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DFPG INVESTMENTS, LLC

SANDY, UT · CRD 155576 · IAPD ↗ · globalwealthpartnersinc.com · 801-838-9999

$0Regulatory AUM
0Advisory reps
20Employees
0Clients
1-10Planning clients
0Private funds
51States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

60
August 2024 — DFPG INVESTMENTS, LLC (SANDY, UT) left the SEC roster (was $0 RAUM, 0 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
50
April 2024 — DFPG INVESTMENTS, LLC shrank from 87 to 0 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.