AFSM vs. FYT ETF Comparison

Comparison of Active Factor Small Cap ETF (AFSM) to First Trust Small Cap Value AlphaDEX Fund (FYT)

AFSM

Active Factor Small Cap ETF

AFSM Description

The investment seeks to provide capital appreciation. Under normal market conditions, the fund will invest at least 80% of its net assets (including investment borrowings) in U.S.-listed equity securities issued by small capitalization companies. The manager defines small capitalization companies as those that, at the time of investment, have a market capitalization between a minimum of $250 million and the maximum market capitalization of a widely recognized index of small capitalization companies based upon the composition of the index at the time of investment. It is non-diversified.

Grade (RS Rating)

Last Trade

$30.33

Average Daily Volume

7,557

Number of Holdings ^*

294

* may have additional holdings in another (foreign) market

FYT

First Trust Small Cap Value AlphaDEX Fund

FYT Description

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 Value 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 value 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.

Grade (RS Rating)

Last Trade

$55.55

Average Daily Volume

23,255

Number of Holdings ^*

251

* may have additional holdings in another (foreign) market

Performance

Period	AFSM	FYT
30 Days	1.91%	1.41%
60 Days	1.61%	-0.48%
90 Days	8.56%	8.75%
12 Months	25.46%	17.71%

60 Overlapping Holdings

Symbol	Grade	Weight in AFSM	Weight in FYT	Overlap
ADNT	F	0.2%	0.5%	0.2%
ADUS	B	0.46%	0.14%	0.14%
AMN	F	0.07%	0.43%	0.07%
ANDE	D	0.05%	0.47%	0.05%
APAM	C	0.05%	0.12%	0.05%
APOG	B	0.31%	0.37%	0.31%
BDC	B	0.36%	0.27%	0.27%
BKE	B	0.3%	0.42%	0.3%
BKU	C	0.26%	0.59%	0.26%
BNL	B	0.33%	0.72%	0.33%
BXC	D	0.47%	0.39%	0.39%
CALM	B	0.63%	0.57%	0.57%
CASH	B	0.33%	0.42%	0.33%
CNXN	B	0.38%	0.28%	0.28%
CSGS	C	0.13%	0.28%	0.13%
CTS	D	0.05%	0.11%	0.05%
DFIN	B	0.54%	0.28%	0.28%
DNOW	D	0.27%	0.54%	0.27%
EIG	B	0.13%	0.69%	0.13%
FBP	C	0.35%	0.13%	0.13%
FDP	B	0.58%	0.16%	0.16%
GEO	F	0.3%	0.32%	0.3%
GES	F	0.19%	0.57%	0.19%
HE	F	0.05%	0.78%	0.05%
HIW	B	0.38%	0.62%	0.38%
HUBG	C	0.29%	0.52%	0.29%
IBOC	C	0.3%	0.52%	0.3%
IMKTA	D	0.25%	0.66%	0.25%
INVA	B	0.13%	0.75%	0.13%
KN	D	0.23%	0.36%	0.23%
KSS	F	0.08%	0.53%	0.08%
LGND	C	0.39%	0.45%	0.39%
MCY	C	0.59%	0.27%	0.27%
MLKN	D	0.09%	0.36%	0.09%
NAVI	C	0.21%	0.53%	0.21%
NHC	D	1.27%	0.29%	0.29%
NMIH	B	0.68%	0.73%	0.68%
NX	D	0.2%	0.61%	0.2%
ODP	F	0.36%	0.36%	0.36%
OFG	C	0.6%	0.42%	0.42%
OMI	D	0.07%	0.39%	0.07%
PCRX	F	0.11%	0.22%	0.11%
PFBC	C	0.82%	0.52%	0.52%
PFS	B	0.3%	0.15%	0.15%
PHIN	B	0.28%	0.72%	0.28%
PLUS	B	0.61%	0.3%	0.3%
PRDO	D	0.45%	0.51%	0.45%
PRG	B	0.28%	0.81%	0.28%
REVG	C	0.05%	0.54%	0.05%
REZI	D	0.5%	0.47%	0.47%
RYI	F	0.03%	0.58%	0.03%
SBH	B	0.22%	0.58%	0.22%
SLVM	B	0.58%	0.4%	0.4%
STBA	B	0.59%	0.62%	0.59%
TGNA	C	0.49%	0.63%	0.49%
TRMK	C	0.31%	0.26%	0.26%
VCTR	B	0.18%	0.27%	0.18%
VSH	D	0.19%	0.51%	0.19%
WGO	D	0.07%	0.51%	0.07%
XRX	F	0.21%	0.11%	0.11%

AFSM Overweight 234 Positions Relative to FYT

Symbol	Grade	Weight
MLI	B	1.13%
ALKS	C	0.97%
IDCC	B	0.95%
SKYW	C	0.93%
CPRX	B	0.89%
ANF	D	0.88%
MTG	B	0.85%
MHO	B	0.84%
RDN	B	0.83%
SFM	B	0.81%
TNK	D	0.8%
HALO	B	0.79%
DAKT	D	0.79%
CRS	B	0.77%
UVE	B	0.76%
TMHC	B	0.72%
CVLT	B	0.71%
BCC	C	0.71%
NHI	A	0.68%
TBBK	B	0.67%
EME	B	0.66%
ZETA	B	0.64%
NTB	C	0.64%
BMI	B	0.63%
COOP	B	0.63%
HWKN	B	0.63%
JXN	B	0.63%
COKE	C	0.62%
FIX	B	0.62%
ACT	A	0.6%
SANM	D	0.6%
CRVL	B	0.6%
GMED	D	0.6%
MUSA	C	0.6%
UFPT	C	0.6%
AROC	C	0.59%
SUPN	C	0.59%
LNTH	C	0.59%
SLG	B	0.59%
DOLE	A	0.58%
KBH	B	0.58%
HSII	C	0.57%
GMS	C	0.56%
STRL	B	0.56%
PRK	C	0.56%
APPF	D	0.54%
CEIX	D	0.54%
CHCO	B	0.54%
HRB	C	0.53%
PI	B	0.52%
RMR	C	0.5%
CAL	F	0.5%
TEX	D	0.49%
AMWD	C	0.49%
EVER	D	0.49%
IIPR	B	0.49%
BELFB	C	0.49%
BRBR	B	0.48%
BTU	D	0.47%
YOU	B	0.47%
WFRD	F	0.47%
BLBD	C	0.46%
VRNT	F	0.46%
EGBN	C	0.46%
PINC	C	0.46%
LPG	F	0.46%
DDS	D	0.45%
HRMY	B	0.44%
ESNT	B	0.44%
PLAB	F	0.43%
YMAB	C	0.43%
SPNS	D	0.42%
CSWI	B	0.41%
RXST	C	0.41%
WNC	F	0.41%
M	F	0.4%
MTH	B	0.4%
CCRN	F	0.39%
ANIP	D	0.39%
CORT	B	0.39%
PBF	F	0.38%
INMD	D	0.38%
PRGS	C	0.37%
TMDX	C	0.37%
AMR	F	0.36%
BPMC	D	0.36%
AVNS	B	0.36%
GRBK	B	0.36%
POWL	C	0.36%
PDM	B	0.36%
TWI	D	0.36%
SCS	B	0.35%
HDSN	D	0.35%
ASO	C	0.35%
SIG	C	0.34%
ATKR	F	0.34%
LOPE	D	0.33%
DXC	C	0.32%
LRN	B	0.32%
CUZ	B	0.32%
CVNA	B	0.32%
MOG.A	B	0.32%
MATX	C	0.32%
CRAI	C	0.32%
QTWO	B	0.32%
ASC	D	0.31%
HIMS	D	0.31%
PRMW	A	0.31%
CNK	B	0.31%
VRNS	C	0.3%
CMC	D	0.3%
RDNT	B	0.3%
TILE	B	0.3%
AKR	C	0.3%
SBRA	B	0.3%
GIII	C	0.29%
BKH	B	0.29%
TCMD	C	0.28%
ATGE	D	0.28%
VIRT	B	0.28%
THFF	B	0.28%
MEDP	D	0.28%
GNK	D	0.27%
INSW	D	0.27%
PSN	B	0.27%
USLM	B	0.27%
HURN	C	0.27%
MD	C	0.27%
MRVI	C	0.26%
MED	F	0.26%
BHE	C	0.26%
AZZ	C	0.26%
SIGA	D	0.25%
ADMA	B	0.25%
VNDA	D	0.25%
ITCI	D	0.25%
AMKR	F	0.25%
HCI	C	0.25%
SMP	C	0.24%
IESC	C	0.24%
CMPR	F	0.24%
ABG	F	0.24%
ONTO	F	0.23%
HCC	F	0.23%
NUS	F	0.23%
NTCT	D	0.23%
PRM	B	0.23%
KELYA	D	0.23%
STNG	D	0.22%
DHT	C	0.22%
PIPR	B	0.22%
INTA	B	0.22%
HLX	D	0.22%
ENS	C	0.22%
LMAT	B	0.22%
AXSM	C	0.21%
WABC	D	0.21%
HOV	C	0.21%
TNC	D	0.21%
NSSC	F	0.21%
PK	D	0.21%
HAE	D	0.21%
GOGL	D	0.2%
HY	D	0.2%
ASGN	D	0.2%
BLFS	D	0.2%
SD	D	0.19%
UCTT	F	0.19%
KRC	B	0.19%
SXC	F	0.19%
EXTR	C	0.19%
CRDO	D	0.18%
SCVL	B	0.18%
AGX	C	0.17%
SGBX	F	0.17%
BRC	B	0.17%
OSCR	B	0.16%
NVST	D	0.16%
MAX	C	0.15%
SCSC	D	0.15%
CLW	F	0.15%
HROW	B	0.15%
CWCO	F	0.15%
TGTX	B	0.15%
TPC	C	0.15%
CECO	D	0.14%
MOV	F	0.14%
ALRM	F	0.14%
TARS	C	0.14%
AYI	B	0.13%
TWST	D	0.13%
CHRD	F	0.13%
CGEM	F	0.13%
METC	F	0.12%
ASTH	B	0.12%
SPSC	D	0.11%
ALKT	D	0.11%
AIT	C	0.11%
YEXT	C	0.1%
GFF	C	0.1%
AMCX	F	0.1%
KRYS	D	0.09%
RAMP	F	0.09%
TPH	C	0.08%
KTB	B	0.08%
CTRE	B	0.08%
JWN	B	0.07%
NSIT	C	0.07%
COLL	B	0.06%
EOLS	C	0.06%
VSTO	B	0.06%
ATEN	C	0.05%
FORM	F	0.05%
ETH	D	0.05%
OTTR	D	0.05%
SWX	C	0.05%
PHR	C	0.05%
GRND	B	0.05%
AMPH	C	0.05%
FTDR	B	0.05%
OGS	B	0.05%
EMBC	C	0.04%
JBI	F	0.04%
PGNY	F	0.04%
LBRT	D	0.04%
TDC	F	0.04%
SEMR	C	0.04%
ACLS	F	0.03%
VITL	D	0.03%
SWI	B	0.03%
ACIW	B	0.02%
MITK	F	0.0%
MAIN	C	0.0%
EPAC	B	0.0%

AFSM Underweight 191 Positions Relative to FYT

Symbol	Grade	Weight
CCS	B	-0.76%
BZH	B	-0.73%
EBC	B	-0.71%
CNX	A	-0.7%
UAA	C	-0.69%
NWE	A	-0.69%
AVA	B	-0.68%
NWN	B	-0.68%
GHC	C	-0.67%
SR	B	-0.67%
ATSG	D	-0.67%
WMK	C	-0.67%
LZB	C	-0.67%
SPB	B	-0.66%
UVV	D	-0.66%
GEF	D	-0.65%
GDEN	D	-0.64%
HPP	D	-0.63%
CXW	F	-0.62%
KOP	F	-0.62%
ENVA	C	-0.62%
CUBI	F	-0.62%
EFSC	B	-0.61%
LGIH	C	-0.6%
RLJ	D	-0.59%
AAT	B	-0.59%
CNO	B	-0.59%
FCF	C	-0.59%
JBT	D	-0.58%
INDB	C	-0.58%
RC	D	-0.58%
CABO	F	-0.57%
FFBC	C	-0.56%
SNDR	B	-0.56%
CRI	C	-0.56%
CATY	B	-0.55%
SCHL	D	-0.55%
FRME	C	-0.54%
OCFC	B	-0.54%
OLPX	C	-0.53%
ALGT	F	-0.52%
WERN	D	-0.51%
ARCH	F	-0.51%
PEBO	C	-0.5%
SAH	D	-0.5%
USM	C	-0.5%
LILAK	D	-0.49%
ABR	B	-0.49%
ABM	D	-0.49%
CENTA	D	-0.49%
FBNC	B	-0.48%
HTZ	D	-0.48%
MATW	F	-0.47%
CRK	D	-0.47%
SASR	B	-0.47%
PARR	F	-0.46%
CRC	C	-0.46%
VSCO	C	-0.46%
TOWN	B	-0.45%
PATK	B	-0.45%
TALO	F	-0.45%
EPC	F	-0.45%
MSGE	B	-0.44%
PDCO	F	-0.44%
SFNC	B	-0.43%
NWBI	C	-0.42%
BANR	B	-0.42%
ADV	C	-0.42%
SSTK	F	-0.42%
VBTX	B	-0.42%
CTOS	F	-0.41%
HOPE	B	-0.41%
PNM	B	-0.41%
OI	D	-0.4%
SJW	C	-0.4%
OMCL	C	-0.4%
WSBC	D	-0.4%
AX	D	-0.4%
WSFS	C	-0.4%
UNF	B	-0.4%
FHB	C	-0.4%
MCRI	B	-0.4%
RNST	D	-0.39%
EQC	B	-0.39%
DAN	F	-0.39%
FIBK	B	-0.39%
KMT	B	-0.39%
CENX	D	-0.39%
JELD	D	-0.38%
NBHC	C	-0.38%
FHI	A	-0.38%
CHGG	F	-0.37%
ICUI	B	-0.37%
KOS	F	-0.36%
HTLD	D	-0.36%
ECVT	F	-0.36%
NMRK	B	-0.36%
MRTN	D	-0.34%
ARCB	D	-0.34%
ROIC	B	-0.32%
ZD	D	-0.32%
CBRL	D	-0.32%
CMCO	F	-0.32%
VRTS	D	-0.32%
WAFD	B	-0.31%
DORM	B	-0.31%
DEI	B	-0.31%
DIOD	F	-0.31%
MODG	F	-0.31%
GTY	B	-0.3%
HELE	D	-0.3%
VAC	F	-0.3%
GOGO	F	-0.29%
ALEX	B	-0.29%
CWT	C	-0.28%
SBCF	C	-0.28%
TCBI	B	-0.28%
UCBI	B	-0.28%
AUB	C	-0.28%
KLG	C	-0.28%
NIC	C	-0.28%
CPK	B	-0.28%
TCBK	C	-0.27%
PBH	B	-0.27%
BUSE	C	-0.27%
PSMT	B	-0.27%
SRCE	C	-0.27%
PRIM	C	-0.27%
SAFT	C	-0.27%
LCII	C	-0.27%
OEC	F	-0.27%
DEA	B	-0.27%
FULT	C	-0.26%
HLF	F	-0.26%
SNEX	C	-0.26%
CVBF	C	-0.25%
HTH	C	-0.25%
LNN	C	-0.24%
EAT	B	-0.24%
PTVE	D	-0.24%
TRS	D	-0.24%
SHEN	F	-0.23%
XHR	C	-0.23%
MTX	D	-0.22%
BLMN	F	-0.21%
STRA	D	-0.21%
KALU	F	-0.2%
FOXF	F	-0.19%
LTH	B	-0.16%
VSAT	F	-0.15%
BMBL	F	-0.15%
CBU	C	-0.15%
PLXS	B	-0.15%
CVCO	B	-0.15%
NNI	B	-0.14%
MWA	C	-0.14%
HNI	B	-0.14%
BHLB	C	-0.14%
THS	C	-0.14%
NBTB	D	-0.14%
CWEN	B	-0.14%
STC	B	-0.14%
FBK	B	-0.14%
JBGS	B	-0.14%
BOOT	B	-0.14%
PPBI	D	-0.13%
KFY	B	-0.13%
HMN	C	-0.13%
SHOO	B	-0.13%
WD	B	-0.13%
PGRE	C	-0.13%
GNW	B	-0.13%
LXP	B	-0.13%
ENOV	F	-0.12%
OII	D	-0.12%
ASB	D	-0.12%
NVEE	F	-0.12%
CMTG	F	-0.12%
KFRC	D	-0.12%
AIN	D	-0.12%
ATUS	C	-0.12%
SCL	D	-0.11%
WOR	F	-0.11%
CAKE	C	-0.11%
THRM	D	-0.11%
ROG	D	-0.1%
OXM	D	-0.1%
GO	F	-0.09%
DK	F	-0.09%
HI	F	-0.08%
IART	F	-0.07%