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Key Stats

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Expense Ratio Discount or Premium to NAV Total Assets Under Management 30-Day Average Daily Volume
0.70% 0.02% 161.18M 42465.13
Dividend Yield Turnover Ratio 1 Year Fund Level Flows Max Drawdown (All)
0.32% 137.0% -92.52M Upgrade

Basic Info

Investment Strategy
The investment seeks investment results that correspond generally to the price and yield (before the fund's fees and expenses) of an equity index called the Nasdaq AlphaDEX® Small Cap Growth Index. The fund will normally invest at least 90% of its net assets (including investment borrowings) in the common stocks that comprise the index. The index is designed to select growth stocks from the NASDAQ US 700 Small Cap Index (the "base index") that may generate positive alpha, or risk-adjusted returns, relative to traditional indices through the use of the AlphaDEX® selection methodology.
General
Security Type Exchange-Traded Fund
Equity Style Small Cap/Growth
Fixed Income Style --
Broad Asset Class US Equity
Broad Category Equity
Category Name Small Growth
Category Index Russell 2000 Growth TR USD
Prospectus Objective Small Company
Fund Owner Firm Name First Trust
Prospectus Benchmark Index
NASDAQ AlphaDEX(R) SC Growth TR USD 100.0%
Broad Asset Class Benchmark Index
^SPXTR 100.0%
Manager Tenure
Daniel Lindquist 9.46 yrs
David McGarel 9.46 yrs
Jon Erickson 9.46 yrs
Roger Testin 9.46 yrs
Stan Ueland 9.46 yrs
Chris Peterson 4.54 yrs

Net Fund Flows Versus Category

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1M
3M
6M
YTD
1Y
3Y
5Y
10Y
 
80.00B
60.00B
40.00B
20.00B
0
-20.00B
1 Month
% Rank: --
-- Category Low
-- Category High
1 Year
% Rank: 70
-92.52M
-1.795B Category Low
2.482B Category High
3 Months
% Rank: --
-- Category Low
-- Category High
3 Years
% Rank: --
-- Category Low
-- Category High
6 Months
% Rank: --
-- Category Low
-- Category High
5 Years
% Rank: --
-- Category Low
-- Category High
YTD
% Rank: --
-- Category Low
-- Category High
10 Years
% Rank: --
-- Category Low
-- Category High
As of September 30, 2020

Performance Versus Category

 
20%
15%
10%
5%
0
View Category Returns. Upgrade now.
Name
1M
3M
6M
YTD
1Y
3Y
5Y
10Y
Total Return (Price)
--
--
--
--
--
--
--
--
Total Return (NAV)
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--
--
--
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Category Rtn. (NAV)
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% Rank in Cat (NAV)
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As of October 29, 2020. Returns for periods of 1 year and above are annualized.

Annual Total Returns Versus Peers

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Name
2013
2014
2015
2016
2017
2018
2019
YTD
43.46%
-1.12%
1.20%
13.83%
22.97%
-5.54%
16.79%
3.71%
32.39%
13.69%
1.38%
11.96%
21.83%
-4.38%
31.49%
4.02%
43.55%
1.49%
0.83%
20.35%
19.18%
-8.69%
14.25%
-6.86%
43.36%
6.19%
-1.14%
10.46%
22.26%
-9.44%
28.76%
6.94%
50.12%
-1.59%
-3.51%
8.04%
20.83%
-10.68%
31.39%
7.18%
42.26%
4.01%
2.70%
22.07%
14.47%
-4.39%
20.99%
-5.44%
As of October 29, 2020.

Fundamentals

General
Distribution Yield Upgrade
Dividend Yield TTM (10-29-20) 0.32%
30-Day SEC Yield (9-30-20) Upgrade
7-Day SEC Yield --
Number of Holdings Upgrade
Stock
Weighted Average PE Ratio 17.99
Weighted Average Price to Sales Ratio Upgrade
Weighted Average Price to Book Ratio Upgrade
Weighted Median ROE Upgrade
Weighted Median ROA Upgrade
Forecasted Dividend Yield Upgrade
Forecasted PE Ratio Upgrade
Forecasted Price to Sales Ratio Upgrade
Forecasted Price to Book Ratio Upgrade
As of October 28, 2020

Growth Estimates

Forecasted 5 Yr Earnings Growth Upgrade
Forecasted Book Value Growth Upgrade
Forecasted Cash Flow Growth Upgrade
Forecasted Earnings Growth Upgrade
Forecasted Revenue Growth Upgrade
As of October 28, 2020

Asset Allocation

As of October 28, 2020.
Type % Net % Long % Short
Cash 0.02% Upgrade Upgrade
Stock 99.98% Upgrade Upgrade
Bond 0.00% Upgrade Upgrade
Convertible 0.00% Upgrade Upgrade
Preferred 0.00% Upgrade Upgrade
Other 0.00% Upgrade Upgrade

Top 10 Holdings

Name % Weight Price % Change
At Home Group Inc 0.90% 16.56 -22.33%
Stitch Fix Inc Class A 0.87% 38.14 0.55%
Calix Inc 0.84% 24.20 0.58%
Sleep Number Corp 0.80% 63.89 1.62%
Crocs Inc 0.79% 53.99 0.11%
Range Resources Corp 0.75% 7.76 -2.02%
Forterra Inc 0.75% 13.02 -7.86%
Cerence Inc Ordinary Shares 0.74% 59.49 2.68%
Big Lots Inc 0.73% 50.26 -4.16%
Avaya Holdings Corp 0.73% 17.73 0.28%

Basic Info

Investment Strategy
The investment seeks investment results that correspond generally to the price and yield (before the fund's fees and expenses) of an equity index called the Nasdaq AlphaDEX® Small Cap Growth Index. The fund will normally invest at least 90% of its net assets (including investment borrowings) in the common stocks that comprise the index. The index is designed to select growth stocks from the NASDAQ US 700 Small Cap Index (the "base index") that may generate positive alpha, or risk-adjusted returns, relative to traditional indices through the use of the AlphaDEX® selection methodology.
General
Security Type Exchange-Traded Fund
Equity Style Small Cap/Growth
Fixed Income Style --
Broad Asset Class US Equity
Broad Category Equity
Category Name Small Growth
Category Index Russell 2000 Growth TR USD
Prospectus Objective Small Company
Fund Owner Firm Name First Trust
Prospectus Benchmark Index
NASDAQ AlphaDEX(R) SC Growth TR USD 100.0%
Broad Asset Class Benchmark Index
^SPXTR 100.0%
Manager Tenure
Daniel Lindquist 9.46 yrs
David McGarel 9.46 yrs
Jon Erickson 9.46 yrs
Roger Testin 9.46 yrs
Stan Ueland 9.46 yrs
Chris Peterson 4.54 yrs

Fundamentals

General
Distribution Yield Upgrade
Dividend Yield TTM (10-29-20) 0.32%
30-Day SEC Yield (9-30-20) Upgrade
7-Day SEC Yield --
Number of Holdings Upgrade
Stock
Weighted Average PE Ratio 17.99
Weighted Average Price to Sales Ratio Upgrade
Weighted Average Price to Book Ratio Upgrade
Weighted Median ROE Upgrade
Weighted Median ROA Upgrade
Forecasted Dividend Yield Upgrade
Forecasted PE Ratio Upgrade
Forecasted Price to Sales Ratio Upgrade
Forecasted Price to Book Ratio Upgrade
As of October 28, 2020

Growth Estimates

Forecasted 5 Yr Earnings Growth Upgrade
Forecasted Book Value Growth Upgrade
Forecasted Cash Flow Growth Upgrade
Forecasted Earnings Growth Upgrade
Forecasted Revenue Growth Upgrade
As of October 28, 2020

Fund Details

Key Dates
Inception Date 4/19/2011
Last Annual Report Date 7/31/2020
Last Prospectus Date 12/2/2019
Attributes
Enhanced Index Fund No
Index Fund Yes
Inverse Fund No
Leveraged Fund No
Fund of Funds No
Currency Hedged Fund No
Synthetic Replication Fund No
Has Dividend Investment Plan No
Socially Responsible Fund No