DFPG Investments, LLC

Broker-DealerFINRA MemberEst. 2011

Total AUM

—

Advisory reps

154

Avg account

$0

Firm details

Headquarters: South Jordan, Utah
CRD number: 155576
Registered since: May 25, 2011

Firm profile

FINTRX

Overview

DFPG Investments, LLC is an SEC-registered limited liability company that registers as an insurance broker-dealer and has been registered with the SEC since 2011. Ownership is listed as a combination of a domestic entity and an individual. The firm does not identify itself as a capital allocator, does not self-report as an active ESG investor, and does not describe itself as a pension consultant or related adviser.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

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Investment profile

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

CRM & tech providers

TAMPs used

Clients

Client base

Client personas

Owners & executives

3 of 11

Matthew Poole
Chief Wealth AdvisorCRD 5074516
Ryan Smith
Co-Founder & CEOCRD 4340304
Charles Sorensen
CEO, Investment AdvisorCRD 3255618

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Contacts

3 of 143

Taylor Ashland
PresidentCRD 5732470
Stephen Patterson
Financial AdvisorCRD 5808020
Todd Hills
Wealth AdvisorCRD 5835638

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Wealth teams

Newly hired reps

Recent M&A activity

Recent filings

Awards

ETF holdings

1 of 291

Active vs passive

$676M in ETFs

Passive

94%

$635M

Active

5%

$41.2M

ETF	Provider	Style	Category	Value	Shares	% of portfolio
ISHARES MSCI INDIA ETF (INDA)	BlackRock	Passive	India Equity	$23.3M	479,979	3.45%

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Primary office

South Jordan, UT

Salt Lake

Location

South Jordan, UT

Headquartered in South Jordan, UT, anchoring the Salt Lake City-Provo-Orem, UT metro in the West.

Metro area: Salt Lake City-Provo-Orem, UT
Region: West
County: Salt Lake
Address: 10876 S River Front Pkwy
Time zone: MT (UTC-7)
Office locations

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