FTA vs. ESMV ETF Comparison

Comparison of First Trust Large Cap Value AlphaDEX Fund (based onthe Defined Large Cap Value Index (FTA) to iShares ESG MSCI USA Min Vol Factor ETF (ESMV)

FTA

First Trust Large Cap Value AlphaDEX Fund (based onthe Defined Large Cap Value Index

FTA 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 Defined Large 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 500(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

$78.73

Average Daily Volume

33,412

Number of Holdings ^*

186

* may have additional holdings in another (foreign) market

ESMV

iShares ESG MSCI USA Min Vol Factor ETF

ESMV Description

iShares ESG MSCI USA Min Vol Factor ETF is an exchange traded fund launched by BlackRock, Inc. The fund is managed by BlackRock Fund Advisors. It invests in public equity markets of the United States. The fund invests in stocks of companies operating across diversified sectors. It invests in less volatile stocks of companies across diversified market capitalization. The fund invests in stocks of companies that are deemed socially conscious in their business dealings and directly promote environmental responsibility. It seeks to track the performance of the MSCI USA Minimum Volatility Extended ESG Reduced Carbon Target Index, by using representative sampling technique. iShares ESG MSCI USA Min Vol Factor ETF is domiciled in the United States

Grade (RS Rating)

Last Trade

$28.59

Average Daily Volume

1,932

Number of Holdings ^*

150

* may have additional holdings in another (foreign) market

Performance

Period	FTA	ESMV
30 Days	3.63%	2.75%
60 Days	3.82%	6.47%
90 Days	7.47%	8.29%
12 Months	20.29%	23.54%

42 Overlapping Holdings

Symbol	Grade	Weight in FTA	Weight in ESMV	Overlap
AWK	B	0.19%	0.24%	0.19%
CBRE	A	0.22%	0.47%	0.22%
CI	C	0.18%	0.5%	0.18%
CMCSA	D	0.87%	0.08%	0.08%
CMS	C	0.59%	0.6%	0.59%
CPB	C	0.38%	0.39%	0.38%
CSCO	C	0.36%	1.31%	0.36%
CTSH	C	0.78%	0.3%	0.3%
CVX	D	0.77%	0.31%	0.31%
DGX	B	0.57%	0.68%	0.57%
ED	C	0.8%	1.38%	0.8%
ELV	C	0.17%	0.72%	0.17%
EXC	C	1.0%	0.05%	0.05%
GIS	B	0.58%	1.45%	0.58%
HPE	D	0.69%	0.6%	0.6%
HRL	C	0.36%	0.38%	0.36%
HUM	F	0.15%	0.36%	0.15%
INCY	C	0.53%	0.24%	0.24%
INTC	F	0.32%	0.28%	0.28%
JCI	B	0.18%	0.21%	0.18%
JNJ	C	0.39%	1.07%	0.39%
K	B	0.23%	0.88%	0.23%
KDP	B	0.38%	0.19%	0.19%
KHC	C	0.76%	0.4%	0.4%
KMB	D	0.17%	0.59%	0.17%
KR	C	0.56%	1.06%	0.56%
LKQ	F	0.66%	0.33%	0.33%
LOW	B	0.4%	0.89%	0.4%
MKC	C	0.2%	0.14%	0.14%
MPC	F	0.81%	0.1%	0.1%
NEE	C	0.41%	0.55%	0.41%
OKE	B	0.38%	1.02%	0.38%
PEG	B	0.39%	1.56%	0.39%
PSX	F	0.77%	0.32%	0.32%
REGN	C	0.19%	1.01%	0.19%
SRE	C	0.54%	0.48%	0.48%
T	C	0.98%	0.39%	0.39%
TRGP	B	0.19%	0.61%	0.19%
TRV	C	0.4%	1.53%	0.4%
TSCO	C	0.17%	0.28%	0.17%
UPS	D	0.33%	0.14%	0.14%
VZ	B	0.74%	1.47%	0.74%

FTA Overweight 144 Positions Relative to ESMV

Symbol	Grade	Weight
DHI	B	1.16%
LEN	B	1.05%
ETR	B	1.0%
CINF	B	0.99%
GPN	D	0.98%
FOXA	B	0.98%
BRK.A	C	0.96%
ACGL	C	0.95%
CF	C	0.91%
UAL	C	0.88%
ADM	D	0.86%
GM	C	0.86%
EG	C	0.86%
MKL	C	0.85%
SYF	C	0.85%
CVS	D	0.84%
XEL	B	0.83%
EBAY	B	0.82%
APTV	D	0.82%
AEP	C	0.81%
EOG	D	0.81%
AEE	C	0.81%
ATO	B	0.8%
HIG	B	0.79%
UHAL	A	0.78%
COP	D	0.78%
PCG	C	0.78%
CNC	D	0.78%
BG	D	0.78%
CB	B	0.78%
VTRS	D	0.77%
EQT	D	0.77%
CE	F	0.77%
NUE	F	0.77%
CAG	C	0.77%
MTB	B	0.76%
CFG	C	0.76%
HBAN	B	0.75%
SJM	C	0.75%
SNA	C	0.74%
FANG	D	0.74%
STLD	F	0.74%
CTRA	D	0.74%
VLO	F	0.74%
IPG	C	0.73%
KMI	B	0.73%
DVN	F	0.73%
F	F	0.73%
L	C	0.72%
WBD	D	0.71%
OXY	F	0.7%
LNG	C	0.7%
COF	B	0.69%
LYB	D	0.68%
AIG	D	0.68%
RS	D	0.67%
XOM	C	0.67%
OC	D	0.65%
TROW	D	0.63%
BEN	F	0.61%
AFL	C	0.61%
WEC	C	0.61%
EIX	C	0.6%
WFC	D	0.6%
DUK	C	0.59%
BBY	C	0.59%
D	C	0.59%
HAL	F	0.58%
FE	C	0.58%
EQR	B	0.57%
STT	A	0.57%
DTE	C	0.57%
ZM	C	0.57%
FITB	B	0.57%
WPC	C	0.57%
CHTR	D	0.57%
TDY	B	0.56%
USB	B	0.56%
RF	B	0.55%
JBHT	D	0.53%
DE	B	0.52%
LUV	C	0.51%
TXT	D	0.51%
TEL	D	0.49%
ZBH	F	0.49%
BAC	D	0.49%
SWKS	D	0.48%
CRBG	D	0.48%
BKR	C	0.48%
FDX	C	0.48%
JBL	D	0.48%
C	C	0.46%
CNP	C	0.45%
FNF	B	0.42%
PYPL	B	0.42%
KIM	C	0.42%
LMT	C	0.42%
HCA	B	0.42%
SSNC	B	0.41%
MOH	D	0.41%
PKG	B	0.4%
PNC	B	0.4%
MDT	C	0.4%
KEY	B	0.39%
APD	B	0.38%
OMC	B	0.38%
WRB	C	0.38%
WY	C	0.38%
EPAM	F	0.37%
HSY	C	0.37%
DOV	B	0.36%
ARE	C	0.36%
GS	C	0.36%
PPG	D	0.35%
TGT	C	0.35%
GPC	D	0.34%
MS	D	0.34%
HPQ	D	0.33%
DOW	D	0.33%
VTR	C	0.21%
KVUE	C	0.21%
WMT	C	0.2%
BLK	B	0.19%
ABT	C	0.19%
POOL	C	0.19%
MDLZ	B	0.19%
MAA	B	0.19%
NKE	D	0.18%
CMI	C	0.18%
SYY	D	0.18%
TSN	C	0.18%
PRU	C	0.17%
DD	B	0.17%
LHX	C	0.17%
J	C	0.17%
PFG	B	0.17%
CTVA	B	0.17%
GD	B	0.17%
RJF	C	0.16%
WLK	D	0.16%
EXPD	C	0.16%
QCOM	D	0.14%
BIIB	F	0.14%
DG	F	0.11%

FTA Underweight 108 Positions Relative to ESMV

Symbol	Grade	Weight
IBM	B	-1.72%
MSI	B	-1.66%
LLY	C	-1.6%
VRTX	D	-1.53%
NOC	B	-1.53%
MMC	C	-1.47%
TMUS	C	-1.46%
GWW	B	-1.45%
AMGN	B	-1.45%
UNH	C	-1.41%
MSFT	C	-1.4%
TXN	C	-1.4%
WM	D	-1.39%
NVDA	D	-1.39%
CL	D	-1.38%
ADP	B	-1.36%
PGR	B	-1.36%
ROP	C	-1.34%
ACN	C	-1.33%
HD	B	-1.32%
FERG	D	-1.27%
NEM	B	-1.25%
GILD	B	-1.24%
MRK	D	-1.23%
MCK	F	-1.18%
HES	F	-1.16%
EA	D	-1.16%
PEP	C	-1.16%
SPGI	B	-1.12%
PG	C	-1.1%
TT	B	-1.1%
VLTO	C	-1.08%
V	C	-1.06%
MCD	B	-1.05%
ORCL	C	-1.04%
ADBE	F	-1.02%
CDNS	D	-1.01%
MA	B	-0.93%
KO	C	-0.91%
KEYS	C	-0.83%
COR	D	-0.78%
WDAY	D	-0.75%
IT	B	-0.72%
PTC	D	-0.72%
EQIX	C	-0.71%
ZTS	C	-0.7%
CRH	B	-0.67%
HON	D	-0.62%
CRM	D	-0.59%
HUBS	D	-0.56%
HOLX	B	-0.54%
AAPL	C	-0.52%
MELI	B	-0.5%
JNPR	B	-0.5%
CHRW	B	-0.46%
UBER	C	-0.45%
FICO	B	-0.45%
RTX	C	-0.44%
ES	C	-0.44%
CME	C	-0.42%
AZO	D	-0.41%
YUM	D	-0.4%
ICE	C	-0.4%
AMCR	B	-0.39%
CHD	D	-0.39%
STX	C	-0.38%
DECK	C	-0.36%
ODFL	D	-0.36%
GEN	B	-0.35%
VRSN	D	-0.34%
NXPI	F	-0.34%
CLX	C	-0.34%
AKAM	D	-0.34%
ALNY	C	-0.33%
ECL	B	-0.33%
SNPS	D	-0.31%
BR	D	-0.3%
CNH	D	-0.29%
FI	A	-0.28%
XYL	C	-0.27%
AJG	D	-0.25%
BMY	C	-0.24%
FSLR	C	-0.23%
OTIS	C	-0.2%
ADSK	C	-0.2%
FCNCA	D	-0.2%
INTU	C	-0.19%
ULTA	D	-0.19%
AIZ	B	-0.17%
RSG	D	-0.17%
GDDY	C	-0.16%
WTW	C	-0.16%
AZPN	B	-0.16%
NTAP	D	-0.15%
NOW	B	-0.15%
JKHY	B	-0.14%
DPZ	F	-0.12%
SOLV	C	-0.12%
FFIV	B	-0.11%
LDOS	B	-0.11%
LIN	B	-0.11%
TEAM	D	-0.1%
HII	D	-0.08%
CAH	C	-0.08%
KNX	C	-0.07%
FAST	C	-0.07%
AON	B	-0.06%
TJX	B	-0.06%