Dfpg Investments, LLC Closed Holding Positions

Dfpg Investments, LLC

  • $1.29 Billion
  • Q4 2023
Stock Closed Quarter Shares Sold Price Range Trade History
AWR
American States Water CO

Utilities
Q1 2020 Filed on Apr 17, 2020
2,713
$65.41 - $93.85 $177K - $255K
Prospect Capital Corporation
Q1 2020 Filed on Apr 17, 2020
40,000
N/A
OGS
One Gas, Inc.

Utilities
Q1 2020 Filed on Apr 17, 2020
2,305
$67.62 - $96.69 $156K - $223K
EVV
Eaton Vance LTD Duration Income Fund

Financial Services
Q1 2020 Filed on Apr 17, 2020
12,045
$8.0 - $13.54 $96.4K - $163K
PTON
Peloton Interactive, Inc.

Consumer Cyclical
Q1 2020 Filed on Apr 17, 2020
10,000
$19.51 - $33.47 $195K - $335K
IDV
Ishares Tr

ETFs
Q1 2020 Filed on Apr 17, 2020
6,081
$19.58 - $34.05 $119K - $207K
LAZ
Lazard LTD

Financial Services
Q1 2020 Filed on Apr 17, 2020
14,818
$21.06 - $44.55 $312K - $660K
HYS
Pimco ETF Tr 1 5 Yr High Yield

ETFs
Q1 2020 Filed on Apr 17, 2020
2,468
$78.75 - $100.3 $194K - $248K
Aqua America Inc
Q1 2020 Filed on Apr 17, 2020
18,583
N/A
Portfolio Recovery Assocs In
Q1 2020 Filed on Apr 17, 2020
45,000
N/A
PTON
Peloton Interactive, Inc.

Consumer Cyclical
Q1 2020 Filed on Apr 17, 2020
3,000
$19.51 - $33.47 $58.5K - $100K
Alps ETF Tr
Q4 2019 Filed on Feb 04, 2020
17,962
N/A
ATVI
Activision Blizzard, Inc.

Communication Services
Q4 2019 Filed on Feb 04, 2020
8,005
$51.95 - $59.42 $416K - $476K
Just Energy Group Inc
Q4 2019 Filed on Feb 04, 2020
12,720
N/A
IYK
Ishares U.S. Consumer Staples

ETFs
Q4 2019 Filed on Feb 04, 2020
5,780
$123.25 - $133.8 $712K - $773K
ICLN
Ishares

ETFs
Q4 2019 Filed on Feb 04, 2020
21,893
$10.55 - $11.81 $231K - $259K
NOK
Nokia Corp

Technology
Q4 2019 Filed on Feb 04, 2020
15,620
$3.35 - $5.23 $52.3K - $81.7K
CHI
Calamos Convertible Opportunities & Income Fund

Financial Services
Q4 2019 Filed on Feb 04, 2020
11,590
$10.3 - $11.17 $119K - $129K
IQ
I Qiyi, Inc.

Communication Services
Q4 2019 Filed on Feb 04, 2020
10,270
$15.69 - $21.61 $161K - $222K
Proshares Tr
Q4 2019 Filed on Feb 04, 2020
18,533
N/A
IGR
Cbre Global Real Estate Income Fund

Financial Services
Q3 2019 Filed on Oct 15, 2019
10,065
$7.4 - $7.91 $74.5K - $79.6K
Caesars Entmt Corp
Q3 2019 Filed on Oct 15, 2019
10,000
N/A
BE
Bloom Energy Corp

Industrials
Q3 2019 Filed on Oct 15, 2019
20,100
$3.24 - $13.06 $65.1K - $263K
ZBRA
Zebra Technologies Corp

Technology
Q3 2019 Filed on Oct 15, 2019
5,718
$182.15 - $218.2 $1.04M - $1.25M
MCO
Moodys Corp

Financial Services
Q3 2019 Filed on Oct 15, 2019
1,172
$197.58 - $220.54 $232K - $258K
Blackstone Group L P
Q3 2019 Filed on Oct 15, 2019
23,882
N/A
CGC
Canopy Growth Corp

Healthcare
Q3 2019 Filed on Oct 15, 2019
5,170
$22.93 - $41.06 $119K - $212K
Harris Corp Del
Q3 2019 Filed on Oct 15, 2019
1,116
N/A
GOOS
Canada Goose Holdings Inc.

Consumer Cyclical
Q3 2019 Filed on Oct 15, 2019
7,092
$36.48 - $46.79 $259K - $332K
LYG
Lloyds Banking Group PLC

Financial Services
Q3 2019 Filed on Oct 15, 2019
13,735
$2.31 - $2.89 $31.7K - $39.7K
AX
Axos Financial, Inc.

Financial Services
Q3 2019 Filed on Oct 15, 2019
20,370
$24.31 - $29.48 $495K - $601K
ADES
Advanced Emissions Solutions, Inc.

Industrials
Q3 2019 Filed on Oct 15, 2019
26,483
$11.76 - $14.84 $311K - $393K
SIVB
Svb Financial Group

Financial Services
Q3 2019 Filed on Oct 15, 2019
2,288
$184.71 - $233.79 $423K - $535K
ACWV
Ishares Msci Global Min Vol Fa

ETFs
Q3 2019 Filed on Oct 15, 2019
4,642
$93.5 - $95.06 $434K - $441K
CRON
Cronos Group Inc.

Healthcare
Q3 2019 Filed on Oct 15, 2019
11,500
$9.05 - $16.02 $104K - $184K
BRK-A
Berkshire Hathaway Inc

Financial Services
Q2 2019 Filed on Jul 30, 2019
3
$297060.0 - $327766.0 $891K - $983K
DBEF
Xtrackers Msci Eafe Hedged Equ

ETFs
Q2 2019 Filed on Jul 30, 2019
14,468
N/A
General Electric CO
Q2 2019 Filed on Jul 30, 2019
22,780
N/A
RZG
Invesco Fd Tr S&P Smallcap 600
Q2 2019 Filed on Jul 30, 2019
3,564
N/A
PKW
Invesco Exchange Traded Fd Tr

ETFs
Q2 2019 Filed on Jul 30, 2019
4,399
N/A
VIS
Vanguard Industrial ETF

ETFs
Q2 2019 Filed on Jul 30, 2019
2,338
N/A
Xilinx Inc
Q2 2019 Filed on Jul 30, 2019
1,585
N/A
ONEQ
Fidelity Nasdaq Composite Inde

ETFs
Q2 2019 Filed on Jul 30, 2019
702
N/A
IVE
Ishares S&P 500 Value ETF

ETFs
Q2 2019 Filed on Jul 30, 2019
2,203
$108.5 - $117.48 $239K - $259K
DIA
Spdr Dow Jones Industrial Average ETF Trust

ETFs
Q1 2019 Filed on Apr 10, 2019
1,015
$226.72 - $260.89 $230K - $265K
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