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First Trust Small Cap Growth AlphaDEX® Fund

etf
FYC
Dividend policy
Active
Price as of:
$56.45 +0.84 +0%
primary theme
U.S. Small-Cap Growth Equity
FYC (ETF)

First Trust Small Cap Growth AlphaDEX® Fund

Dividend policy
Active
Price as of:
$56.45 +0.84 +0%
primary theme
U.S. Small-Cap Growth Equity
FYC (ETF)
First Trust Small Cap Growth AlphaDEX® Fund
Dividend policy
Active
Price as of:
$56.45 +0.84 +0%
primary theme
U.S. Small-Cap Growth Equity

FYC - Snapshot

Vitals

  • YTD Return 21.0%
  • 3 Yr Annualized Return 4.3%
  • 5 Yr Annualized Return 9.0%
  • Net Assets $158 M
  • Holdings in Top 10 7.8%

52 WEEK LOW AND HIGH

$55.61
$27.59
$56.45

Expenses

OPERATING RELATED FEES

  • Expense Ratio 0.70%

SALES FEES

  • Front Load N/A
  • Deferred Load N/A

BROKERAGE FEES

  • Turnover 137.00%

TRADING FEES

  • Max Redemption Fee N/A

Min Investment

  • Standard (Taxable) N/A
  • IRA N/A

Fund Classification

  • Primary Theme U.S. Small-Cap Growth Equity
  • Fund Type Exchange Traded Fund
  • Investment Style Small Growth

Compare FYC to Popular U.S. Small-Cap Growth Equity Funds

Overview

Next Dividend

Income Profile

Income Risk

Returns Profile

Allocations

Expenses

About

Dividend.com Ratings*

$367.47

+1.41%

$871.24 M

0.56%

$2.03

blocked
blocked
blocked

23.85%

-

$21.60

+0.47%

$693.26 M

0.58%

$0.12

blocked
blocked
blocked

11.57%

-

$12.06

+0.33%

$348.43 M

0.79%

$0.09

blocked
blocked
blocked

12.50%

-

$20.95

+1.95%

$158.60 M

-

$0.00

blocked
blocked
blocked

72.43%

-

$18.11

+1.06%

$35.08 M

-

$0.00

blocked
blocked
blocked

6.34%

-

Compare FYC to Popular U.S. Small-Cap Growth Equity ETFs

Overview

Next Dividend

Income Profile

Income Risk

Returns Profile

Allocations

Expenses

About

Dividend.com Ratings*

$248.83

+1.20%

$27.60 B

0.34%

$0.83

blocked
blocked
blocked

25.23%

-

$264.63

+1.23%

$9.13 B

0.56%

$1.46

blocked
blocked
blocked

23.53%

-

$106.88

+0.28%

$4.12 B

0.75%

$0.80

blocked
blocked
blocked

-44.71%

-

$71.56

+0.25%

$1.53 B

0.76%

$0.54

blocked
blocked
blocked

10.91%

-

$192.20

+1.00%

$871.24 M

0.52%

$0.98

blocked
blocked
blocked

23.35%

-

FYC - Profile

Distributions

  • YTD Total Return 21.0%
  • 3 Yr Annualized Total Return 4.3%
  • 5 Yr Annualized Total Return 9.0%
  • Capital Gain Distribution Frequency N/A
  • Net Income Ratio 0.44%
DIVIDENDS
  • Dividend Yield 0.3%
  • Dividend Distribution Frequency Quarterly

Fund Details

  • Legal Name
    First Trust Small Cap Growth AlphaDEX® Fund
  • Fund Family Name
    First Trust
  • Inception Date
    Apr 19, 2011
  • Shares Outstanding
    3350002
  • Share Class
    N/A
  • Currency
    USD
  • Domiciled Country
    United States
  • Manager
    Daniel Lindquist

Fund Description

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.


FYC - Performance

Return Ranking - Trailing

Period FYC Return Category Return Low Category Return High Rank in Category (%)
YTD 21.0% -44.7% 319.9% 60.81%
1 Yr 5.7% -25.1% 76.7% 85.40%
3 Yr 4.3%* -12.1% 32.7% 84.85%
5 Yr 9.0%* -4.5% 27.5% 76.73%
10 Yr N/A* -3.4% 21.7% N/A

* Annualized

Return Ranking - Calendar

Period FYC Return Category Return Low Category Return High Rank in Category (%)
2019 16.3% -9.6% 42.9% 76.16%
2018 -5.6% -76.3% 13.6% 9.09%
2017 22.8% -52.6% 37.0% 18.34%
2016 13.5% -49.0% 26.1% 19.04%
2015 1.0% -59.6% 8.6% 6.00%

Total Return Ranking - Trailing

Period FYC Return Category Return Low Category Return High Rank in Category (%)
YTD 21.0% -44.7% 319.9% 60.81%
1 Yr 5.7% -28.8% 76.7% 82.55%
3 Yr 4.3%* -13.1% 32.7% 83.20%
5 Yr 9.0%* -4.9% 27.5% 75.68%
10 Yr N/A* -3.7% 21.7% N/A

* Annualized

Total Return Ranking - Calendar

Period FYC Return Category Return Low Category Return High Rank in Category (%)
2019 16.3% -9.6% 42.9% 76.16%
2018 -5.6% -54.2% 14.5% 25.21%
2017 22.8% -8.4% 42.0% 41.02%
2016 13.5% -16.4% 31.4% 23.65%
2015 1.0% -59.6% 19.3% 12.85%

FYC - Holdings

Concentration Analysis

FYC Category Low Category High FYC % Rank
Net Assets 158 M 1.64 M 27.6 B 74.18%
Number of Holdings 263 1 2040 14.55%
Net Assets in Top 10 12.6 M 302 K 3.26 B 86.70%
Weighting of Top 10 7.77% 5.7% 100.0% 98.44%

Top 10 Holdings

  1. Vivint Solar Inc 2.45%
  2. iRhythm Technologies Inc 1.18%
  3. Trupanion Inc 1.06%
  4. Mr. Cooper Group Inc 1.03%
  5. Plug Power Inc 0.94%
  6. Stitch Fix Inc Class A 0.87%
  7. SailPoint Technologies Holdings Inc 0.86%
  8. Installed Building Products Inc 0.85%
  9. Calix Inc 0.84%
  10. SunPower Corp 0.84%

Asset Allocation

Weighting Return Low Return High FYC % Rank
Stocks
99.98% 52.72% 100.90% 5.95%
Cash
0.02% -3.62% 23.75% 89.98%
Preferred Stocks
0.00% 0.00% 4.21% 66.67%
Other
0.00% -6.62% 24.04% 70.27%
Convertible Bonds
0.00% 0.00% 0.15% 63.22%
Bonds
0.00% 0.00% 1.94% 64.01%

Stock Sector Breakdown

Weighting Return Low Return High FYC % Rank
Healthcare
25.74% 0.00% 49.47% 67.29%
Technology
19.43% 8.25% 76.43% 81.53%
Industrials
15.83% 0.00% 33.63% 53.21%
Consumer Cyclical
12.39% 0.00% 30.75% 45.07%
Financial Services
9.29% 0.00% 20.64% 21.91%
Real Estate
7.32% 0.00% 15.27% 5.79%
Consumer Defense
3.26% 0.00% 16.96% 76.53%
Communication Services
3.10% 0.00% 18.20% 29.42%
Basic Materials
1.86% 0.00% 11.71% 47.10%
Energy
1.40% 0.00% 48.50% 11.27%
Utilities
0.38% 0.00% 4.53% 28.48%

Stock Geographic Breakdown

Weighting Return Low Return High FYC % Rank
US
99.35% 2.12% 100.90% 5.32%
Non US
0.63% 0.00% 94.09% 84.98%

FYC - Expenses

Operational Fees

FYC Fees (% of AUM) Category Return Low Category Return High Rank in Category (%)
Expense Ratio 0.70% 0.05% 36.03% 92.15%
Management Fee 0.70% 0.05% 1.50% 27.43%
12b-1 Fee 0.00% 0.00% 1.00% 16.29%
Administrative Fee N/A 0.01% 0.40% N/A

Sales Fees

FYC Fees (% of AUM) Category Return Low Category Return High Rank in Category (%)
Front Load N/A 2.50% 5.75% N/A
Deferred Load N/A 1.00% 5.50% N/A

Trading Fees

FYC Fees (% of AUM) Category Return Low Category Return High Rank in Category (%)
Max Redemption Fee N/A 1.00% 2.00% N/A

Related Fees

Turnover provides investors a proxy for the trading fees incurred by mutual fund managers who frequently adjust position allocations. Higher turnover means higher trading fees.

FYC Fees (% of AUM) Category Return Low Category Return High Rank in Category (%)
Turnover 137.00% 4.00% 442.00% 91.81%

FYC - Distributions

Dividend Yield Analysis

FYC Category Low Category High FYC % Rank
Dividend Yield 0.27% 0.00% 23.30% 4.54%

Dividend Distribution Analysis

FYC Category Low Category High Category Mod
Dividend Distribution Frequency Quarterly Annually Annually Annually

Net Income Ratio Analysis

FYC Category Low Category High FYC % Rank
Net Income Ratio 0.44% -3.17% 1.37% 5.88%

Capital Gain Distribution Analysis

FYC Category Low Category High Capital Mode
Capital Gain Distribution Frequency Annually Annually Annually

Dividend Payout History

View More +

FYC - Fund Manager Analysis

Managers

Daniel Lindquist


Start Date

Tenure

Tenure Rank

Apr 19, 2011

9.54

9.5%

Daniel J. Lindquist, CFA, was born in 1970. Mr. Lindquist earned a B.A. in Business Economics from Wheaton College and has an MBA in Finance from the University of Chicago. He has been with First Trust Advisors L.P. since 2004 and is a Managing Director. Mr. Lindquist is the Chairman of the Investment Committee and is responsible for the overall supervision of the Separate Managed Accounts.

Jon Erickson


Start Date

Tenure

Tenure Rank

Apr 19, 2011

9.54

9.5%

Jon C. Erickson, CFA, was born in 1966. Mr. Erickson earned a B.S. in Computer Science from the University of Illinois and has an MBA from the University of Illinois in Finance. He has been with First Trust Advisors L.P. since 1994 and he is a Portfolio Manager and Senior Vice President. As the head of FTA’s Equity Research Group, Mr. Erickson shall be responsible for determining the securities to be purchased and sold by Funds that do not utilize quantitative investment strategies on behalf of the Investment Committee.

David McGarel


Start Date

Tenure

Tenure Rank

Apr 19, 2011

9.54

9.5%

David G. McGarel, CFA, was born in 1966. Mr. McGarel earned a B.S. in Accounting from the University of Notre Dame. He has been with First Trust Advisors L.P. since 1997 and he is a Managing Director, Chief Operating Officer and the Chief Investment Officer. As head of FTA’s Strategy Research Group, Mr. McGarel shall be responsible for developing and implementing quantitative investment strategies for those Funds that have investment policies that require them to follow such strategies, on behalf of the Investment Committee.

Roger Testin


Start Date

Tenure

Tenure Rank

Apr 19, 2011

9.54

9.5%

Roger F. Testin, CFA, was born in 1966. Mr. Testin earned a B.S. in Accounting from the University of Illinois and has an MBA in Finance from the University of Chicago. He has been with First Trust Advisors L.P. since 2001 and he is a Portfolio Manager and Senior Vice President. As Product Manager for the VA’s, SMA’s and International Managed Products, Mr. Testin shall be responsible for the daily implementation and execution of the strategies for these product vehicles on behalf of the Investment Committee.

Stan Ueland


Start Date

Tenure

Tenure Rank

Apr 19, 2011

9.54

9.5%

Mr. Ueland joined First Trust Advisors as a Vice President in August 2005 and has been a Senior Vice President of First Trust and FTP since September 2012. At First Trust, he plays an important role in executing the investment strategies of each portfolio of exchange-traded funds advised by First Trust. Before joining First Trust, he was vice president of sales at BondWave LLC from May 2004 through August 2005, an account executive for Mina Capital Management LLC and Samaritan Asset Management LLC from January 2003 through May 2004, and a sales consultant at Oracle Corporation from January 1997 through January 2003.

Chris Peterson


Start Date

Tenure

Tenure Rank

Mar 18, 2016

4.62

4.6%

Chris A. Peterson, CFA was born in 1975. Mr. Peterson earned a B.S in Finance from Bradley University and has an MBA from the University of Chicago Booth School of Business with concentrations in Analytic Finance & Accounting. He has been with First Trust Advisors L.P. since 2000. As head of FTA’s Portfolio Advisor’s Strategy Research Group, Mr. Peterson shall be responsible for developing and implementing quantitative equity strategies on behalf of the Investment Committee.

Tenure Analysis

Category Low Category High Category Average Category Mode
0.02 29.26 8.22 3.67

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