST GAMING HLDGS INC COM 29385B109 58 16000 SH SOLE 0 0 16000 ETF SER SOLUTIONS US GLB JETS 26922A842 505 21424 SH SOLE 0 0 21424 EXTRA SPACE STORAGE INC COM 30225T102 1148 6251 SH SOLE 0 0 6251 EXXON MOBIL CORP COM 30231G102 984 15874 SH SOLE 0 0 15874 FACEBOOK INC CL A 30303M102 7417 22576 SH SOLE 0 0 22576 FIDELITY COVINGTON TRUST MSCI CONSM DIS 316092204 291 3526 SH SOLE 0 0 3526 FIDELITY COVINGTON TRUST MSCI INFO TECH I 316092808 348 2824 SH SOLE 0 0 2824 FIRST TR EXCHANGE TRADED FD CLOUD COMPUTING 33734X192 1070 9547 SH SOLE 0 0 9547 FIRST TR EXCHANGE TRADED FD NASDQ CLN EDGE 33737A108 256 2643 SH SOLE 0 0 2643 FIRST TR EXCHANGE TRADED FD US EQTY OPPT ETF 336920103 752 5812 SH SOLE 0 0 5812 FIRST TR EXCHANGE-TRADED FD CAP STRENGTH ETF 33733E104 249 3205 SH SOLE 0 0 3205 FIRST TR EXCHANGE-TRADED FD DJ INTERNT IDX 33733E302 268 1100 SH SOLE 0 0 1100 FIRST TR EXCHANGE-TRADED FD FIRST TR ENH NEW 33739Q408 5696 95080 SH SOLE 0 0 95080 FIRST TR EXCHANGE-TRADED FD FIRST TR TA HIYL 33738D408 666 13830 SH SOLE 0 0 13830 FIRST TR EXCHANGE-TRADED FD FST LOW OPPT EFT 33739Q200 1662 32880 SH SOLE 0 0 32880 FIRST TR EXCHANGE-TRADED FD RISNG DIVD ACHIV 33738R506 357 7212 SH SOLE 0 0 7212 FIRST TR EXCHNG TRADED FD VI TCW OPPORTUNIS 33740F805 230 4305 SH SOLE 0 0 4305 FIRST TR NASDAQ 100 TECH IND SHS 337345102 824 5072 SH SOLE 0 0 5072 FIRST TR VALUE LINE DIVID IN SHS 33734H106 1233 30246 SH SOLE 0 0 30246 FS KKR CAP CORP COM 302635206 833 36465 SH SOLE 0 0 36465 GILEAD SCIENCES INC COM 375558103 1118 16408 SH SOLE 0 0 16408 GLOBAL NET LEASE INC COM NEW 379378201 261 15882 SH SOLE 0 0 15882 GLOBAL X FDS NASDAQ 100 COVER 37954Y483 869 38470 SH SOLE 0 0 38470 GOLDMAN SACHS GROUP INC COM 38141G104 1488 3804 SH SOLE 0 0 3804 GRANITESHARES ETF TR XOUT US LRG CP 38747R603 928 22063 SH SOLE 0 0 22063 HEALTHEQUITY INC COM 42226A107 6242 98107 SH SOLE 0 0 98107 HOME DEPOT INC COM 437076102 340 989 SH SOLE 0 0 989 HONEYWELL INTL INC COM 438516106 201 919 SH SOLE 0 0 919 ILLUMINA INC COM 452327109 228 559 SH SOLE 0 0 559 INNOVATOR ETFS TR US EQTY BUF OCT 45782C771 2585 77669 SH SOLE 0 0 77669 INNOVATOR ETFS TR US EQTY PWR BUF 45782C417 1013 35110 SH SOLE 0 0 35110 INTERNATIONAL BUSINESS MACHS COM 459200101 241 1680 SH SOLE 0 0 1680 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 1868 12036 SH SOLE 0 0 12036 INVESCO QQQ TR UNIT SER 1 46090E103 7613 20765 SH SOLE 0 0 20765 ISHARES GOLD TR ISHARES NEW 464285204 2261 66124 SH SOLE 0 0 66124 ISHARES TR 0-5YR HI YL CP 46434V407 260 5696 SH SOLE 0 0 5696 ISHARES TR BLACKROCK ULTRA 46434V878 7822 154990 SH SOLE 0 0 154990 ISHARES TR CORE S&P500 ETF 464287200 902 2030 SH SOLE 0 0 2030 ISHARES TR FLTG RATE NT ETF 46429B655 2636 51903 SH SOLE 0 0 51903 ISHARES TR IBOXX INV CP ETF 464287242 280 2094 SH SOLE 0 0 2094 ISHARES TR TIPS BD ETF 464287176 2387 18536 SH SOLE 0 0 18536 ISHARES TR U.S. FIN SVC ETF 464287770 292 1502 SH SOLE 0 0 1502 J P MORGAN EXCHANGE-TRADED F ULTRA SHRT INC 46641Q837 1909 37682 SH SOLE 0 0 37682 J P MORGAN EXCHANGE-TRADED F ULTRA SHT MUNCPL 46641Q654 1775 34757 SH SOLE 0 0 34757 JD.COM INC SPON ADR CL A 47215P106 301 3711 SH SOLE 0 0 3711 JOHNSON & JOHNSON COM 478160104 217 1356 SH SOLE 0 0 1356 JPMORGAN CHASE & CO COM 46625H100 2370 14499 SH SOLE 0 0 14499 L3HARRIS TECHNOLOGIES INC COM 502431109 242 1023 SH SOLE 0 0 1023 LILLY ELI & CO COM 532457108 788 3331 SH SOLE 0 0 3331 LOCKHEED MARTIN CORP COM 539830109 1697 4687 SH SOLE 0 0 4687 LOWES COS INC COM 548661107 205 945 SH SOLE 0 0 945 MASTERCARD INCORPORATED CL A 57636Q104 459 1333 SH SOLE 0 0 1333 MICROSOFT CORP COM 594918104 7290 24079 SH SOLE 0 0 24079 MODERNA INC COM 60770K107 5409 16297 SH SOLE 0 0 16297 NETFLIX INC COM 64110L106 352 555 SH SOLE 0 0 555 NIKE INC CL B 654106103 249 1583 SH SOLE 0 0 1583 NIKOLA CORP COM 654110105 284 25376 SH SOLE 0 0 25376 NORTHERN LIGHTS FD TR TOEWS AGLTY DNYM 66538J738 238 9572 SH SOLE 0 0 9572 NORWEGIAN CRUISE LINE HLDG L SHS G66721104 1938 72840 SH SOLE 0 0 72840 NVIDIA CORPORATION COM 67066G104 9478 43584 SH SOLE 0 0 43584 OATLY GROUP AB SPONSORED ADS 67421J108 2590 174143 SH SOLE 0 0 174143 OCCIDENTAL PETE CORP COM 674599105 4345 135826 SH SOLE 0 0 135826 OLD DOMINION FREIGHT LINE IN COM 679580100 1098 3715 SH SOLE 0 0 3715 ORACLE CORP COM 68389X105 709 7439 SH SOLE 0 0 7439 OWL ROCK CAPITAL CORPORATION COM 69121K104 5945 412254 SH SOLE 0 0 412254 PALANTIR TECHNOLOGIES INC CL A 69608A108 1931 79317 SH SOLE 0 0 79317 PAYPAL HLDGS INC COM 70450Y103 1760 6604 SH SOLE 0 0 6604 PENNYMAC CORP NOTE 5.500%11/0 70932AAD5 20 20000 PRN SOLE 0 0 20000 PEPSICO INC COM 713448108 728 4573 SH SOLE 0 0 4573 PFIZER INC COM 717081103 229 5486 SH SOLE 0 0 5486 PGIM ETF TR ACTV HY BD ETF 69344A206 469 11408 SH SOLE 0 0 11408 PHILIP MORRIS INTL INC COM 718172109 301 3050 SH SOLE 0 0 3050 PINTEREST INC CL A 72352L106 4029 76721 SH SOLE 0 0 76721 PROSHARES TR S&P 500 DV ARIST 74348A467 1523 16586 SH SOLE 0 0 16586 QUALCOMM INC COM 747525103 2260 17567 SH SOLE 0 0 17567 RAYTHEON TECHNOLOGIES CORP COM 75513E101 282 3164 SH SOLE 0 0 3164 ROSS STORES INC COM 778296103 2958 27353 SH SOLE 0 0 27353 ROYAL CARIBBEAN GROUP COM V7780T103 1723 19831 SH SOLE 0 0 19831 SALESFORCE COM INC COM 79466L302 516 1780 SH SOLE 0 0 1780 SANDRIDGE ENERGY INC COM NEW 80007P869 1609 130516 SH SOLE 0 0 130516 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 1025 9535 SH SOLE 0 0 9535 SCHWAB STRATEGIC TR US TIPS ETF 808524870 220 3494 SH SOLE 0 0 3494 SELECT SECTOR SPDR TR ENERGY 81369Y506 2106 36921 SH SOLE 0 0 36921 SELECT SECTOR SPDR TR FINANCIAL 81369Y605 264 6781 SH SOLE 0 0 6781 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 327 2565 SH SOLE 0 0 2565 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 215 1390 SH SOLE 0 0 1390 SENSEONICS HLDGS INC COM 81727U105 64 18703 SH SOLE 0 0 18703 SERVICENOW INC COM 81762P102 300 460 SH SOLE 0 0 460 SHERWIN WILLIAMS CO COM 824348106 1702 5824 SH SOLE 0 0 5824 SHOPIFY INC CL A 82509L107 2926 2080 SH SOLE 0 0 2080 SILVERGATE CAP CORP CL A 82837P408 325 2031 SH SOLE 0 0 2031 SNOWFLAKE INC CL A 833445109 2609 7856 SH SOLE 0 0 7856 SOFI TECHNOLOGIES INC COM 83406F102 3864 196935 SH SOLE 0 0 196935 SPDR INDEX SHS FDS DJ GLB RL ES ETF 78463X749 257 4813 SH SOLE 0 0 4813 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 498 13504 SH SOLE 0 0 13504 SPDR S&P 500 ETF TR TR UNIT 78462F103 2066 4668 SH SOLE 0 0 4668 SPDR SER TR ICE PFD SEC ETF 78464A292 501 11528 SH SOLE 0 0 11528 SPDR SER TR PORTFOLIO INTRMD 78464A375 1011 27694 SH SOLE 0 0 27694 SPDR SER TR PORTFOLIO S&P500 78464A854 359 6909 SH SOLE 0 0 6909 SPDR SER TR PRTFLO S&P500 HI 78468R788 393 9686 SH SOLE 0 0 9686 SPDR SER TR RUSSELL YIELD 78468R770 270 2798 SH SOLE 0 0 2798 SPDR SER TR S&P DIVID ETF 78464A763 208 1707 SH SOLE 0 0 1707 SSGA ACTIVE ETF TR BLACKSTONE SENR 78467V608 450 9821 SH SOLE 0 0 9821 STAAR SURGICAL CO COM PAR $0.01 852312305 746 6525 SH SOLE 0 0 6525 STARBUCKS CORP COM 855244109 284 2538 SH SOLE 0 0 2538 STORE CAP CORP COM 862121100 1057 31305 SH SOLE 0 0 31305 SURGALIGN HOLDINGS INC COM 86882C105 438 429000 SH SOLE 0 0 429000 TARGET CORP COM 87612E106 1582 6536 SH SOLE 0 0 6536 TESLA INC COM 88160R101 912 1115 SH SOLE 0 0 1115 THE TRADE DESK INC COM CL A 88339J105 217 2810 SH SOLE 0 0 2810 THERAPEUTICSMD INC COM 88338N107 7 10000 SH SOLE 0 0 10000 THERMO FISHER SCIENTIFIC INC COM 883556102 203 352 SH SOLE 0 0 352 TWO HBRS INVT CORP NOTE 6.250% 1/1 90187BAA9 20 20000 PRN SOLE 0 0 20000 UNION PAC CORP COM 907818108 267 1207 SH SOLE 0 0 1207 UNITEDHEALTH GROUP INC COM 91324P102 289 687 SH SOLE 0 0 687 VALARIS LIMITED CL A G9460G101 1654 47304 SH SOLE 0 0 47304 VANECK ETF TRUST FALLEN ANGEL HG 92189F437 258 7817 SH SOLE 0 0 7817 VANECK ETF TRUST RARE EARTH/STRTG 92189H805 245 2200 SH SOLE 0 0 2200 VANGUARD BD INDEX FDS TOTAL BND MRKT 921937835 2071 24226 SH SOLE 0 0 24226 VANGUARD CHARLOTTE FDS TOTAL INT BD ETF 92203J407 756 13265 SH SOLE 0 0 13265 VANGUARD INDEX FDS EXTEND MKT ETF 922908652 1327 6992 SH SOLE 0 0 6992 VANGUARD INDEX FDS GROWTH ETF 922908736 968 3234 SH SOLE 0 0 3234 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 725 2934 SH SOLE 0 0 2934 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 249 2338 SH SOLE 0 0 2338 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 951 2337 SH SOLE 0 0 2337 VANGUARD INDEX FDS SMALL CP ETF 922908751 752 3312 SH SOLE 0 0 3312 VANGUARD INDEX FDS TOTAL STK MKT 922908769 4383 19109 SH SOLE 0 0 19109 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 222 4330 SH SOLE 0 0 4330 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 7880 95867 SH SOLE 0 0 95867 VANGUARD STAR FDS VG TL INTL STK F 921909768 2164 33486 SH SOLE 0 0 33486 VANGUARD WHITEHALL FDS HIGH DIV YLD 921946406 1026 9629 SH SOLE 0 0 9629 VANGUARD WORLD FDS INF TECH ETF 92204A702 270 648 SH SOLE 0 0 648 VERIZON COMMUNICATIONS INC COM 92343V104 214 4113 SH SOLE 0 0 4113 VIACOMCBS INC CL B 92556H206 492 12471 SH SOLE 0 0 12471 VISA INC COM CL A 92826C839 492 2184 SH SOLE 0 0 2184 ZOETIS INC CL A 98978V103 3634 18135 SH SOLE 0 0 18135