Dfpg Investments, LLC

CRD#155576
Investment Advisor Firm

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Learn more about Dfpg Investments, LLC

  • Overview
  • By the Numbers
  • Products and Services
  • Fee Structure
  • Types of Clients
  • Disclosures
  • State Registrations
  • Office Locations
  • Firm Advisors

    • Overview

    Dfpg Investments, LLC operates as a financial advisor company located in Sandy, Utah. It oversees $2.0 billion in total assets over 10,642 customer accounts, placing it among the largest investment advisory firms in the United States by assets under management (AUM). It has a large group, including 87 financial advisors. Dfpg Investments, LLC does not act as a registered broker-dealer, signifying that the company is not able to buy and sell securities for its clients' and own accounts and instead must go through a broker-dealer company to do so. Securities are defined as exchangable financial assets such as options, bonds and stocks.

    Dfpg Investments, LLC oversees the majority of the company's accounts in a discretionary manner. Discretionary management means that an investment advisor makes transaction choices without requiring client approval. Dfpg Investments, LLC also has 17 non-discretionary accounts with a total of $3.7 million in assets. Dfpg Investments, LLC's typical account size is $188,849. The typical financial advisor at Dfpg Investments, LLC manages around 122 client accounts.

    Dfpg Investments, LLC's headquarters is located at 9017 S Riverside Drive, Sandy, Utah 84070. The firm is legally registered to provide services to clients across 41 U.S. states and territories.

    Assets Under Management

    $2.0 billion

    Number of Advisors

    87

    Disclosures

    No

    Office Location

    9017 S Riverside Drive
    Sandy, UT 84070

    Dfpg Investments, LLC by the Numbers

    Total Assets Under Management

    $2.0 billion

    National Average: $8.6 billion
    Total Number of Employees

    156

    National Average: 64
    Total Number of Accounts

    10,642

    National Average: 375,227
    Average Account Size

    $188.8 thousand

    National Average: $23.0 thousand
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    Products and Services

    Dfpg Investments, LLC provides a variety of financial services, including financial planning services, portfolio management for individuals and small businesses, portfolio management for institutional clients and selection of other advisers. In the past fiscal year, Dfpg Investments, LLC provided 1-10 of its accounts with financial planning services. The company does sell products or offer services other than investment advice to its customers. It also has a number of financial industry affiliations, including with an insurance company or agency.

    Core Advisor Services

    • Offered by 31% of firms

      Financial Planning Services

      This is the process of planning for your financial future, including for events such as retirement, your child's college education or estate succession.

    • Offered by 46% of firms

      Portfolio Management

      This is the selection and management of an investment mix and portfolio strategy for individuals and small businesses.

    • Find a firm that offers this service

      Market Timing Services

      This is the practice of attempting to make short-term profits on investments by buying low and selling high.

    Other Services

    • Offered by 20% of firms

      Selection of Other Advisors

      This is the firm's assistance with choosing other advisors to work with who may have different specialties.

    • Find a firm that offers this service

      Publication of Periodicals

      This is the publication of various financial education materials.

    • Find a firm that offers this service

      Educational Seminars/Workshops

      This is the hosting of seminars or workshops to educate investors on financial concepts.

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    Fee Structure

    Financial management fees largely are based on which services the firm provides the client. However, fee types charged by the firm can be comprised of any combination of the following fee structures: asset-based, hourly or fixed. The firm participates in a wrap fee program, in which the company offers a service bundle for a single fee.

    Available

    • Offered by 69% of firms

      Percentage of Assets

      Show Explanation

      This fee, which is the most common fee type charged by advisors for portfolio management, is based on the amount of assets you have under management. Also referred to as an asset-based fee, this fee typically ranges from 0.50%-2.00% of AUM annually. You'll typically pay a lower rate the more assets you have under management.

    • Offered by 21% of firms

      Hourly

      Show Explanation

      Like a lawyer, a financial advisor may charge you by the hour. This can be helpful if you are only looking for short-term or one-time advice. Rates typically range from $100-$300 per hour, depending on the complexity and level of services needed.

    • Offered by 32% of firms

      Fixed

      Show Explanation

      Fixed fees are a one-time, lump sum charged for a specific service, like the creation of a financial plan without subsequent implementation. This can be useful if you only need advice for one specific purpose, rather than a long-term advisor. Fixed fees usually range from $1,000 to $3,000.

    Unavailable

    • Find one of the 1% of firms that offer this fee type

      Commissions

      Show Explanation

      Occasionally, advisors earn commissions from selling financial products, such as securities or insurance policies, or making certain referrals or transactions. Advisors who earn commissions may be incentivized to make certain recommendations to clients in order to make a commission. Fee-only advisors do not earn commissions, while fee-based advisors may.

    • Find one of the 26% of firms that offer this fee type

      Performance-based

      Show Explanation

      Advisors only earn performance-based fees if a portfolio outperforms a defined benchmark. This fee may be calculated in a number of ways but most commonly is charged as a percentage of investment profits. Performance-based fees may incentivize advisors to make riskier decisions in order to generate higher returns.

    • Find one of the 0% of firms that offer this fee type

      Subscription

      Show Explanation

      Firms generally charge this fee for educational materials provided, such as a monthly magazine. This can be useful if you want to learn about investing or financial management on your own.

    • Find one of the 10% of firms that offer this fee type

      Other

      Show Explanation

      Firms can sometimes charge customers using non-traditional fee structures. See this firm's Form ADV for more details.

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    Types of Clients

    Dfpg Investments, LLC works with retail investors, high net worth investors, pension plans and corporations. Out of its 10,642 accounts, Dfpg Investments, LLC's largest client group is retail investors, but it also serves 2,088 high-net-worth individuals. The SEC defines a high-net-worth individual as someone who has at least $750,000 under management or a net worth of at least $1.50 million or who is considered a "qualified purchaser" (a standard met by having at least $5 million in investments). None of the firm's clients are non-U.S. persons.

    • High-Net-Worth Individuals* - 28.66%
    • Other Individuals - 63.18%
    • Corporations - 8.15%
    • Charitable Organizations - 0%

    * The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.

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    Disclosures

    Dfpg Investments, LLC does not have any disclosures.

    Please visit its Form ADV for more details.

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    Financial Advisors at Dfpg Investments, LLC

    Keith Larsen
    Sandy, UT
    Bryan Sonderby
    Sandy, UT
    David Wrigley
    Sandy, UT
    Breanne Polonia
    Sandy, UT
    Robin Andersen
    Sandy, UT
    Ruben Vilorio
    Sandy, UT
    Kayla Daniel
    Sandy, UT
    Daniel Teague
    Sandy, UT
    Conor Gum
    Sandy, UT

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    The content in this profile was updated by SmartAsset on 4/16/2023. All advisor details come from publicly available data, and we cannot guarantee the accuracy of the content. We are unable to make individual profile updates. If you want your profile removed temporarily or permanently, please contact profile-compliance@smartasset.com.

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