FYC
First Trust Small Cap Growth AlphaDEX Fund
First Trust Small Cap Value AlphaDEX Fund seeks investment results that correspond to the Defined Small Cap Value Index.
US
EQUITY
Rules-Based
MANAGEMENT STYLE
439.7 M
ASSETS UNDER MGMT
71 bp
EXPENSES
Fund Basics
| Fund sponsor | First Trust Advisors LP |
| Category | US |
| Asset class | Equity |
| Website | link... |
| Inception date | Apr 19, 2011 |
| Assets (mns) | $440 |
| Expense ratio | 71 bp |
| Currency | USD |
Sector Breakdown
Fund Structure
| Regulation | Open-Ended Fund |
| Distributions | Quarterly |
| Taxation | 1099 |
| Stock selection | Multi-Factor |
| Weighting | Tiered |
| Holdings Transparency | Full |
| Derivatives-based | No |
| Options available | Yes |
| Currency hedged | No |
| Fund of funds | No |
Top 10 Holdings
Complete list +
| SEZZLE INC | 2.3 % |
| CENTRUS ENERGY CORP. CLASS A | 1.5 % |
| FAMOUS DAVE'S OF AMERICA | 1.5 % |
| TUTOR PERINI CORP | 1.1 % |
| ARGAN INC | 1.0 % |
| REV GROUP, INC. | 0.8 % |
| ADAPTIVE BIOTECHNOLOGIES CORP. | 0.8 % |
| BIOCRYST PHARMACEUTICALS INC | 0.8 % |
| UNIVERSAL TECHNICAL INSTITUT | 0.8 % |
| LEMONADE INC | 0.8 % |
Constituent Breakdown
| Number of holdings | 265 |
| Herfindahl-Hirschman Index | 52 |
| Wgt avg mkt cap (mns) | $2,072 |
| Large cap (>$10bn) | 48.4% |
| Mid cap ($2-10bn) | 48.6% |
| Small cap (<$2bn) | 0.0% |
| Developed mkts. | 96.2% |
| Emerging mkts. | 0.4% |
Country Exposure
 |
UNITED STATES | 95.4 % |
 |
BAHAMAS | 0.5 % |
Historical Performance
Standardized Performance (as of 05/31/2025)
| YTD | 1 YR | 2 YR | 3 YR | 5 YR | 10 YR | 20 YR | Incep. | |
|---|---|---|---|---|---|---|---|---|
| Price Returns | -4.1% | 10.7% | 15.2% | 7.7% | 12.9% | 9.1% | -- | 9.6% |
| Dividend Yield | 0.0% | 0.5% | 0.6% | 0.4% | 0.4% | 0.3% | -- | 0.3% |
| Total Returns | -4.1% | 11.3% | 15.7% | 8.1% | 13.3% | 9.5% | -- | 9.8% | Ann. Volatility | 29.4% | 25.3% | 22.4% | 23.4% | 24.9% | 24.4% | -- | 23.5% |
Market Correlations
| versus... | Beta | R-squared |
| S&P 500 | 1.23 | 77% |
| MSCI EAFE | 0.85 | 39% |
| MSCI Emg Mkts | 0.58 | 18% |
Liquidity Measures
| Avg. volume (000) | 22 |
| ADV traded (mns) | $2 |
| Turnover | 0.4% |
| Avg. Bid/Ask (% of price) | 0.18% |
Technical Indicators
| Recent close | $75.17 |
| 30d moving avg. | $74.10 |
| Annualized volatility | 23.6% |
| Relative strength (RSI) | 55 |
| Short interest | 0.3% |
Distributions
Assets Under Management (mns)
Money Flows (mns)
Short Interest (as % of shares outstanding)
Long Money Flows (mns)
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Comparable ETFs Based on Overlap
| Ticker | Fund Name | Overlap vs. |
Expenses vs. |
ALTAR Score™ vs. |
|---|---|---|---|---|
| FYX | First Trust Small Cap Core AlphaDEX Fund | 43.8% | -10 bp | +6.8% |
| BBSC | JPMorgan BetaBuilders U.S. Small Cap Equity ETF | 23.1% | -62 bp | +4.8% |
| IJT | iShares S&P Small-Cap 600 Growth ETF | 23.0% | -53 bp | +5.9% |
| VIOG | Vanguard S&P Small-Cap 600 Growth ETF | 22.4% | -56 bp | +5.9% |
| SLYG | SPDR S&P 600 Small Cap Growth ETF | 22.4% | -56 bp | +5.9% |
| DWAS | Invesco Dorsey Wright SmallCap Momentum ETF | 21.8% | -11 bp | +2.2% |
| FAD | First Trust Multi Cap Growth AlphaDEX Fund | 20.1% | -7 bp | +2.4% |
| VTWG | Vanguard Russell 2000 Growth ETF | 19.8% | -56 bp | +1.5% |
| IWO | iShares Russell 2000 Growth ETF | 19.7% | -47 bp | +1.4% |
| EES | WisdomTree U.S. SmallCap Fund | 19.6% | -33 bp | +9.6% |
Risk and Returns: vs. Comps (1 YR)
Notes: Top 10 overlapping ETFs. Funds with insufficient history not shown. Some funds may overlap. Hover over data point for ticker symbol.
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Results & Estimates
| 2020 | 2021 | 2022 | 2023 | 2024 | 2025 | 2026 | ||
|---|---|---|---|---|---|---|---|---|
| Sales per share | -- | -- | -- | -- | -- | -- | -- | |
| change (%) | -- | -- | -- | -- | -- | -- | -- | |
| Earnings per share | -- | -- | -- | -- | -- | -- | -- | |
| change (%) | -- | -- | -- | -- | -- | -- | -- | |
| Dividends per share | -- | -- | -- | -- | -- | -- | -- | |
| change (%) | -- | -- | -- | -- | -- | -- | -- | |
| Book value per share | -- | -- | -- | -- | -- | -- | -- | |
| change (%) | -- | -- | -- | -- | -- | -- | -- |
Return on Equity
Net Margins
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Valuation Metrics
| Fwd Est | 2024 | 2025 | 2026 | |
| Price-to-sales | --x | --x | --x | --x |
| Price-to-earnings | --x | --x | --x | --x |
| Price-to-cash flow | --x | --x | --x | --x |
| Price-to-growth | --x | --x | --x | --x |
| Price-to-book value | --x | --x | --x | --x |
| Yield | --% | --% | --x | --% |
Based on closing prices from 6/16/2025
Peer Group Comparison Sample data. Subscribe for access.
Price-to-Earnings
Price-to-Sales
Price-to-Book Value
Price-to-Cash Flow
Price-to-Growth
Dividend Yield
Historical Valuation Trends Sample data. Subscribe for access.
SHOWING:
Price-to-Earnings
Price-to-Earnings
Notes: Based on adjusted historical results for current fund constituents. May differ from results achieved by past fund constituents. Max P/E of 100x.
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ETF Research Center Rating
AVOID
Not worthwhile for most investors. A rating of AVOID is assigned to ETFs with ALTAR Scores in the lowest quintile (the bottom 20%) of their category. Often, funds in this category consist of stocks with little if any history or expectation of profitability, and as a result our fundamentally-driven analysis may be less relevant.
ALTAR Score™
0.6%
Cat. Avg
5.9%
ALTAR Score™ Calculation
Category Overview
There are 935 funds in the US Equity category, with an average ALTAR Score™
of 5.9% and a standard deviation of
2.3%. 's ALTAR Score™ is approximately
2.3 standard deviations
below
the category average. This places in the 1st percentile among funds in the category.
Sell Side Consensus Rating
Sell-side recommendations on the ETF's individual constituents
FYCSELL
U/W
HOLD
O/W
BUY
Expense Analysis
| Peer Group | Rules-Based US Equity ETFs |
| # of ETFs | 609 |
| Avg. Expense Ratio | 46.6 bp |
| Std. Deviation | 32.9 bp |
| (71 bp) Percentile rank | 78 |
Peer Group Expense Ratio Distribution
Total Cost of Ownership (TCO) Comparison
| Expense (bp) (A) |
Avg. Bid/Ask (bp) (B) |
TCO (bp) (A)+(B) |
|
|---|---|---|---|
| 71.0 | 0.0 | 71 | |
| Peer Avg. | 32.3 | 15.4 | 47.7 |
For a detailed cost analysis of this and any other ETF use the TCO Comparison Tool .