First Trust Small Cap Gr AlphaDEX® ETF (FYC)

42.15 -0.03  -0.07% NASDAQ Jun 4, 20:00 Delayed 2m USD
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Key Stats

Net Asset Value 42.15
Discount or Premium to NAV 0.00%
Turnover Ratio 152.0%
1 Year Fund Level Flows -121.92M

Performance & Returns

  Total Return (Price) Total Return (NAV) Cat. Total Return (NAV) % Rank in Cat. (NAV)
1M 16.74% 16.60% 17.65% 55
3M -3.72% -3.90% 6.56% 86
6M -7.40% -7.42% 2.83% 84
YTD -9.68% -9.78% -0.50% 84
1Y -4.90% -4.97% 11.98% 93
3Y 3.95% 3.90% 9.96% 82
5Y 6.30% 6.30% 8.16% 70
10Y -- -- 12.02% --
15Y -- -- 9.04% --
20Y -- -- 7.21% --
As of June 4, 2020. Returns for periods of 1 year and above are annualized.

Asset Allocation

Type % Net % Long % Short
Cash 0.13% 0.13% 0.00%
Stock 99.87% 99.87% 0.00%
Bond 0.00% 0.00% 0.00%
Convertible 0.00% 0.00% 0.00%
Preferred 0.00% 0.00% 0.00%
Other 0.00% 0.00% 0.00%
As of June 2, 2020

Region Exposure

Americas 99.60%
North America 99.34%
Latin America 0.27%
Greater Europe 0.14%
United Kingdom 0.00%
Europe Developed 0.14%
Europe Emerging 0.00%
Africa/Middle East 0.00%
Greater Asia 0.26%
Japan 0.00%
Australasia 0.00%
Asia Developed 0.26%
Asia Emerging 0.00%
Market Classification
% Developed Markets 100.0%
% Emerging Markets 0.18%
As of June 2, 2020. Region breakdown data is calculated by using the long position holdings of the portfolio.

Stock Sector Exposure

Basic Materials 1.40%
Communication Services 2.31%
Consumer Cyclical 9.46%
Consumer Defensive 2.25%
Energy 0.21%
Financial Services 14.19%
Healthcare 25.80%
Industrials 12.22%
Real Estate 7.91%
Technology 22.24%
Utilities 2.00%
As of June 2, 2020

Stock Market Capitalization

Giant 0.00%
Large 0.00%
Medium 3.12%
Small 92.68%
Micro 4.20%
As of June 2, 2020

Stock Style Exposure

Large Cap Value 0.00%
Large Cap Blend 0.00%
Large Cap Growth 0.00%
Mid Cap Value 0.62%
Mid Cap Blend 0.61%
Mid Cap Growth 1.89%
Small Cap Value 10.70%
Small Cap Blend 26.55%
Small Cap Growth 59.64%
As of June 2, 2020
View More Holdings

Top 10 Holdings

Symbol Name % Weight Price % Chg
RDFN Redfin Corp 1.02% 35.75 +6.88%
CDLX Cardlytics Inc 0.86% 84.50 +8.17%
MBUU Malibu Boats Inc Class A 0.85% 54.14 +0.04%
ARNA Arena Pharmaceuticals Inc 0.82% 65.61 +0.40%
PFSI PennyMac Financial Services Inc Class A 0.80% 36.66 +2.63%
WING Wingstop Inc 0.79% 122.64 +1.49%
IRTC iRhythm Technologies Inc 0.79% 123.50 +0.02%
PZZA Papa John's International Inc 0.77% 79.47 -1.13%
APPF AppFolio Inc A 0.77% 176.48 +3.51%
MAXR Maxar Technologies Inc 0.77% 17.50 +5.61%
As of June 2, 2020
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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
Prospectus Objective Small Company
Fund Owner Firm Name First Trust
Benchmark Index
NASDAQ AlphaDEX(R) SC Growth TR USD 100.0%
Reports
One Page Report Download

Manager Info

Name Tenure
Chris Peterson 4.12 yrs
Daniel Lindquist 9.04 yrs
David McGarel 9.04 yrs
Jon Erickson 9.04 yrs
Roger Testin 9.04 yrs
Stan Ueland 9.04 yrs

Net Fund Flows

1M 387000.0
3M -37.96M
6M -70.33M
YTD -63.48M
1Y -121.92M
3Y 67.54M
5Y 110.13M
10Y --
As of May 31, 2020

Risk Info

Beta (5Y) 1.255
Max Drawdown (All) 47.85%
Historical Sharpe Ratio (10Y) --
Historical Sortino (All) 0.4163
30-Day Rolling Volatility 37.23%
Daily Value at Risk (VaR) 1% (All) 3.76%
Monthly Value at Risk (VaR) 1% (All) 20.95%

Fundamentals

Dividend Yield TTM (6-4-20) 0.43%
30-Day SEC Yield (4-30-20) 0.53%
7-Day SEC Yield --
Weighted Average PE Ratio 19.53
Weighted Average Price to Sales Ratio 1.913
Weighted Average Price to Book Ratio 2.861
Weighted Median ROE -1.19%
Weighted Median ROA -2.53%
Forecasted Dividend Yield 1.12%
Forecasted PE Ratio 19.61
Forecasted Price to Sales Ratio 1.730
Forecasted Price to Book Ratio 2.156
Number of Holdings 263
As of June 2, 2020

Growth Estimates

Forecasted 5 Yr Earnings Growth 12.77%
Forecasted Book Value Growth 6.77%
Forecasted Cash Flow Growth 9.66%
Forecasted Earnings Growth 11.45%
Forecasted Revenue Growth 6.32%
As of June 2, 2020

Comparables

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Attributes

Key Dates
Inception Date 4/19/2011
Termination Date
Last Annual Report Date 7/31/2019
Last Prospectus Date 12/2/2019
Attributes
Exchange Traded Share Yes
Exchange Traded Note No
Enhanced Index Fund No
Fixed Distribution Fund No
High-Net Worth Individual 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
General Availability
Available for Insurance Product No
Available for Retirement Plan No
Available for RRSP No
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