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 first registered in 2011 and categorized as an insurance broker‑dealer. The ownership is listed as a domestic entity/individual. The firm is not identified as a capital allocator, is not flagged as an active ESG investor, and is not registered as a multi‑state adviser; other business and advisory activity details were not provided in the dataset.

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 289

Active vs passive

$675M in ETFs

Passive

94%

$634M

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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