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 Q4 2018 included $75,497,000 in managed 13F securities and a top 10 holdings concentration of 26.94%. Dfpg Investments's largest holding is Apple Inc with shares held of 21,912. Whalewisdom has at least 1 13F filings

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12/31/2018

Top Sells

  • Name% Change

12/31/2018

13F Sector Allocation Over Time

Portfolio Performance

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

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

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13F Filings Available:
  • 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

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Form 4 - Non-derivative Insider Transactions Since 12/31/2018

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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

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