DFPG INVESTMENTS, LLC

Filed: 11/13/2023ACC: 0001085146-23-004278

📋 What this filing means

DFPG INVESTMENTS, LLC filed this quarterly 13F‑HR report disclosing 575 equity positions with a total reported market value of $1.08B. This filing provides a transparent view of the manager's long equity holdings as of the quarter end.

575

Positions

$1.08B

Total AUM (reported)

16.79M

Total Shares

Allocation by class

COM$462.90M43.0%

CL A$45.84M4.3%

MSCI INDIA ETF$21.52M2.0%

ENERGY$21.41M2.0%

COM CL A$21.33M2.0%

CORE S&P500 ETF$18.33M1.7%

0-5 YR TIPS ETF$15.26M1.4%

Portfolio Concentration

Top 3$105.47M9.8%

4–10$130.59M12.1%

11–25$162.69M15.1%

Rest$676.60M62.9%

Top 3 weight

9.8%

Top 10 weight

22.0%

Voting Authority Distribution

Total shares with voting rights: 16.79M

Sole

Full voting authority

1.10M

% of voting shares6.6%

Shared

Joint voting authority

0.00

% of voting shares0.0%

None

No voting authority

15.69M

% of voting shares93.4%

Investment Discretion (by position count)

Sole575

Shared0

Other0

Dominant voting typeNone · 93.4% of voting shares

Institutional Holdings575

Rows:

APPLE INC

SOLE

COM

Shares241.07K

TypeSH

Market value$43.97M

4.09%

Sole

7.25K

Shared

0.00

None

233.82K

NVIDIA CORPORATION

SOLE

COM

Shares78.27K

TypeSH

Market value$36.75M

3.42%

Sole

4.32K

Shared

0.00

None

73.95K

AMAZON COM INC

SOLE

COM

Shares176.01K

TypeSH

Market value$24.75M

2.30%

Sole

11.68K

Shared

0.00

None

164.33K

MICROSOFT CORP

SOLE

COM

Shares67.11K

TypeSH

Market value$24.21M

2.25%

Sole

5.45K

Shared

0.00

None

61.66K

ISHARES TR

SOLE

MSCI INDIA ETF

Shares488.58K

TypeSH

Market value$21.52M

2.00%

Sole

0.00

Shared

0.00

None

488.58K

SELECT SECTOR SPDR TR

SOLE

ENERGY

Shares259.57K

TypeSH

Market value$21.41M

1.99%

Sole

0.00

Shared

0.00

None

259.57K

ISHARES TR

SOLE

CORE S&P500 ETF

Shares42.05K

TypeSH

Market value$18.33M

1.70%

Sole

0.00

Shared

0.00

None

42.05K

ISHARES TR

SOLE

0-5 YR TIPS ETF

Shares157.37K

TypeSH

Market value$15.26M

1.42%

Sole

0.00

Shared

0.00

None

157.37K

ADVANCED MICRO DEVICES INC

SOLE

COM

Shares132.56K

TypeSH

Market value$15.04M

1.40%

Sole

28.81K

Shared

0.00

None

103.74K

META PLATFORMS INC

SOLE

CL A

Shares46.23K

TypeSH

Market value$14.82M

1.38%

Sole

0.00

Shared

0.00

None

46.23K

COSTCO WHSL CORP NEW

SOLE

COM

Shares23.70K

TypeSH

Market value$13.35M

1.24%

Sole

2.85K

Shared

0.00

None

20.86K

SPDR SER TR

SOLE

S&P OILGAS EXP

Shares96.33K

TypeSH

Market value$13.07M

1.22%

Sole

0.00

Shared

0.00

None

96.33K

SPDR SER TR

SOLE

PRTFLO S&P500 VL

Shares300.73K

TypeSH

Market value$12.59M

1.17%

Sole

71.00

Shared

0.00

None

300.66K

ALPHABET INC

SOLE

CAP STK CL A

Shares94.14K

TypeSH

Market value$12.26M

1.14%

Sole

10.19K

Shared

0.00

None

83.95K

ALPHABET INC

SOLE

CAP STK CL C

Shares89.34K

TypeSH

Market value$11.76M

1.09%

Sole

39.00

Shared

0.00

None

89.30K

SPDR SER TR

SOLE

PRTFLO S&P500 GW

Shares192.38K

TypeSH

Market value$11.59M

1.08%

Sole

49.00

Shared

0.00

None

192.33K

SPDR INDEX SHS FDS

SOLE

PORTFOLIO DEVLPD

Shares367.75K

TypeSH

Market value$11.37M

1.06%

Sole

136.00

Shared

0.00

None

367.61K

INVESCO QQQ TR

SOLE

UNIT SER 1

Shares29.87K

TypeSH

Market value$11.05M

1.03%

Sole

0.00

Shared

0.00

None

29.87K

BNY MELLON ETF TRUST

SOLE

US MDCP CORE EQT

Shares134.66K

TypeSH

Market value$10.54M

0.98%

Sole

0.00

Shared

0.00

None

134.66K

OCCIDENTAL PETE CORP

SOLE

COM

Shares173.90K

TypeSH

Market value$10.54M

0.98%

Sole

42.05K

Shared

0.00

None

131.86K

ENERGY TRANSFER L P

SOLE

COM UT LTD PTN

Shares783.87K

TypeSH

Market value$10.21M

0.95%

Sole

214.92K

Shared

0.00

None

568.95K

SCHWAB CHARLES CORP

SOLE

COM

Shares174.61K

TypeSH

Market value$9.46M

0.88%

Sole

54.04K

Shared

0.00

None

120.57K

SPDR S&P 500 ETF TR

SOLE

TR UNIT

Shares19.17K

TypeSH

Market value$8.32M

0.77%

Sole

14.00

Shared

0.00

None

19.16K

JOHNSON & JOHNSON

SOLE

COM

Shares56.38K

TypeSH

Market value$8.31M

0.77%

Sole

10.00

Shared

0.00

None

56.37K

ZOETIS INC

SOLE

CL A

Shares48.48K

TypeSH

Market value$8.27M

0.77%

Sole

9.42K

Shared

0.00

None

39.07K

Issuer	Class	Shares	Type	Value / Portfolio %	Voting — Sole	None
APPLE INCSOLE	COM	241.07K	SH	$43.97M 4.09%	7.25K	233.82K
NVIDIA CORPORATIONSOLE	COM	78.27K	SH	$36.75M 3.42%	4.32K	73.95K
AMAZON COM INCSOLE	COM	176.01K	SH	$24.75M 2.30%	11.68K	164.33K
MICROSOFT CORPSOLE	COM	67.11K	SH	$24.21M 2.25%	5.45K	61.66K
ISHARES TRSOLE	MSCI INDIA ETF	488.58K	SH	$21.52M 2.00%	0.00	488.58K
SELECT SECTOR SPDR TRSOLE	ENERGY	259.57K	SH	$21.41M 1.99%	0.00	259.57K
ISHARES TRSOLE	CORE S&P500 ETF	42.05K	SH	$18.33M 1.70%	0.00	42.05K
ISHARES TRSOLE	0-5 YR TIPS ETF	157.37K	SH	$15.26M 1.42%	0.00	157.37K
ADVANCED MICRO DEVICES INCSOLE	COM	132.56K	SH	$15.04M 1.40%	28.81K	103.74K
META PLATFORMS INCSOLE	CL A	46.23K	SH	$14.82M 1.38%	0.00	46.23K
COSTCO WHSL CORP NEWSOLE	COM	23.70K	SH	$13.35M 1.24%	2.85K	20.86K
SPDR SER TRSOLE	S&P OILGAS EXP	96.33K	SH	$13.07M 1.22%	0.00	96.33K
SPDR SER TRSOLE	PRTFLO S&P500 VL	300.73K	SH	$12.59M 1.17%	71.00	300.66K
ALPHABET INCSOLE	CAP STK CL A	94.14K	SH	$12.26M 1.14%	10.19K	83.95K
ALPHABET INCSOLE	CAP STK CL C	89.34K	SH	$11.76M 1.09%	39.00	89.30K
SPDR SER TRSOLE	PRTFLO S&P500 GW	192.38K	SH	$11.59M 1.08%	49.00	192.33K
SPDR INDEX SHS FDSSOLE	PORTFOLIO DEVLPD	367.75K	SH	$11.37M 1.06%	136.00	367.61K
INVESCO QQQ TRSOLE	UNIT SER 1	29.87K	SH	$11.05M 1.03%	0.00	29.87K
BNY MELLON ETF TRUSTSOLE	US MDCP CORE EQT	134.66K	SH	$10.54M 0.98%	0.00	134.66K
OCCIDENTAL PETE CORPSOLE	COM	173.90K	SH	$10.54M 0.98%	42.05K	131.86K
ENERGY TRANSFER L PSOLE	COM UT LTD PTN	783.87K	SH	$10.21M 0.95%	214.92K	568.95K
SCHWAB CHARLES CORPSOLE	COM	174.61K	SH	$9.46M 0.88%	54.04K	120.57K
SPDR S&P 500 ETF TRSOLE	TR UNIT	19.17K	SH	$8.32M 0.77%	14.00	19.16K
JOHNSON & JOHNSONSOLE	COM	56.38K	SH	$8.31M 0.77%	10.00	56.37K
ZOETIS INCSOLE	CL A	48.48K	SH	$8.27M 0.77%	9.42K	39.07K

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