Compliance Analyst

0001085146-22-000407.txt : 20220131 0001085146-22-000407.hdr.sgml : 20220131 20220131151559 ACCESSION NUMBER: 0001085146-22-000407 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20211231 FILED AS OF DATE: 20220131 DATE AS OF CHANGE: 20220131 EFFECTIVENESS DATE: 20220131 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: 22573504 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 12-31-2021 12-31-2021 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 Daniel Teague Compliance Analyst 801-838-9999 /s/ Daniel Teague Sandy UT 01-25-2022 0 179 239465 false INFORMATION TABLE 2 infotable.xml INFORMATION TABLE ABBOTT LABS COM 002824100 386 3099 SH SOLE 0 0 3099 ABBVIE INC COM 00287Y109 2085 15671 SH SOLE 0 0 15671 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 396 1155 SH SOLE 0 0 1155 ADOBE SYSTEMS INCORPORATED COM 00724F101 468 917 SH SOLE 0 0 917 ADVANCED MICRO DEVICES INC COM 007903107 3426 28110 SH SOLE 0 0 28110 AIRBNB INC COM CL A 009066101 2433 15401 SH SOLE 0 0 15401 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 3834 29263 SH SOLE 0 0 29263 ALICO INC COM 016230104 1127 30960 SH SOLE 0 0 30960 ALPHABET INC CAP STK CL A 02079K305 4149 1556 SH SOLE 0 0 1556 ALPHABET INC CAP STK CL C 02079K107 1226 459 SH SOLE 0 0 459 AMAZON COM INC COM 023135106 5478 1806 SH SOLE 0 0 1806 AMERICAN AIRLS GROUP INC COM 02376R102 381 22720 SH SOLE 0 0 22720 AMERICAN EXPRESS CO COM 025816109 467 2905 SH SOLE 0 0 2905 AMERICAN FIN TR INC COM CLASS A 02607T109 482 57464 SH SOLE 0 0 57464 APOLLO COML REAL ESTATE FIN 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 10464 63606 SH SOLE 0 0 63606 ARES CAPITAL CORP COM 04010L103 383 17967 SH SOLE 0 0 17967 ARK ETF TR INNOVATION ETF 00214Q104 212 2788 SH SOLE 0 0 2788 ASANA INC CL A 04342Y104 1839 34424 SH SOLE 0 0 34424 AT&T INC COM 00206R102 212 7846 SH SOLE 0 0 7846 AUTODESK INC COM 052769106 221 875 SH SOLE 0 0 875 AVAYA HLDGS CORP COM 05351X101 181 10000 SH SOLE 0 0 10000 BAIDU INC SPON ADR REP A 056752108 308 1899 SH SOLE 0 0 1899 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 971 3121 SH SOLE 0 0 3121 BEST BUY INC COM 086516101 976 10282 SH SOLE 0 0 10282 BK OF AMERICA CORP COM 060505104 355 7752 SH SOLE 0 0 7752 BLACKROCK TAX MUNICPAL BD TR SHS 09248X100 210 8862 SH SOLE 0 0 8862 BLACKSTONE INC COM 09260D107 1830 16405 SH SOLE 0 0 16405 BLUE OWL CAPITAL INC COM CL A 09581B103 187 14716 SH SOLE 0 0 14716 BOEING CO COM 097023105 594 2771 SH SOLE 0 0 2771 BRIGHTSPIRE CAPITAL INC COM CL A 10949T109 469 50553 SH SOLE 0 0 50553 BROADCOM INC COM 11135F101 1480 2703 SH SOLE 0 0 2703 CARNIVAL CORP COMMON STOCK 143658300 1401 67363 SH SOLE 0 0 67363 CATERPILLAR INC COM 149123101 1137 5249 SH SOLE 0 0 5249 CHARLES & COLVARD LTD COM 159765106 28 11611 SH SOLE 0 0 11611 CHEVRON CORP NEW COM 166764100 591 4604 SH SOLE 0 0 4604 CISCO SYS INC COM 17275R102 1158 19934 SH SOLE 0 0 19934 CITIGROUP INC COM NEW 172967424 1186 18399 SH SOLE 0 0 18399 COCA COLA CO COM 191216100 232 3821 SH SOLE 0 0 3821 COMPASS DIVERSIFIED SH BEN INT 20451Q104 221 8471 SH SOLE 0 0 8471 COPART INC COM 217204106 275 2139 SH SOLE 0 0 2139 COSTCO WHSL CORP NEW COM 22160K105 2521 5220 SH SOLE 0 0 5220 DANAHER CORPORATION COM 235851102 459 1622 SH SOLE 0 0 1622 DISNEY WALT CO COM 254687106 408 2762 SH SOLE 0 0 2762 EIGER BIOPHARMACEUTICALS INC COM 28249U105 135 32430 SH SOLE 0 0 32430 ENERGY TRANSFER L P COM UT LTD PTN 29273V100 5941 623433 SH SOLE 0 0 623433 ENTHUSIAST GAMING HLDGS INC COM 29385B109 23 10000 SH SOLE 0 0 10000 ETF SER SOLUTIONS US GLB JETS 26922A842 2999 140294 SH SOLE 0 0 140294 EXTRA SPACE STORAGE INC COM 30225T102 1272 6509 SH SOLE 0 0 6509 EXXON MOBIL CORP COM 30231G102 802 10945 SH SOLE 0 0 10945 FIDELITY COVINGTON TRUST MSCI CONSM DIS 316092204 274 3455 SH SOLE 0 0 3455 FIDELITY COVINGTON TRUST MSCI INFO TECH I 316092808 342 2817 SH SOLE 0 0 2817 FIRST TR EXCHANGE TRADED FD CLOUD COMPUTING 33734X192 786 8513 SH SOLE 0 0 8513 FIRST TR EXCHANGE TRADED FD NASDQ CLN EDGE 33737A108 251 2643 SH SOLE 0 0 2643 FIRST TR EXCHANGE TRADED FD US EQTY OPPT ETF 336920103 620 5812 SH SOLE 0 0 5812 FIRST TR EXCHANGE-TRADED FD CAP STRENGTH ETF 33733E104 258 3271 SH SOLE 0 0 3271 FIRST TR EXCHANGE-TRADED FD DJ INTERNT IDX 33733E302 232 1161 SH SOLE 0 0 1161 FIRST TR EXCHANGE-TRADED FD FIRST TR ENH NEW 33739Q408 5540 92655 SH SOLE 0 0 92655 FIRST TR EXCHANGE-TRADED FD FIRST TR TA HIYL 33738D408 618 13028 SH SOLE 0 0 13028 FIRST TR EXCHANGE-TRADED FD FST LOW OPPT EFT 33739Q200 1636 32834 SH SOLE 0 0 32834 FIRST TR EXCHANGE-TRADED FD RISNG DIVD ACHIV 33738R506 370 7430 SH SOLE 0 0 7430 FIRST TR EXCHNG TRADED FD VI TCW OPPORTUNIS 33740F805 335 6418 SH SOLE 0 0 6418 FIRST TR NASDAQ 100 TECH IND SHS 337345102 785 5079 SH SOLE 0 0 5079 FIRST TR VALUE LINE DIVID IN SHS 33734H106 1245 29750 SH SOLE 0 0 29750 FS KKR CAP CORP COM 302635206 723 32871 SH SOLE 0 0 32871 GLOBAL NET LEASE INC COM NEW 379378201 225 15882 SH SOLE 0 0 15882 GLOBAL X FDS RUSSELL 2000 37954Y459 886 38867 SH SOLE 0 0 38867 GOLDMAN SACHS GROUP INC COM 38141G104 1316 3781 SH SOLE 0 0 3781 GRANITESHARES ETF TR XOUT US LRG CP 38747R603 903 22063 SH SOLE 0 0 22063 HEALTHEQUITY INC COM 42226A107 4808 98097 SH SOLE 0 0 98097 HOME DEPOT INC COM 437076102 371 1061 SH SOLE 0 0 1061 INDEPENDENCE RLTY TR INC COM 45378A106 963 43086 SH SOLE 0 0 43086 INNOVATOR ETFS TR US EQTY BUF OCT 45782C771 2606 77669 SH SOLE 0 0 77669 INNOVATOR ETFS TR US EQTY PWR BUF 45782C417 1028 35110 SH SOLE 0 0 35110 INTERNATIONAL BUSINESS MACHS COM 459200101 232 1776 SH SOLE 0 0 1776 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 1845 11876 SH SOLE 0 0 11876 INVESCO QQQ TR UNIT SER 1 46090E103 7079 19571 SH SOLE 0 0 19571 ISHARES GOLD TR ISHARES NEW 464285204 2313 66164 SH SOLE 0 0 66164 ISHARES TR 0-5YR HI YL CP 46434V407 347 7717 SH SOLE 0 0 7717 ISHARES TR BLACKROCK ULTRA 46434V878 7948 157816 SH SOLE 0 0 157816 ISHARES TR CORE S&P500 ETF 464287200 964 2148 SH SOLE 0 0 2148 ISHARES TR FLTG RATE NT ETF 46429B655 2630 51903 SH SOLE 0 0 51903 ISHARES TR IBOXX INV CP ETF 464287242 282 2202 SH SOLE 0 0 2202 ISHARES TR TIPS BD ETF 464287176 2315 18491 SH SOLE 0 0 18491 ISHARES TR U.S. FIN SVC ETF 464287770 285 1494 SH SOLE 0 0 1494 J P MORGAN EXCHANGE-TRADED F ULTRA SHRT INC 46641Q837 2170 43007 SH SOLE 0 0 43007 J P MORGAN EXCHANGE-TRADED F ULTRA SHT MUNCPL 46641Q654 973 19097 SH SOLE 0 0 19097 JD.COM INC SPON ADR CL A 47215P106 330 4285 SH SOLE 0 0 4285 JOHNSON & JOHNSON COM 478160104 221 1336 SH SOLE 0 0 1336 JPMORGAN CHASE & CO COM 46625H100 1869 12658 SH SOLE 0 0 12658 KOSMOS ENERGY LTD COM 500688106 50 11500 SH SOLE 0 0 11500 L3HARRIS TECHNOLOGIES INC COM 502431109 230 1023 SH SOLE 0 0 1023 LILLY ELI & CO COM 532457108 810 3331 SH SOLE 0 0 3331 LOCKHEED MARTIN CORP COM 539830109 1689 4502 SH SOLE 0 0 4502 MARSH & MCLENNAN COS INC COM 571748102 346 2190 SH SOLE 0 0 2190 MASTERCARD INCORPORATED CL A 57636Q104 479 1315 SH SOLE 0 0 1315 META PLATFORMS INC CL A 30303M102 6763 21365 SH SOLE 0 0 21365 MICROSOFT CORP COM 594918104 6638 22008 SH SOLE 0 0 22008 MODERNA INC COM 60770K107 363 2166 SH SOLE 0 0 2166 NETFLIX INC COM 64110L106 287 564 SH SOLE 0 0 564 NIKE INC CL B 654106103 227 1592 SH SOLE 0 0 1592 NIKOLA CORP COM 654110105 82 10296 SH SOLE 0 0 10296 NORTHERN LIGHTS FD TR TOEWS AGLTY DNYM 66538J738 235 9699 SH SOLE 0 0 9699 NORWEGIAN CRUISE LINE HLDG L SHS G66721104 918 43645 SH SOLE 0 0 43645 NVIDIA CORPORATION COM 67066G104 11831 48989 SH SOLE 0 0 48989 OATLY GROUP AB SPONSORED ADS 67421J108 136 19942 SH SOLE 0 0 19942 OCCIDENTAL PETE CORP COM 674599105 8477 242547 SH SOLE 0 0 242547 OLD DOMINION FREIGHT LINE IN COM 679580100 1142 3720 SH SOLE 0 0 3720 ORACLE CORP COM 68389X105 477 5769 SH SOLE 0 0 5769 OWL ROCK CAPITAL CORPORATION COM 69121K104 6170 426096 SH SOLE 0 0 426096 PALANTIR TECHNOLOGIES INC CL A 69608A108 275 18816 SH SOLE 0 0 18816 PAYPAL HLDGS INC COM 70450Y103 931 5374 SH SOLE 0 0 5374 PENNYMAC CORP NOTE 5.500%11/0 70932AAD5 20 20000 PRN SOLE 0 0 20000 PEPSICO INC COM 713448108 793 4559 SH SOLE 0 0 4559 PFIZER INC COM 717081103 346 6398 SH SOLE 0 0 6398 PGIM ETF TR ACTV HY BD ETF 69344A206 513 12846 SH SOLE 0 0 12846 PHILIP MORRIS INTL INC COM 718172109 357 3504 SH SOLE 0 0 3504 PINTEREST INC CL A 72352L106 1332 41702 SH SOLE 0 0 41702 PROSHARES TR S&P 500 DV ARIST 74348A467 1570 16601 SH SOLE 0 0 16601 PUBLIC STORAGE COM 74460D109 247 702 SH SOLE 0 0 702 QUALCOMM INC COM 747525103 3084 18520 SH SOLE 0 0 18520 RAYTHEON TECHNOLOGIES CORP COM 75513E101 303 3424 SH SOLE 0 0 3424 ROSS STORES INC COM 778296103 2665 27353 SH SOLE 0 0 27353 ROYAL CARIBBEAN GROUP COM V7780T103 1095 13494 SH SOLE 0 0 13494 SALESFORCE COM INC COM 79466L302 406 1820 SH SOLE 0 0 1820 SANDRIDGE ENERGY INC COM NEW 80007P869 1411 141511 SH SOLE 0 0 141511 SCHWAB STRATEGIC TR US DIVIDEND EQ 808524797 239 3035 SH SOLE 0 0 3035 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 1046 9817 SH SOLE 0 0 9817 SCHWAB STRATEGIC TR US TIPS ETF 808524870 234 3838 SH SOLE 0 0 3838 SELECT SECTOR SPDR TR ENERGY 81369Y506 1971 30937 SH SOLE 0 0 30937 SELECT SECTOR SPDR TR FINANCIAL 81369Y605 264 6781 SH SOLE 0 0 6781 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 330 2521 SH SOLE 0 0 2521 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 216 1370 SH SOLE 0 0 1370 SENSEONICS HLDGS INC COM 81727U105 50 18703 SH SOLE 0 0 18703 SERVICENOW INC COM 81762P102 243 471 SH SOLE 0 0 471 SHERWIN WILLIAMS CO COM 824348106 1745 5863 SH SOLE 0 0 5863 SHOPIFY INC CL A 82509L107 2185 2134 SH SOLE 0 0 2134 SNOWFLAKE INC CL A 833445109 1599 5726 SH SOLE 0 0 5726 SOFI TECHNOLOGIES INC COM 83406F102 1806 120391 SH SOLE 0 0 120391 SPDR INDEX SHS FDS DJ GLB RL ES ETF 78463X749 232 4393 SH SOLE 0 0 4393 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 538 15058 SH SOLE 0 0 15058 SPDR S&P 500 ETF TR TR UNIT 78462F103 2287 5118 SH SOLE 0 0 5118 SPDR SER TR ICE PFD SEC ETF 78464A292 449 10689 SH SOLE 0 0 10689 SPDR SER TR PORTFOLIO INTRMD 78464A375 1076 30279 SH SOLE 0 0 30279 SPDR SER TR PORTFOLIO S&P500 78464A854 363 6909 SH SOLE 0 0 6909 SPDR SER TR PRTFLO S&P500 HI 78468R788 412 9686 SH SOLE 0 0 9686 SPDR SER TR RUSSELL YIELD 78468R770 276 2798 SH SOLE 0 0 2798 SPDR SER TR S&P DIVID ETF 78464A763 267 2118 SH SOLE 0 0 2118 SSGA ACTIVE ETF TR BLACKSTONE SENR 78467V608 429 9380 SH SOLE 0 0 9380 STAAR SURGICAL CO COM PAR $0.01 852312305 515 7045 SH SOLE 0 0 7045 SURGALIGN HOLDINGS INC COM 86882C105 47 64000 SH SOLE 0 0 64000 TARGET CORP COM 87612E106 1457 6570 SH SOLE 0 0 6570 TESLA INC COM 88160R101 1203 1208 SH SOLE 0 0 1208 THERAPEUTICSMD INC COM 88338N107 3 10000 SH SOLE 0 0 10000 THERMO FISHER SCIENTIFIC INC COM 883556102 207 352 SH SOLE 0 0 352 UNION PAC CORP COM 907818108 295 1219 SH SOLE 0 0 1219 UNITEDHEALTH GROUP INC COM 91324P102 322 696 SH SOLE 0 0 696 VANECK ETF TRUST FALLEN ANGEL HG 92189F437 250 7817 SH SOLE 0 0 7817 VANECK ETF TRUST RARE EARTH/STRTG 92189H805 242 2200 SH SOLE 0 0 2200 VANGUARD BD INDEX FDS TOTAL BND MRKT 921937835 2077 25000 SH SOLE 0 0 25000 VANGUARD CHARLOTTE FDS TOTAL INT BD ETF 92203J407 740 13539 SH SOLE 0 0 13539 VANGUARD INDEX FDS EXTEND MKT ETF 922908652 705 4312 SH SOLE 0 0 4312 VANGUARD INDEX FDS GROWTH ETF 922908736 926 3221 SH SOLE 0 0 3221 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 647 2934 SH SOLE 0 0 2934 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 247 2338 SH SOLE 0 0 2338 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 1020 2482 SH SOLE 0 0 2482 VANGUARD INDEX FDS SMALL CP ETF 922908751 689 3312 SH SOLE 0 0 3312 VANGUARD INDEX FDS TOTAL STK MKT 922908769 4392 19488 SH SOLE 0 0 19488 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 218 4330 SH SOLE 0 0 4330 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 6751 83926 SH SOLE 0 0 83926 VANGUARD SPECIALIZED FUNDS DIV APP ETF 921908844 218 1351 SH SOLE 0 0 1351 VANGUARD STAR FDS VG TL INTL STK F 921909768 3125 49606 SH SOLE 0 0 49606 VANGUARD WHITEHALL FDS HIGH DIV YLD 921946406 1027 9242 SH SOLE 0 0 9242 VANGUARD WORLD FDS INF TECH ETF 92204A702 262 637 SH SOLE 0 0 637 VERIZON COMMUNICATIONS INC COM 92343V104 253 4747 SH SOLE 0 0 4747 VISA INC COM CL A 92826C839 405 1890 SH SOLE 0 0 1890 WALMART INC COM 931142103 235 1664 SH SOLE 0 0 1664 ZOETIS INC CL A 98978V103 3064 15173 SH SOLE 0 0 15173