Dfpg Investments, LLC Closed Holding Positions

Dfpg Investments, LLC

  • $1.29 Billion
  • Q4 2023
Stock Closed Quarter Shares Sold Price Range Trade History
IZEA
Izea Worldwide, Inc.

Communication Services
Q1 2021 Filed on Apr 14, 2021
25,000
$1.72 - $7.01 $43K - $175K
ERH
Allspring Utilities & High Income Fund

Financial Services
Q1 2021 Filed on Apr 14, 2021
10,671
$12.39 - $12.97 $132K - $138K
FAX
Aberdeen Asia Pacific Income Fund Inc

Financial Services
Q1 2021 Filed on Apr 14, 2021
10,124
$4.07 - $4.58 $41.2K - $46.4K
AINV
Apollo Investment Corp

Financial Services
Q1 2021 Filed on Apr 14, 2021
10,579
$10.56 - $14.89 $112K - $158K
HYT
Blackrock Corporate High Yield Fund, Inc.

Financial Services
Q1 2021 Filed on Apr 14, 2021
11,715
$11.07 - $11.77 $130K - $138K
OGE
Oge Energy Corp.

Utilities
Q4 2020 Filed on Jan 19, 2021
11,237
$30.2 - $34.76 $339K - $391K
DDS
Dillard'S, Inc.

Consumer Cyclical
Q4 2020 Filed on Jan 19, 2021
7,500
$36.96 - $63.86 $277K - $479K
VIDI
Vident Intl Equity Fd

ETFs
Q4 2020 Filed on Jan 19, 2021
12,876
$20.37 - $25.01 $262K - $322K
HISF
First Tr Exc Traded Fd Iv High

ETFs
Q4 2020 Filed on Jan 19, 2021
13,440
$44.48 - $48.38 $598K - $650K
IBB
Ishares Biotechnology ETF

ETFs
Q4 2020 Filed on Jan 19, 2021
5,145
$130.38 - $157.31 $671K - $809K
JHMU
John Hancock Exchange Traded F
Q4 2020 Filed on Jan 19, 2021
9,458
N/A
SLV
I Shares Silver Trust

ETFs
Q4 2020 Filed on Jan 19, 2021
137,748
$21.05 - $24.76 $2.9M - $3.41M
FEP
First Trust Europe Alphadex Fu

ETFs
Q4 2020 Filed on Jan 19, 2021
7,023
$31.44 - $38.82 $221K - $273K
VUSE
ETF Ser Solutions

ETFs
Q4 2020 Filed on Jan 19, 2021
7,013
$28.59 - $34.89 $201K - $245K
PPH
Vaneck ETF Tr Vaneck Pharmaceu

ETFs
Q4 2020 Filed on Jan 19, 2021
16,613
$58.91 - $66.91 $979K - $1.11M
IEHS
Ishares U S ETF Tr Ishares Evo

ETFs
Q4 2020 Filed on Jan 19, 2021
31,324
$32.96 - $37.4 $1.03M - $1.17M
FDX
Fedex Corp

Industrials
Q4 2020 Filed on Jan 19, 2021
1,348
$254.08 - $301.45 $342K - $406K
Jaguar Health Inc
Q4 2020 Filed on Jan 19, 2021
44,900
N/A
BIIB
Biogen Inc.

Healthcare
Q4 2020 Filed on Jan 19, 2021
972
$236.26 - $355.63 $230K - $346K
DWX
Spdr Index Shs Fds S&P Intl Di

ETFs
Q4 2020 Filed on Jan 19, 2021
5,891
$32.49 - $37.03 $191K - $218K
Fs Kkr Cap Corp Ii
Q4 2020 Filed on Jan 19, 2021
11,746
N/A
PCG
Pg&E Corp

Utilities
Q4 2020 Filed on Jan 19, 2021
10,000
$9.56 - $12.82 $95.6K - $128K
MGM
Mgm Resorts International

Consumer Cyclical
Q3 2020 Filed on Oct 13, 2020
17,095
$14.96 - $23.86 $256K - $408K
Chaparral Energy Inc
Q3 2020 Filed on Oct 13, 2020
24,625
N/A
BKCC
Black Rock Capital Investment Corp

Financial Services
Q3 2020 Filed on Oct 13, 2020
10,280
$2.31 - $3.08 $23.7K - $31.7K
RRR
Red Rock Resorts, Inc.

Consumer Cyclical
Q3 2020 Filed on Oct 13, 2020
23,239
$9.98 - $18.42 $232K - $428K
Rti Surgical Holdings Inc
Q3 2020 Filed on Oct 13, 2020
105,800
N/A
LVS
Las Vegas Sands Corp

Consumer Cyclical
Q3 2020 Filed on Oct 13, 2020
6,623
$43.34 - $53.1 $287K - $352K
Td Ameritrade Hldg Corp
Q3 2020 Filed on Oct 13, 2020
17,079
N/A
RTM
Invesco S&P 500 Equal Weight M

ETFs
Q3 2020 Filed on Oct 13, 2020
6,116
$100.96 - $123.12 $617K - $753K
PFF
Ishares Trust Ishares Pfd And

ETFs
Q3 2020 Filed on Oct 13, 2020
6,464
$34.54 - $36.7 $223K - $237K
RIGS
Riverfront Strategic Income Fd

ETFs
Q3 2020 Filed on Oct 13, 2020
8,830
$24.33 - $24.83 $215K - $219K
IQDY
Flexshares International Quali

ETFs
Q3 2020 Filed on Oct 13, 2020
10,465
$22.41 - $24.24 $235K - $254K
FTSL
First Trust Senior Ln Fund

ETFs
Q3 2020 Filed on Oct 13, 2020
6,381
$45.26 - $46.86 $289K - $299K
RHS
Invesco ETF Tr S&P 500 Equal W

ETFs
Q3 2020 Filed on Oct 13, 2020
6,912
N/A
TLRY
Tilray Brands, Inc.

Healthcare
Q2 2020 Filed on Jul 13, 2020
10,000
$5.54 - $10.81 $55.4K - $108K
UA
Under Armour Inc Cl C

Consumer Cyclical
Q2 2020 Filed on Jul 13, 2020
95
$6.89 - $10.22 $655 - $971
LULU
Lululemon Athletica Inc.

Consumer Cyclical
Q2 2020 Filed on Jul 13, 2020
1,620
$181.25 - $323.74 $294K - $524K
United States Oil Fund LP
Q2 2020 Filed on Jul 13, 2020
99,366
N/A
UNG
United States Natural Gas Fund, LP

ETFs
Q2 2020 Filed on Jul 13, 2020
30,000
$8.99 - $14.49 $270K - $435K
TEN
Tenneco Inc

Consumer Cyclical
Q2 2020 Filed on Jul 13, 2020
20,000
$2.32 - $12.56 $46.4K - $251K
Fs Kkr Capital Corp
Q2 2020 Filed on Jul 13, 2020
166,086
N/A
UA
Under Armour Inc Cl C

Consumer Cyclical
Q2 2020 Filed on Jul 13, 2020
20,000
$6.89 - $10.22 $138K - $204K
UNG
United States Natural Gas Fund, LP

ETFs
Q2 2020 Filed on Jul 13, 2020
23
$8.99 - $14.49 $207 - $333
OTLK
Outlook Therapeutics, Inc.

Healthcare
Q2 2020 Filed on Jul 13, 2020
34,750
$0.56 - $1.41 $19.5K - $49K
UTF
Cohen & Steers Infrastructure Fund Inc

Financial Services
Q1 2020 Filed on Apr 17, 2020
9,217
$12.99 - $27.62 $120K - $255K
WB
Weibo Corp

Communication Services
Q1 2020 Filed on Apr 17, 2020
7,774
$30.33 - $51.69 $236K - $402K
VNLA
Janus Henderson Short Duration

ETFs
Q1 2020 Filed on Apr 17, 2020
12,000
$48.05 - $50.31 $577K - $604K
DAL
Delta Air Lines, Inc.

Industrials
Q1 2020 Filed on Apr 17, 2020
9,709
$21.35 - $62.03 $207K - $602K
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