Compliance Analyst

0001085146-22-003571.txt : 20221024 0001085146-22-003571.hdr.sgml : 20221024 20221024154645 ACCESSION NUMBER: 0001085146-22-003571 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20220930 FILED AS OF DATE: 20221024 DATE AS OF CHANGE: 20221024 EFFECTIVENESS DATE: 20221024 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: 221326033 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 09-30-2022 09-30-2022 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 10-24-2022 0 175 235167 false INFORMATION TABLE 2 infotable.xml INFORMATION TABLE ABBOTT LABS COM 002824100 230 2420 SH SOLE 0 0 2420 ABBVIE INC COM 00287Y109 2419 16448 SH SOLE 0 0 16448 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 310 1149 SH SOLE 0 0 1149 ADOBE SYSTEMS INCORPORATED COM 00724F101 362 1183 SH SOLE 0 0 1183 ADVANCED MICRO DEVICES INC COM 007903107 4158 70696 SH SOLE 0 0 70696 AIRBNB INC COM CL A 009066101 2456 20475 SH SOLE 0 0 20475 ALEXANDRIA REAL ESTATE EQ IN COM 015271109 215 1627 SH SOLE 0 0 1627 ALICO INC COM 016230104 1050 37309 SH SOLE 0 0 37309 ALPHABET INC CAP STK CL A 02079K305 3907 38632 SH SOLE 0 0 38632 ALPHABET INC CAP STK CL C 02079K107 3854 37975 SH SOLE 0 0 37975 AMAZON COM INC COM 023135106 8055 67509 SH SOLE 0 0 67509 AMERICAN EXPRESS CO COM 025816109 323 2310 SH SOLE 0 0 2310 AMGEN INC COM 031162100 543 2157 SH SOLE 0 0 2157 APPLE INC COM 037833100 16703 113416 SH SOLE 0 0 113416 ARES CAPITAL CORP COM 04010L103 349 19603 SH SOLE 0 0 19603 ASANA INC CL A 04342Y104 2905 149766 SH SOLE 0 0 149766 AT&T INC COM 00206R102 230 13435 SH SOLE 0 0 13435 AUTODESK INC COM 052769106 217 1079 SH SOLE 0 0 1079 AVAYA HLDGS CORP COM 05351X101 59 50000 SH SOLE 0 0 50000 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 918 3251 SH SOLE 0 0 3251 BLACKSTONE INC COM 09260D107 3241 37940 SH SOLE 0 0 37940 BLUE OWL CAPITAL INC COM CL A 09581B103 204 22862 SH SOLE 0 0 22862 BOEING CO COM 097023105 470 3327 SH SOLE 0 0 3327 BRIGHTSPIRE CAPITAL INC COM CL A 10949T109 360 51015 SH SOLE 0 0 51015 BROADCOM INC COM 11135F101 1912 4252 SH SOLE 0 0 4252 BUILDERS FIRSTSOURCE INC COM 12008R107 2147 38117 SH SOLE 0 0 38117 CAMPING WORLD HLDGS INC CL A 13462K109 286 11078 SH SOLE 0 0 11078 CATERPILLAR INC COM 149123101 1354 7121 SH SOLE 0 0 7121 CHARLES & COLVARD LTD COM 159765106 12 11611 SH SOLE 0 0 11611 CHEVRON CORP NEW COM 166764100 1978 11424 SH SOLE 0 0 11424 CION INVT CORP COM 17259U204 160 18157 SH SOLE 0 0 18157 CISCO SYS INC COM 17275R102 1246 29109 SH SOLE 0 0 29109 CITIGROUP INC COM NEW 172967424 1252 28293 SH SOLE 0 0 28293 COCA COLA CO COM 191216100 222 3962 SH SOLE 0 0 3962 CONSTELLATION BRANDS INC CL A 21036P108 350 1555 SH SOLE 0 0 1555 COPART INC COM 217204106 232 2118 SH SOLE 0 0 2118 COSTCO WHSL CORP NEW COM 22160K105 4538 9490 SH SOLE 0 0 9490 CUBESMART COM 229663109 342 8938 SH SOLE 0 0 8938 DANAHER CORPORATION COM 235851102 404 1650 SH SOLE 0 0 1650 DIMENSIONAL ETF TRUST US CORE EQT MKT 25434V104 286 10840 SH SOLE 0 0 10840 DISNEY WALT CO COM 254687106 362 3544 SH SOLE 0 0 3544 DOMINION ENERGY INC COM 25746U109 347 5295 SH SOLE 0 0 5295 EIGER BIOPHARMACEUTICALS INC COM 28249U105 165 32430 SH SOLE 0 0 32430 ENERGY TRANSFER L P COM UT LTD PTN 29273V100 6794 561919 SH SOLE 0 0 561919 ETF SER SOLUTIONS US GLB JETS 26922A842 171 10239 SH SOLE 0 0 10239 EXTRA SPACE STORAGE INC COM 30225T102 1080 6509 SH SOLE 0 0 6509 EXXON MOBIL CORP COM 30231G102 1446 13657 SH SOLE 0 0 13657 FIDELITY COVINGTON TRUST MSCI CONSM DIS 316092204 213 3468 SH SOLE 0 0 3468 FIDELITY COVINGTON TRUST MSCI INFO TECH I 316092808 300 3165 SH SOLE 0 0 3165 FIRST TR EXCHANGE TRADED FD CLOUD COMPUTING 33734X192 437 7102 SH SOLE 0 0 7102 FIRST TR EXCHANGE TRADED FD NASDQ CLN EDGE 33737A108 261 3353 SH SOLE 0 0 3353 FIRST TR EXCHANGE TRADED FD US EQTY OPPT ETF 336920103 547 6482 SH SOLE 0 0 6482 FIRST TR EXCHANGE-TRADED FD CAP STRENGTH ETF 33733E104 841 12049 SH SOLE 0 0 12049 FIRST TR EXCHANGE-TRADED FD DJ INTERNT IDX 33733E302 204 1560 SH SOLE 0 0 1560 FIRST TR EXCHANGE-TRADED FD FIRST TR ENH NEW 33739Q408 6108 102810 SH SOLE 0 0 102810 FIRST TR EXCHANGE-TRADED FD FST LOW OPPT EFT 33739Q200 1263 27089 SH SOLE 0 0 27089 FIRST TR EXCHANGE-TRADED FD RISNG DIVD ACHIV 33738R506 272 6562 SH SOLE 0 0 6562 FIRST TR EXCHNG TRADED FD VI TCW OPPORTUNIS 33740F805 298 7087 SH SOLE 0 0 7087 FIRST TR NASDAQ 100 TECH IND SHS 337345102 641 6103 SH SOLE 0 0 6103 FIRST TR VALUE LINE DIVID IN SHS 33734H106 1067 28926 SH SOLE 0 0 28926 FS KKR CAP CORP COM 302635206 615 34080 SH SOLE 0 0 34080 GLOBAL NET LEASE INC COM NEW 379378201 210 19159 SH SOLE 0 0 19159 GLOBAL X FDS RUSSELL 2000 37954Y459 960 49659 SH SOLE 0 0 49659 GOLDMAN SACHS GROUP INC COM 38141G104 1609 4949 SH SOLE 0 0 4949 GRANITESHARES ETF TR XOUT US LRG CP 38747R603 743 22623 SH SOLE 0 0 22623 HEALTHEQUITY INC COM 42226A107 7419 98103 SH SOLE 0 0 98103 HOME DEPOT INC COM 437076102 252 916 SH SOLE 0 0 916 INDEPENDENCE RLTY TR INC COM 45378A106 387 24575 SH SOLE 0 0 24575 INNOVATOR ETFS TR US EQTY BUF OCT 45782C771 2244 73026 SH SOLE 0 0 73026 INNOVATOR ETFS TR US EQTY PWR BUF 45782C417 959 35110 SH SOLE 0 0 35110 INTERNATIONAL BUSINESS MACHS COM 459200101 237 1824 SH SOLE 0 0 1824 INVESCO DB US DLR INDEX TR BULLISH FD 46141D203 837 27792 SH SOLE 0 0 27792 INVESCO EXCHANGE TRADED FD T FTSE RAFI 1500 46137V597 594 3848 SH SOLE 0 0 3848 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 1541 11594 SH SOLE 0 0 11594 INVESCO QQQ TR UNIT SER 1 46090E103 6614 24015 SH SOLE 0 0 24015 ISHARES GOLD TR ISHARES NEW 464285204 2986 95007 SH SOLE 0 0 95007 ISHARES INC MSCI EMRG CHN 46434G764 336 7243 SH SOLE 0 0 7243 ISHARES TR 0-5 YR TIPS ETF 46429B747 389 4008 SH SOLE 0 0 4008 ISHARES TR 0-5YR HI YL CP 46434V407 352 8708 SH SOLE 0 0 8708 ISHARES TR 1 3 YR TREAS BD 464287457 744 9189 SH SOLE 0 0 9189 ISHARES TR 20 YR TR BD ETF 464287432 533 5725 SH SOLE 0 0 5725 ISHARES TR CORE S&P500 ETF 464287200 1471 3914 SH SOLE 0 0 3914 ISHARES TR CORE US AGGBD ET 464287226 227 2426 SH SOLE 0 0 2426 ISHARES TR ESG AWR MSCI USA 46435G425 249 3004 SH SOLE 0 0 3004 ISHARES TR FLTG RATE NT ETF 46429B655 2586 51403 SH SOLE 0 0 51403 ISHARES TR U S EQUITY FACTR 46434V282 777 20518 SH SOLE 0 0 20518 ISHARES TR U.S. FIN SVC ETF 464287770 219 1464 SH SOLE 0 0 1464 ISHARES TR US AER DEF ETF 464288760 380 3725 SH SOLE 0 0 3725 J P MORGAN EXCHANGE TRADED F ULTRA SHRT INC 46641Q837 4223 84281 SH SOLE 0 0 84281 J P MORGAN EXCHANGE TRADED F ULTRA SHT MUNCPL 46641Q654 357 7097 SH SOLE 0 0 7097 JOHNSON & JOHNSON COM 478160104 610 3618 SH SOLE 0 0 3618 JPMORGAN CHASE & CO COM 46625H100 2185 17873 SH SOLE 0 0 17873 L3HARRIS TECHNOLOGIES INC COM 502431109 253 1023 SH SOLE 0 0 1023 LILLY ELI & CO COM 532457108 1147 3365 SH SOLE 0 0 3365 LOCKHEED MARTIN CORP COM 539830109 2268 4988 SH SOLE 0 0 4988 LOUISIANA PAC CORP COM 546347105 2389 42868 SH SOLE 0 0 42868 MARSH & MCLENNAN COS INC COM 571748102 340 2192 SH SOLE 0 0 2192 MASTERCARD INCORPORATED CL A 57636Q104 330 1092 SH SOLE 0 0 1092 MERCK & CO INC COM 58933Y105 250 2611 SH SOLE 0 0 2611 META PLATFORMS INC CL A 30303M102 5887 45282 SH SOLE 0 0 45282 MICRON TECHNOLOGY INC COM 595112103 4860 86704 SH SOLE 0 0 86704 MICROSOFT CORP COM 594918104 7700 31803 SH SOLE 0 0 31803 MP MATERIALS CORP COM CL A 553368101 255 8394 SH SOLE 0 0 8394 NETFLIX INC COM 64110L106 345 1192 SH SOLE 0 0 1192 NEWMONT CORP COM 651639106 247 5820 SH SOLE 0 0 5820 NORTHERN LIGHTS FD TR TOEWS AGLTY DNYM 66538J738 223 9774 SH SOLE 0 0 9774 NVIDIA CORPORATION COM 67066G104 10953 87866 SH SOLE 0 0 87866 OCCIDENTAL PETE CORP COM 674599105 5565 78095 SH SOLE 0 0 78095 ORACLE CORP COM 68389X105 454 6246 SH SOLE 0 0 6246 OWL ROCK CAPITAL CORPORATION COM 69121K104 1310 121704 SH SOLE 0 0 121704 PALANTIR TECHNOLOGIES INC CL A 69608A108 95 11425 SH SOLE 0 0 11425 PENNYMAC CORP NOTE 5.500%11/0 70932AAD5 18 20000 PRN SOLE 0 0 20000 PEPSICO INC COM 713448108 779 4503 SH SOLE 0 0 4503 PFIZER INC COM 717081103 290 6450 SH SOLE 0 0 6450 PG&E CORP COM 69331C108 161 11114 SH SOLE 0 0 11114 PGIM ETF TR ACTV HY BD ETF 69344A206 415 12551 SH SOLE 0 0 12551 PHILIP MORRIS INTL INC COM 718172109 314 3635 SH SOLE 0 0 3635 PINTEREST INC CL A 72352L106 867 40343 SH SOLE 0 0 40343 PROSHARES TR S&P 500 DV ARIST 74348A467 1393 16621 SH SOLE 0 0 16621 PUBLIC STORAGE COM 74460D109 205 702 SH SOLE 0 0 702 QUALCOMM INC COM 747525103 2854 24661 SH SOLE 0 0 24661 RAYTHEON TECHNOLOGIES CORP COM 75513E101 253 2859 SH SOLE 0 0 2859 RIBBON COMMUNICATIONS INC COM 762544104 142 52636 SH SOLE 0 0 52636 ROSS STORES INC COM 778296103 2329 27378 SH SOLE 0 0 27378 SALESFORCE INC COM 79466L302 293 1830 SH SOLE 0 0 1830 SCHWAB STRATEGIC TR US DIVIDEND EQ 808524797 209 2984 SH SOLE 0 0 2984 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 854 19324 SH SOLE 0 0 19324 SELECT SECTOR SPDR TR ENERGY 81369Y506 824 9474 SH SOLE 0 0 9474 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 489 7103 SH SOLE 0 0 7103 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 306 2421 SH SOLE 0 0 2421 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 341 5392 SH SOLE 0 0 5392 SERVICENOW INC COM 81762P102 217 602 SH SOLE 0 0 602 SHERWIN WILLIAMS CO COM 824348106 1511 7269 SH SOLE 0 0 7269 SNOWFLAKE INC CL A 833445109 3827 21612 SH SOLE 0 0 21612 SOFI TECHNOLOGIES INC COM 83406F102 2231 433158 SH SOLE 0 0 433158 SONY GROUP CORPORATION SPONSORED ADR 835699307 253 3889 SH SOLE 0 0 3889 SPDR GOLD TR GOLD SHS 78463V107 244 1585 SH SOLE 0 0 1585 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 332 12411 SH SOLE 0 0 12411 SPDR S&P 500 ETF TR TR UNIT 78462F103 1987 5308 SH SOLE 0 0 5308 SPDR SER TR ICE PFD SEC ETF 78464A292 299 9230 SH SOLE 0 0 9230 SPDR SER TR PORTFOLIO INTRMD 78464A375 871 28221 SH SOLE 0 0 28221 SPDR SER TR PORTFOLIO S&P500 78464A854 401 9119 SH SOLE 0 0 9119 SPDR SER TR PRTFLO S&P500 GW 78464A409 254 4902 SH SOLE 0 0 4902 SPDR SER TR PRTFLO S&P500 HI 78468R788 343 9218 SH SOLE 0 0 9218 SPDR SER TR PRTFLO S&P500 VL 78464A508 277 7569 SH SOLE 0 0 7569 SPDR SER TR RUSSELL YIELD 78468R770 226 2567 SH SOLE 0 0 2567 SPDR SER TR S&P DIVID ETF 78464A763 478 4098 SH SOLE 0 0 4098 SSGA ACTIVE ETF TR BLACKSTONE SENR 78467V608 365 8898 SH SOLE 0 0 8898 STAAR SURGICAL CO COM PAR $0.01 852312305 422 6008 SH SOLE 0 0 6008 STARBUCKS CORP COM 855244109 204 2301 SH SOLE 0 0 2301 TESLA INC COM 88160R101 594 2770 SH SOLE 0 0 2770 THE NECESSITY RETAIL REIT IN COM CLASS A 02607T109 362 57464 SH SOLE 0 0 57464 TRUIST FINL CORP COM 89832Q109 381 9181 SH SOLE 0 0 9181 TWITTER INC COM 90184L102 234 4691 SH SOLE 0 0 4691 UNION PAC CORP COM 907818108 228 1195 SH SOLE 0 0 1195 UNITEDHEALTH GROUP INC COM 91324P102 348 651 SH SOLE 0 0 651 VALARIS LIMITED CL A G9460G101 3485 58242 SH SOLE 0 0 58242 VANECK ETF TRUST FALLEN ANGEL HG 92189F437 227 8643 SH SOLE 0 0 8643 VANGUARD BD INDEX FDS TOTAL BND MRKT 921937835 1314 18899 SH SOLE 0 0 18899 VANGUARD CHARLOTTE FDS TOTAL INT BD ETF 92203J407 444 9441 SH SOLE 0 0 9441 VANGUARD INDEX FDS EXTEND MKT ETF 922908652 964 7331 SH SOLE 0 0 7331 VANGUARD INDEX FDS GROWTH ETF 922908736 690 3136 SH SOLE 0 0 3136 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 515 2973 SH SOLE 0 0 2973 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 380 4868 SH SOLE 0 0 4868 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 1626 4730 SH SOLE 0 0 4730 VANGUARD INDEX FDS SMALL CP ETF 922908751 590 3312 SH SOLE 0 0 3312 VANGUARD INDEX FDS TOTAL STK MKT 922908769 3660 19521 SH SOLE 0 0 19521 VANGUARD STAR FDS VG TL INTL STK F 921909768 2284 48555 SH SOLE 0 0 48555 VANGUARD WHITEHALL FDS HIGH DIV YLD 921946406 1033 10192 SH SOLE 0 0 10192 VANGUARD WORLD FDS INF TECH ETF 92204A702 205 640 SH SOLE 0 0 640 VERIZON COMMUNICATIONS INC COM 92343V104 570 16124 SH SOLE 0 0 16124 VISA INC COM CL A 92826C839 1377 7231 SH SOLE 0 0 7231 WALMART INC COM 931142103 319 2331 SH SOLE 0 0 2331 WP CAREY INC COM 92936U109 346 4886 SH SOLE 0 0 4886 ZOETIS INC CL A 98978V103 3121 21204 SH SOLE 0 0 21204