AUSF vs. FNK ETF Comparison

Comparison of Global X Adaptive U.S. Factor ETF (AUSF) to First Trust Mid Cap Value AlphaDEX Fund (FNK)

AUSF

Global X Adaptive U.S. Factor ETF

AUSF Description

The investment seeks to provide investment results that correspond generally to the price and yield performance, before fees and expenses, of the Adaptive Wealth Strategies U.S. Factor Index (the "index"). The fund invests at least 80% of its total assets in the securities of the index. Its 80% investment policy is non-fundamental and requires 60 days prior written notice to shareholders before it can be changed. The index is designed to dynamically allocate across three sub-indices that provide exposure to U.S. equities that exhibit characteristics of one of three primary factors: value, momentum and low volatility. The fund is non-diversified.

Grade (RS Rating)

Last Trade

$40.43

Average Daily Volume

29,243

Number of Holdings ^*

188

* may have additional holdings in another (foreign) market

FNK

First Trust Mid Cap Value AlphaDEX Fund

FNK Description

The investment seeks results that correspond generally to the price and yield (before the fund's fees and expenses) of an equity index called the Defined Mid Cap Value Index. The fund will normally invest at least 90% of its net assets in common stocks that comprise the index. The index is a modified equal-dollar weighted index designed by S&P to objectively identify and select stocks from the S&P MidCap 400(R) Value Index that may generate positive alpha relative to traditional passive-style indices through the use of the AlphaDEX(R) selection methodology. It is non-diversified.

Grade (RS Rating)

Last Trade

$52.37

Average Daily Volume

14,164

Number of Holdings ^*

220

* may have additional holdings in another (foreign) market

Performance

Period	AUSF	FNK
30 Days	2.64%	2.44%
60 Days	1.33%	-1.15%
90 Days	4.20%	2.33%
12 Months	27.87%	12.66%

53 Overlapping Holdings

Symbol	Grade	Weight in AUSF	Weight in FNK	Overlap
ABG	C	0.52%	0.77%	0.52%
AGCO	F	0.4%	0.64%	0.4%
AGNC	A	0.52%	0.16%	0.16%
AL	C	0.48%	0.75%	0.48%
ALLY	A	0.54%	0.64%	0.54%
ARW	D	0.48%	0.74%	0.48%
AVT	C	0.54%	0.83%	0.54%
BCC	D	0.41%	0.37%	0.37%
CACI	B	0.18%	0.18%	0.18%
CADE	B	0.5%	0.62%	0.5%
CHK	D	0.46%	0.75%	0.46%
CHRD	D	0.46%	0.77%	0.46%
CMA	A	0.49%	0.44%	0.44%
CMC	C	0.46%	0.73%	0.46%
COLB	C	0.55%	0.64%	0.55%
DTM	B	0.62%	0.56%	0.56%
EMN	D	0.49%	0.46%	0.46%
FHN	A	0.52%	0.48%	0.48%
FMC	F	0.49%	0.7%	0.49%
FNB	A	0.51%	0.46%	0.46%
GPS	C	0.54%	0.14%	0.14%
HII	D	0.08%	0.27%	0.08%
HP	D	0.42%	0.68%	0.42%
IP	C	0.6%	0.36%	0.36%
JXN	B	0.56%	0.72%	0.56%
KBH	B	0.53%	0.75%	0.53%
KRC	C	0.48%	0.56%	0.48%
LAD	D	0.46%	0.66%	0.46%
LBRDK	D	0.53%	0.62%	0.53%
M	C	0.48%	0.48%	0.48%
MOS	F	0.43%	0.68%	0.43%
MTG	A	0.54%	0.78%	0.54%
NOV	C	0.47%	0.75%	0.47%
OGN	C	0.55%	0.52%	0.52%
OMF	C	0.49%	0.45%	0.45%
ONB	A	0.52%	0.63%	0.52%
ORI	C	0.09%	0.32%	0.09%
OZK	C	0.46%	0.57%	0.46%
PB	C	0.49%	0.29%	0.29%
PNW	B	0.08%	0.49%	0.08%
PRGO	F	0.42%	0.26%	0.26%
PTEN	F	0.42%	0.67%	0.42%
RDN	B	0.52%	0.75%	0.52%
SAIC	D	0.1%	0.28%	0.1%
SIG	D	0.44%	0.71%	0.44%
SNX	D	0.48%	0.47%	0.47%
SON	F	0.07%	0.54%	0.07%
TAP	F	0.38%	0.48%	0.38%
UBSI	C	0.48%	0.29%	0.29%
UNM	D	0.49%	0.6%	0.49%
WAL	B	0.54%	0.48%	0.48%
WBS	C	0.46%	0.41%	0.41%
ZION	A	0.53%	0.48%	0.48%

AUSF Overweight 135 Positions Relative to FNK

Symbol	Grade	Weight
VZ	B	2.0%
T	B	1.9%
IBM	C	1.89%
WMT	B	1.72%
TMUS	B	1.64%
MMC	A	1.57%
AJG	A	1.57%
BRK.A	C	1.51%
ROP	C	1.5%
RSG	A	1.5%
WM	B	1.49%
MRK	C	1.48%
LMT	D	1.48%
JNJ	D	1.47%
GD	D	1.45%
V	F	1.44%
LIN	C	1.42%
ACI	F	1.41%
EA	B	1.3%
CME	D	1.3%
DOX	D	1.25%
CSCO	D	1.24%
MCD	D	1.21%
VRSN	D	1.17%
NSIT	C	1.12%
KO	B	1.11%
PEP	D	0.94%
PG	D	0.91%
CBOE	F	0.84%
BR	B	0.81%
GLW	B	0.68%
KMI	A	0.63%
WMB	B	0.63%
MO	A	0.63%
HPQ	C	0.62%
GILD	C	0.62%
HPE	B	0.6%
SYF	A	0.59%
TXN	B	0.59%
BBY	B	0.55%
AME	C	0.54%
C	B	0.54%
F	B	0.53%
CHE	F	0.53%
PFE	C	0.53%
CRBG	C	0.53%
GM	B	0.53%
OKE	A	0.52%
BKR	B	0.52%
FITB	B	0.52%
MTB	A	0.52%
CFG	A	0.52%
AM	B	0.52%
PNC	A	0.52%
BG	B	0.51%
RF	A	0.51%
ADM	C	0.51%
WFC	B	0.5%
ETRN	D	0.5%
MAN	F	0.49%
X	C	0.49%
STWD	C	0.49%
COF	C	0.48%
HBAN	C	0.48%
USB	B	0.48%
CMCSA	F	0.47%
VTRS	C	0.47%
BMY	F	0.47%
UAL	D	0.47%
MDT	D	0.47%
KEY	B	0.47%
CAG	F	0.46%
MCK	C	0.46%
LYB	F	0.46%
INTC	D	0.46%
CIVI	D	0.45%
RPRX	D	0.45%
CE	D	0.42%
ALB	F	0.42%
KHC	D	0.42%
CVS	F	0.4%
AMGN	B	0.32%
YUM	F	0.28%
PSX	D	0.24%
DGX	B	0.24%
LLY	B	0.21%
PGR	B	0.17%
EME	D	0.16%
ABBV	B	0.15%
COST	C	0.13%
CHD	D	0.13%
KR	C	0.12%
SNA	D	0.12%
TW	D	0.12%
SO	B	0.11%
CASY	B	0.11%
AFL	A	0.1%
LDOS	B	0.1%
WRB	D	0.1%
TRV	D	0.1%
AAPL	B	0.1%
DUK	B	0.1%
KMB	A	0.09%
VRSK	B	0.09%
HON	B	0.09%
TJX	A	0.09%
CAH	F	0.09%
VRTX	A	0.09%
GRMN	C	0.09%
RTX	D	0.09%
ED	D	0.09%
FDS	D	0.08%
UNH	D	0.08%
AKAM	D	0.08%
MDLZ	F	0.08%
BDX	F	0.08%
CVX	D	0.08%
NOC	F	0.08%
BSX	B	0.08%
ATR	D	0.08%
ICE	A	0.08%
XOM	D	0.08%
MSI	B	0.08%
REGN	B	0.08%
ORLY	C	0.07%
ADP	F	0.07%
PKG	C	0.07%
DLB	D	0.07%
QGEN	D	0.07%
HIG	C	0.07%
MA	D	0.07%
L	C	0.07%
DRI	F	0.07%
PCAR	D	0.06%
NEU	D	0.06%

AUSF Underweight 167 Positions Relative to FNK

Symbol	Grade	Weight
MATX	C	-0.93%
UTHR	B	-0.89%
ESGR	B	-0.86%
NFG	C	-0.82%
LBRT	D	-0.8%
GPI	D	-0.8%
VAL	B	-0.79%
RRC	D	-0.79%
WTM	D	-0.78%
CNXC	D	-0.78%
NOG	C	-0.78%
BTU	D	-0.78%
SEB	F	-0.77%
ESNT	B	-0.76%
OVV	D	-0.73%
RNR	D	-0.73%
IAC	F	-0.71%
MTDR	C	-0.71%
AGO	C	-0.71%
SM	D	-0.71%
ADTN	D	-0.71%
MUR	D	-0.71%
TMHC	C	-0.7%
MTH	C	-0.7%
MHO	C	-0.69%
ALE	C	-0.68%
SANM	A	-0.68%
DINO	F	-0.68%
MLI	B	-0.68%
FYBR	B	-0.68%
COOP	B	-0.67%
OGE	B	-0.67%
APA	D	-0.67%
POR	C	-0.66%
R	C	-0.66%
MGY	B	-0.64%
URBN	A	-0.64%
BKH	C	-0.64%
EVRG	C	-0.64%
OGS	C	-0.63%
MDU	C	-0.63%
AN	C	-0.62%
BERY	C	-0.62%
TPH	B	-0.61%
G	D	-0.61%
PBF	F	-0.61%
AMG	C	-0.6%
AMKR	B	-0.6%
BWA	F	-0.59%
AR	D	-0.55%
VLY	D	-0.54%
TEX	D	-0.54%
ENS	B	-0.52%
BYD	C	-0.52%
LEA	F	-0.51%
ASO	F	-0.5%
RUSHA	C	-0.5%
NI	A	-0.5%
DAR	F	-0.5%
ABCB	A	-0.49%
UHS	B	-0.48%
HWC	A	-0.48%
BOKF	B	-0.47%
HOG	D	-0.47%
NXST	B	-0.47%
CVI	F	-0.46%
WTFC	B	-0.45%
IPGP	D	-0.45%
CUZ	B	-0.45%
KNX	C	-0.44%
WCC	D	-0.44%
DDS	B	-0.44%
UFPI	C	-0.43%
PAG	C	-0.43%
ALK	F	-0.43%
CAR	F	-0.42%
DXC	D	-0.42%
WU	D	-0.42%
KEX	B	-0.41%
JAZZ	F	-0.41%
TPR	C	-0.41%
CZR	D	-0.41%
GMS	D	-0.4%
OSK	D	-0.4%
SEM	A	-0.39%
OLN	D	-0.38%
PVH	D	-0.36%
PII	F	-0.36%
SKX	D	-0.35%
AXS	B	-0.34%
WTRG	C	-0.33%
LNT	B	-0.33%
LFUS	C	-0.33%
ATKR	F	-0.33%
CLF	F	-0.33%
BPOP	A	-0.32%
NJR	C	-0.32%
SNV	A	-0.32%
IDA	C	-0.32%
CROX	D	-0.32%
ASH	D	-0.31%
HOMB	B	-0.31%
DNB	D	-0.3%
CACC	C	-0.3%
SWX	D	-0.3%
SLM	C	-0.3%
UMBF	A	-0.3%
COLM	D	-0.3%
SSB	B	-0.29%
EWBC	C	-0.29%
PNFP	C	-0.29%
TKR	D	-0.29%
BECN	C	-0.29%
SEIC	C	-0.29%
SLGN	D	-0.28%
BXMT	C	-0.28%
HGV	C	-0.27%
ASGN	D	-0.27%
HUN	D	-0.27%
RYN	F	-0.27%
WHR	C	-0.27%
GT	F	-0.26%
THO	D	-0.25%
BBWI	F	-0.24%
CRUS	B	-0.23%
BC	D	-0.23%
GMED	A	-0.21%
THC	B	-0.2%
JEF	A	-0.19%
BJ	B	-0.19%
MMS	B	-0.17%
EHC	B	-0.17%
JLL	A	-0.17%
NYCB	D	-0.17%
SF	B	-0.17%
RGA	A	-0.17%
PENN	C	-0.17%
LPX	D	-0.16%
REYN	F	-0.16%
USFD	D	-0.16%
NEOG	C	-0.16%
AVNT	D	-0.16%
PFSI	A	-0.16%
VNO	C	-0.15%
DKS	C	-0.15%
GXO	D	-0.15%
IVZ	C	-0.15%
CCK	D	-0.15%
SEE	D	-0.15%
LANC	D	-0.15%
BXP	B	-0.15%
LSTR	F	-0.15%
CIEN	F	-0.15%
TFX	C	-0.15%
FUL	C	-0.15%
SIGI	D	-0.14%
AIZ	D	-0.14%
FAF	D	-0.14%
HSIC	D	-0.14%
AFG	D	-0.14%
AYI	D	-0.14%
SKY	C	-0.13%
RHI	F	-0.13%
SUM	D	-0.13%
MIDD	D	-0.12%
AEO	D	-0.12%
GL	D	-0.11%