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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
0.61% -0.35% 813.31M 54471.07
Dividend Yield Turnover Ratio 1 Year Fund Level Flows Max Drawdown (All)
1.14% 116.0% -26.20M 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 Core 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 stocks from the NASDAQ US 700 Small Cap Index TM (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/Blend
Fixed Income Style --
Broad Asset Class US Equity
Broad Category Equity
Category Name Small Blend
Category Index Russell 2000 TR USD
Global Category Name US Equity Small Cap
YCharts Categorization US Small Cap
YCharts Benchmark Russell 2000 Total Return (^RUTTR)
Prospectus Objective Small Company
Fund Owner Firm Name First Trust
Prospectus Benchmark Index
NASDAQ AlphaDEX(R) Small Cap Core TR USD 100.0%
Broad Asset Class Benchmark Index
^SPXTR 100.0%
Manager Tenure
Daniel Lindquist 15.58 yrs
David McGarel 15.58 yrs
Jon Erickson 15.58 yrs
Roger Testin 15.58 yrs
Stan Ueland 15.58 yrs
Chris Peterson 6.71 yrs
Erik Russo 1.92 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: 59
-26.20M
-3.636B Category Low
4.269B 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 November 30, 2022

Performance Versus Category

 
20%
15%
10%
5%
0
View Category Returns. Upgrade now.
Name
1M
3M
YTD
1Y
3Y
5Y
10Y
15Y
Total Return (Price)
--
--
--
--
--
--
--
--
Total Return (NAV)
--
--
--
--
--
--
--
--
Category Rtn. (NAV)
--
--
--
--
--
--
--
--
% Rank in Cat (NAV)
--
--
--
--
--
--
--
--
As of December 07, 2022. Returns for periods of 1 year and above are annualized.

Annual Total Returns Versus Peers

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Name
2015
2016
2017
2018
2019
2020
2021
YTD
-9.10%
23.09%
14.34%
-10.63%
21.33%
19.47%
27.41%
-16.64%
1.38%
11.96%
21.83%
-4.38%
31.49%
18.40%
28.71%
-16.19%
2.70%
31.44%
8.56%
-5.38%
22.36%
-17.33%
29.34%
-9.87%
-5.00%
20.65%
12.79%
-13.12%
22.20%
20.88%
18.68%
-21.51%
--
35.68%
4.62%
-0.60%
17.23%
-4.72%
18.98%
-3.59%
--
20.62%
12.70%
-8.41%
21.56%
8.37%
26.54%
-10.08%
As of December 07, 2022.

Fundamentals

General
Distribution Yield Upgrade
Dividend Yield TTM (12-7-22) 1.14%
30-Day SEC Yield (10-31-22) Upgrade
7-Day SEC Yield --
Number of Holdings Upgrade
Stock
Weighted Average PE Ratio 9.304
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 December 06, 2022

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 December 06, 2022

Asset Allocation

As of December 06, 2022.
Type % Net % Long % Short
Cash 0.13% Upgrade Upgrade
Stock 99.87% 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
Super Micro Computer Inc 0.45% 86.10 -0.21%
Extreme Networks Inc 0.43% 19.55 -0.20%
Urban Outfitters Inc 0.42% 29.04 0.94%
e.l.f. Beauty Inc 0.41% 54.50 -0.57%
CoreCivic Inc 0.41% 11.96 -6.85%
Worthington Industries Inc 0.41% 55.28 0.11%
Genworth Financial Inc 0.41% 5.00 0.00%
Impinj Inc 0.40% 114.06 0.70%
PennyMac Financial Services Inc Class A 0.39% 58.65 0.10%
Group 1 Automotive Inc 0.38% 189.19 -1.46%

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 Core 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 stocks from the NASDAQ US 700 Small Cap Index TM (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/Blend
Fixed Income Style --
Broad Asset Class US Equity
Broad Category Equity
Category Name Small Blend
Category Index Russell 2000 TR USD
Global Category Name US Equity Small Cap
YCharts Categorization US Small Cap
YCharts Benchmark Russell 2000 Total Return (^RUTTR)
Prospectus Objective Small Company
Fund Owner Firm Name First Trust
Prospectus Benchmark Index
NASDAQ AlphaDEX(R) Small Cap Core TR USD 100.0%
Broad Asset Class Benchmark Index
^SPXTR 100.0%
Manager Tenure
Daniel Lindquist 15.58 yrs
David McGarel 15.58 yrs
Jon Erickson 15.58 yrs
Roger Testin 15.58 yrs
Stan Ueland 15.58 yrs
Chris Peterson 6.71 yrs
Erik Russo 1.92 yrs

Fundamentals

General
Distribution Yield Upgrade
Dividend Yield TTM (12-7-22) 1.14%
30-Day SEC Yield (10-31-22) Upgrade
7-Day SEC Yield --
Number of Holdings Upgrade
Stock
Weighted Average PE Ratio 9.304
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 December 06, 2022

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 December 06, 2022

Fund Details

Key Dates
Inception Date 5/8/2007
Last Annual Report Date 7/31/2021
Last Prospectus Date 12/1/2022
Attributes
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

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