Compliance Analyst

0001085146-22-001505.txt : 20220422 0001085146-22-001505.hdr.sgml : 20220422 20220421195826 ACCESSION NUMBER: 0001085146-22-001505 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20220331 FILED AS OF DATE: 20220422 DATE AS OF CHANGE: 20220421 EFFECTIVENESS DATE: 20220422 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: 22842947 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 03-31-2022 03-31-2022 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 04-21-2022 0 168 256753 false INFORMATION TABLE 2 infotable.xml INFORMATION TABLE ABBOTT LABS COM 002824100 347 2980 SH SOLE 0 0 2980 ABBVIE INC COM 00287Y109 2452 15389 SH SOLE 0 0 15389 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 347 1108 SH SOLE 0 0 1108 ADOBE SYSTEMS INCORPORATED COM 00724F101 491 1155 SH SOLE 0 0 1155 ADVANCED MICRO DEVICES INC COM 007903107 4041 43044 SH SOLE 0 0 43044 AFFIRM HLDGS INC COM CL A 00827B106 299 8500 SH SOLE 0 0 8500 AIRBNB INC COM CL A 009066101 2819 17010 SH SOLE 0 0 17010 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 3844 40590 SH SOLE 0 0 40590 ALICO INC COM 016230104 1555 36433 SH SOLE 0 0 36433 ALPHABET INC CAP STK CL A 02079K305 4520 1770 SH SOLE 0 0 1770 ALPHABET INC CAP STK CL C 02079K107 4440 1735 SH SOLE 0 0 1735 AMAZON COM INC COM 023135106 9182 3005 SH SOLE 0 0 3005 AMERICAN EXPRESS CO COM 025816109 518 2810 SH SOLE 0 0 2810 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 15360 93052 SH SOLE 0 0 93052 ARES CAPITAL CORP COM 04010L103 413 18773 SH SOLE 0 0 18773 ASANA INC CL A 04342Y104 1461 45739 SH SOLE 0 0 45739 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 1101 3176 SH SOLE 0 0 3176 BK OF AMERICA CORP COM 060505104 271 6966 SH SOLE 0 0 6966 BLACKSTONE INC COM 09260D107 1997 17832 SH SOLE 0 0 17832 BLUE OWL CAPITAL INC COM CL A 09581B103 253 18112 SH SOLE 0 0 18112 BOEING CO COM 097023105 449 2499 SH SOLE 0 0 2499 BRIGHTSPIRE CAPITAL INC COM CL A 10949T109 446 49353 SH SOLE 0 0 49353 BROADCOM INC COM 11135F101 2447 4172 SH SOLE 0 0 4172 CATERPILLAR INC COM 149123101 1530 6653 SH SOLE 0 0 6653 CHARLES & COLVARD LTD COM 159765106 17 11611 SH SOLE 0 0 11611 CHEVRON CORP NEW COM 166764100 764 4396 SH SOLE 0 0 4396 CION INVT CORP COM 17259U204 139 11845 SH SOLE 0 0 11845 CISCO SYS INC COM 17275R102 1008 19715 SH SOLE 0 0 19715 CITIGROUP INC COM NEW 172967424 1196 22856 SH SOLE 0 0 22856 COCA COLA CO COM 191216100 250 3886 SH SOLE 0 0 3886 COMPASS DIVERSIFIED SH BEN INT 20451Q104 201 8471 SH SOLE 0 0 8471 COPART INC COM 217204106 265 2277 SH SOLE 0 0 2277 COSTCO WHSL CORP NEW COM 22160K105 3265 5609 SH SOLE 0 0 5609 DANAHER CORPORATION COM 235851102 442 1606 SH SOLE 0 0 1606 DISNEY WALT CO COM 254687106 430 3364 SH SOLE 0 0 3364 EIGER BIOPHARMACEUTICALS INC COM 28249U105 212 32430 SH SOLE 0 0 32430 ENERGY TRANSFER L P COM UT LTD PTN 29273V100 7376 634786 SH SOLE 0 0 634786 ETF SER SOLUTIONS US GLB JETS 26922A842 2975 134563 SH SOLE 0 0 134563 EXTRA SPACE STORAGE INC COM 30225T102 1383 6509 SH SOLE 0 0 6509 EXXON MOBIL CORP COM 30231G102 1097 12388 SH SOLE 0 0 12388 FIDELITY COVINGTON TRUST MSCI CONSM DIS 316092204 266 3378 SH SOLE 0 0 3378 FIDELITY COVINGTON TRUST MSCI INFO TECH I 316092808 367 3161 SH SOLE 0 0 3161 FIRST TR EXCHANGE TRADED FD CLOUD COMPUTING 33734X192 697 8161 SH SOLE 0 0 8161 FIRST TR EXCHANGE TRADED FD NASDQ CLN EDGE 33737A108 236 2643 SH SOLE 0 0 2643 FIRST TR EXCHANGE TRADED FD US EQTY OPPT ETF 336920103 676 6482 SH SOLE 0 0 6482 FIRST TR EXCHANGE-TRADED FD CAP STRENGTH ETF 33733E104 421 5416 SH SOLE 0 0 5416 FIRST TR EXCHANGE-TRADED FD DJ INTERNT IDX 33733E302 212 1183 SH SOLE 0 0 1183 FIRST TR EXCHANGE-TRADED FD FIRST TR ENH NEW 33739Q408 4945 83081 SH SOLE 0 0 83081 FIRST TR EXCHANGE-TRADED FD FIRST TR TA HIYL 33738D408 576 12847 SH SOLE 0 0 12847 FIRST TR EXCHANGE-TRADED FD FST LOW OPPT EFT 33739Q200 1599 32759 SH SOLE 0 0 32759 FIRST TR EXCHANGE-TRADED FD RISNG DIVD ACHIV 33738R506 372 7635 SH SOLE 0 0 7635 FIRST TR EXCHNG TRADED FD VI TCW OPPORTUNIS 33740F805 371 7718 SH SOLE 0 0 7718 FIRST TR NASDAQ 100 TECH IND SHS 337345102 765 5491 SH SOLE 0 0 5491 FIRST TR VALUE LINE DIVID IN SHS 33734H106 1231 28949 SH SOLE 0 0 28949 FS KKR CAP CORP COM 302635206 734 32164 SH SOLE 0 0 32164 GLOBAL NET LEASE INC COM NEW 379378201 240 15882 SH SOLE 0 0 15882 GLOBAL X FDS RUSSELL 2000 37954Y459 1047 45115 SH SOLE 0 0 45115 GOLDMAN SACHS GROUP INC COM 38141G104 1325 4016 SH SOLE 0 0 4016 GRANITESHARES ETF TR XOUT US LRG CP 38747R603 867 22063 SH SOLE 0 0 22063 HEALTHEQUITY INC COM 42226A107 6760 98132 SH SOLE 0 0 98132 HENRY SCHEIN INC COM 806407102 210 2329 SH SOLE 0 0 2329 HOME DEPOT INC COM 437076102 307 1022 SH SOLE 0 0 1022 INDEPENDENCE RLTY TR INC COM 45378A106 1104 41103 SH SOLE 0 0 41103 INNOVATOR ETFS TR US EQTY BUF OCT 45782C771 2495 74781 SH SOLE 0 0 74781 INNOVATOR ETFS TR US EQTY PWR BUF 45782C417 1017 35110 SH SOLE 0 0 35110 INTERNATIONAL BUSINESS MACHS COM 459200101 229 1816 SH SOLE 0 0 1816 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 1851 11716 SH SOLE 0 0 11716 INVESCO QQQ TR UNIT SER 1 46090E103 8293 23951 SH SOLE 0 0 23951 ISHARES GOLD TR ISHARES NEW 464285204 2426 65547 SH SOLE 0 0 65547 ISHARES TR 0-5YR HI YL CP 46434V407 386 8927 SH SOLE 0 0 8927 ISHARES TR 1 3 YR TREAS BD 464287457 277 3330 SH SOLE 0 0 3330 ISHARES TR CORE S&P500 ETF 464287200 943 2144 SH SOLE 0 0 2144 ISHARES TR FLTG RATE NT ETF 46429B655 2598 51403 SH SOLE 0 0 51403 ISHARES TR IBOXX INV CP ETF 464287242 225 1964 SH SOLE 0 0 1964 ISHARES TR TIPS BD ETF 464287176 2215 18284 SH SOLE 0 0 18284 ISHARES TR U.S. FIN SVC ETF 464287770 251 1454 SH SOLE 0 0 1454 J P MORGAN EXCHANGE-TRADED F ULTRA SHRT INC 46641Q837 2580 51372 SH SOLE 0 0 51372 J P MORGAN EXCHANGE-TRADED F ULTRA SHT MUNCPL 46641Q654 535 10597 SH SOLE 0 0 10597 JD.COM INC SPON ADR CL A 47215P106 249 4325 SH SOLE 0 0 4325 JOHNSON & JOHNSON COM 478160104 241 1359 SH SOLE 0 0 1359 JPMORGAN CHASE & CO COM 46625H100 1872 14571 SH SOLE 0 0 14571 L3HARRIS TECHNOLOGIES INC COM 502431109 266 1023 SH SOLE 0 0 1023 LILLY ELI & CO COM 532457108 1003 3356 SH SOLE 0 0 3356 LOCKHEED MARTIN CORP COM 539830109 2235 4781 SH SOLE 0 0 4781 MARSH & MCLENNAN COS INC COM 571748102 373 2190 SH SOLE 0 0 2190 MASTERCARD INCORPORATED CL A 57636Q104 478 1340 SH SOLE 0 0 1340 META PLATFORMS INC CL A 30303M102 6322 29993 SH SOLE 0 0 29993 MICRON TECHNOLOGY INC COM 595112103 5215 73298 SH SOLE 0 0 73298 MICROSOFT CORP COM 594918104 7585 27038 SH SOLE 0 0 27038 NETFLIX INC COM 64110L106 2149 6360 SH SOLE 0 0 6360 NIKE INC CL B 654106103 217 1649 SH SOLE 0 0 1649 NORTHERN LIGHTS FD TR TOEWS AGLTY DNYM 66538J738 230 9699 SH SOLE 0 0 9699 NVIDIA CORPORATION COM 67066G104 14247 65403 SH SOLE 0 0 65403 OATLY GROUP AB SPONSORED ADS 67421J108 126 30686 SH SOLE 0 0 30686 OCCIDENTAL PETE CORP *W EXP 08/03/202 674599162 353 8915 SH SOLE 0 0 8915 OCCIDENTAL PETE CORP COM 674599105 12155 198054 SH SOLE 0 0 198054 OLD DOMINION FREIGHT LINE IN COM 679580100 1088 4099 SH SOLE 0 0 4099 ORACLE CORP COM 68389X105 442 5655 SH SOLE 0 0 5655 OWL ROCK CAPITAL CORPORATION COM 69121K104 7335 482875 SH SOLE 0 0 482875 PAYPAL HLDGS INC COM 70450Y103 215 2137 SH SOLE 0 0 2137 PENNYMAC CORP NOTE 5.500%11/0 70932AAD5 20 20000 PRN SOLE 0 0 20000 PEPSICO INC COM 713448108 772 4528 SH SOLE 0 0 4528 PFIZER INC COM 717081103 317 6119 SH SOLE 0 0 6119 PG&E CORP COM 69331C108 133 10898 SH SOLE 0 0 10898 PGIM ETF TR ACTV HY BD ETF 69344A206 478 12846 SH SOLE 0 0 12846 PHILIP MORRIS INTL INC COM 718172109 376 3725 SH SOLE 0 0 3725 PINTEREST INC CL A 72352L106 877 40170 SH SOLE 0 0 40170 PROSHARES TR S&P 500 DV ARIST 74348A467 1582 16610 SH SOLE 0 0 16610 PROSHARES TR ULTRAPRO QQQ 74347X831 292 6190 SH SOLE 0 0 6190 PUBLIC STORAGE COM 74460D109 288 702 SH SOLE 0 0 702 QUALCOMM INC COM 747525103 2547 18279 SH SOLE 0 0 18279 RAYTHEON TECHNOLOGIES CORP COM 75513E101 369 3541 SH SOLE 0 0 3541 ROSS STORES INC COM 778296103 2861 27378 SH SOLE 0 0 27378 SALESFORCE COM INC COM 79466L302 269 1438 SH SOLE 0 0 1438 SCHWAB STRATEGIC TR US DIVIDEND EQ 808524797 240 3026 SH SOLE 0 0 3026 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 961 18450 SH SOLE 0 0 18450 SCHWAB STRATEGIC TR US TIPS ETF 808524870 248 4203 SH SOLE 0 0 4203 SELECT SECTOR SPDR TR ENERGY 81369Y506 2420 29871 SH SOLE 0 0 29871 SELECT SECTOR SPDR TR FINANCIAL 81369Y605 284 7647 SH SOLE 0 0 7647 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 356 2598 SH SOLE 0 0 2598 SERVICENOW INC COM 81762P102 232 466 SH SOLE 0 0 466 SHERWIN WILLIAMS CO COM 824348106 1682 6832 SH SOLE 0 0 6832 SHOPIFY INC CL A 82509L107 4432 7629 SH SOLE 0 0 7629 SNOWFLAKE INC CL A 833445109 1396 7254 SH SOLE 0 0 7254 SOFI TECHNOLOGIES INC COM 83406F102 1997 280052 SH SOLE 0 0 280052 SPDR INDEX SHS FDS DJ GLB RL ES ETF 78463X749 234 4362 SH SOLE 0 0 4362 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 532 15981 SH SOLE 0 0 15981 SPDR S&P 500 ETF TR TR UNIT 78462F103 2295 5240 SH SOLE 0 0 5240 SPDR SER TR ICE PFD SEC ETF 78464A292 395 10689 SH SOLE 0 0 10689 SPDR SER TR PORTFOLIO INTRMD 78464A375 972 29089 SH SOLE 0 0 29089 SPDR SER TR PORTFOLIO S&P500 78464A854 353 6852 SH SOLE 0 0 6852 SPDR SER TR PRTFLO S&P500 HI 78468R788 429 9626 SH SOLE 0 0 9626 SPDR SER TR PRTFLO S&P500 VL 78464A508 203 4815 SH SOLE 0 0 4815 SPDR SER TR RUSSELL YIELD 78468R770 285 2798 SH SOLE 0 0 2798 SPDR SER TR S&P DIVID ETF 78464A763 445 3447 SH SOLE 0 0 3447 SSGA ACTIVE ETF TR BLACKSTONE SENR 78467V608 404 9012 SH SOLE 0 0 9012 STAAR SURGICAL CO COM PAR $0.01 852312305 435 7029 SH SOLE 0 0 7029 TARGET CORP COM 87612E106 1734 7245 SH SOLE 0 0 7245 TESLA INC COM 88160R101 1310 1304 SH SOLE 0 0 1304 THE NECESSITY RETAIL REIT IN COM CLASS A 02607T109 454 57464 SH SOLE 0 0 57464 THERAPEUTICSMD INC COM 88338N107 3 10000 SH SOLE 0 0 10000 THERMO FISHER SCIENTIFIC INC COM 883556102 201 352 SH SOLE 0 0 352 UNION PAC CORP COM 907818108 288 1188 SH SOLE 0 0 1188 UNITEDHEALTH GROUP INC COM 91324P102 371 694 SH SOLE 0 0 694 VANECK ETF TRUST FALLEN ANGEL HG 92189F437 229 7817 SH SOLE 0 0 7817 VANECK ETF TRUST RARE EARTH/STRTG 92189H805 239 2200 SH SOLE 0 0 2200 VANGUARD BD INDEX FDS TOTAL BND MRKT 921937835 1920 25000 SH SOLE 0 0 25000 VANGUARD CHARLOTTE FDS TOTAL INT BD ETF 92203J407 694 13539 SH SOLE 0 0 13539 VANGUARD INDEX FDS EXTEND MKT ETF 922908652 1105 6972 SH SOLE 0 0 6972 VANGUARD INDEX FDS GROWTH ETF 922908736 846 3136 SH SOLE 0 0 3136 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 629 2973 SH SOLE 0 0 2973 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 259 2390 SH SOLE 0 0 2390 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 1146 2802 SH SOLE 0 0 2802 VANGUARD INDEX FDS SMALL CP ETF 922908751 684 3312 SH SOLE 0 0 3312 VANGUARD INDEX FDS TOTAL STK MKT 922908769 4292 19482 SH SOLE 0 0 19482 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 291 6419 SH SOLE 0 0 6419 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 201 2603 SH SOLE 0 0 2603 VANGUARD SPECIALIZED FUNDS DIV APP ETF 921908844 232 1434 SH SOLE 0 0 1434 VANGUARD STAR FDS VG TL INTL STK F 921909768 2900 49606 SH SOLE 0 0 49606 VANGUARD TAX-MANAGED INTL FD FTSE DEV MKT ETF 921943858 224 4780 SH SOLE 0 0 4780 VANGUARD WHITEHALL FDS HIGH DIV YLD 921946406 1039 9243 SH SOLE 0 0 9243 VANGUARD WORLD FDS INF TECH ETF 92204A702 253 657 SH SOLE 0 0 657 VERIZON COMMUNICATIONS INC COM 92343V104 289 5420 SH SOLE 0 0 5420 VISA INC COM CL A 92826C839 1300 6097 SH SOLE 0 0 6097 WALMART INC COM 931142103 263 1690 SH SOLE 0 0 1690 ZOETIS INC CL A 98978V103 3273 17902 SH SOLE 0 0 17902