DFPG INVESTMENTS, INC.

http://www.1031capitalsolutions.com SANDY, UT Broker-Dealer Investment Advisor How do I update this listing?

Dfpg Investments is based out of Sandy. Dfpg Investments is a large advisory firm with 1180 clients and discretionary assets under management (AUM) of $318,290,807 (Form ADV from 2018-11-19). Their last reported 13F filing for Q1 2019 included $93,053,000 in managed 13F securities and a top 10 holdings concentration of 27.37%. Dfpg Investments's largest holding is Apple Inc with shares held of 24,139. Whalewisdom has at least 2 13F filings

Download 13F Summary to Excel Create Email Alert

03/31/2019

13F Sector Allocation Over Time

03/31/2019

13F Activity

  • Market Value $93.053 Million
  • Prior Market Value $75.497 Million
  • New Purchases25 stocks
  • Additional Purchases50 stocks
  • Sold out of6 stocks
  • Reduced holdings in57 stocks
  • Top 10 Holdings % 27.37 %
  • Turnover % [1]:22.30%
  • Turnover Alt % [2]: 13.20 %
  • Time Held Top20:0.85 quarters
  • Time Held Top10:0.80 quarters
  • Time Held All:0.82 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-02-14

Performance for Q4 2018: 1.37%
Performance Last 4 Quarters: 0.0%
Performance Metrics
Stats are not available for the latest quarter

Refresh Advanced Export Download CSV Download Excel (.xlsx) Download TSV
Filter by:

Security Types:

Refresh
*Shares are split adjusted
Click here to report any possible errors with this listing.
13F Filings Available:
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

DFPG INVESTMENTS, INC.
9017 S RIVERSIDE DRIVE SUITE 210
SANDY UT    84070
Country: United States

Business Phone: 801-838-9999
Fax: 801-838-9988
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Corporation
Organized in: UT
Number of employees: 36
Other Business Activities: broker-dealer,insurance broker or agent
Advisor Fees/Compensation: Percentage of assets under management,Hourly charges,Fixed fees
Amount of client funds and securities: 72,329,400
Total Number of Clients: 1180
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

Sign in to see

Form 4 - Recent Insider Transactions

Loading...

DFPG INVESTMENTS, INC.

ownership team - last updated 2019-03-29
Name Title Start Date Direct/Indirect % Ownership
SMITH, RYAN OMER PRESIDENT & CCO 01/01/2013 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
DFPG INVESTMENTS, INC. PRESIDENT & CCO direct 2013-01-01
LUKE, DANIEL JAMES DIRECTOR & GSP 01/01/2013 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
DFPG INVESTMENTS, INC. DIRECTOR & GSP direct 2013-01-01
BADALAMENTI, CHARLES RICHARD FINOP 10/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
VALUED WEALTH ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2011-07-01
DFPG INVESTMENTS, INC. FINOP direct 2010-10-01
BENDIX, MICHAEL ALLAN CEO 01/01/2013 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
DFPG INVESTMENTS, INC. CEO direct 2013-01-01
LAGA, DAVID RYAN CFO & COO 02/01/2016 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
DFPG INVESTMENTS, INC. CFO & COO direct 2016-02-01

DFPG INVESTMENTS, INC.

ownership team - last updated 2018-11-19
Name Title Start Date Direct/Indirect % Ownership
SMITH, RYAN OMER PRESIDENT & CCO 01/01/2013 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
DFPG INVESTMENTS, INC. PRESIDENT & CCO direct 2013-01-01
LUKE, DANIEL JAMES DIRECTOR & GSP 01/01/2013 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
DFPG INVESTMENTS, INC. DIRECTOR & GSP direct 2013-01-01
BADALAMENTI, CHARLES RICHARD FINOP 10/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
VALUED WEALTH ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2011-07-01
DFPG INVESTMENTS, INC. FINOP direct 2010-10-01
BENDIX, MICHAEL ALLAN CEO 01/01/2013 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
DFPG INVESTMENTS, INC. CEO direct 2013-01-01
LAGA, DAVID RYAN CFO & COO 02/01/2016 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
DFPG INVESTMENTS, INC. CFO & COO direct 2016-02-01

DFPG INVESTMENTS, INC.

ownership team - last updated 2018-04-12
Name Title Start Date Direct/Indirect % Ownership
SMITH, RYAN OMER PRESIDENT & CCO 01/01/2013 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
DFPG INVESTMENTS, INC. PRESIDENT & CCO direct 2013-01-01
LUKE, DANIEL JAMES DIRECTOR & GSP 01/01/2013 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
DFPG INVESTMENTS, INC. DIRECTOR & GSP direct 2013-01-01
BADALAMENTI, CHARLES RICHARD FINOP 10/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
VALUED WEALTH ADVISORS, LLC CHIEF COMPLIANCE OFFICER direct 2011-07-01
DFPG INVESTMENTS, INC. FINOP direct 2010-10-01
BENDIX, MICHAEL ALLAN CEO 01/01/2013 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
DFPG INVESTMENTS, INC. CEO direct 2013-01-01
LAGA, DAVID RYAN CFO & COO 02/01/2016 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
DFPG INVESTMENTS, INC. CFO & COO direct 2016-02-01

Elevate your investments