FYC vs. SMIZ ETF Comparison

Comparison of First Trust Small Cap Growth AlphaDEX Fund (FYC) to Zacks Small/Mid Cap ETF (SMIZ)

FYC

First Trust Small Cap Growth AlphaDEX Fund

FYC 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 Small Cap Growth 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 SmallCap 600(R) Growth 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

$79.98

Average Daily Volume

26,033

Number of Holdings ^*

240

* may have additional holdings in another (foreign) market

SMIZ

Zacks Small/Mid Cap ETF

SMIZ Description

The fund seeks to generate positive risk-adjusted returns (positive rate of return after adjustment for the amount of risk taken) by, under normal circumstances, investing at least 80% of its net assets (including any borrowings for investment purposes) in equity securities of small and midsize companies listed on U.S. stock exchanges or derivatives linked to such securities.

Grade (RS Rating)

Last Trade

$34.89

Average Daily Volume

15,256

Number of Holdings ^*

189

* may have additional holdings in another (foreign) market

Performance

Period	FYC	SMIZ
30 Days	4.06%	2.29%
60 Days	5.87%	5.86%
90 Days	13.82%	10.60%
12 Months	40.08%	34.38%

17 Overlapping Holdings

Symbol	Grade	Weight in FYC	Weight in SMIZ	Overlap
ADMA	C	0.6%	1.05%	0.6%
ALX	D	0.21%	0.79%	0.21%
CARG	A	0.42%	0.38%	0.38%
CHCO	B	0.39%	0.65%	0.39%
ICFI	F	0.33%	0.5%	0.33%
IRDM	D	0.11%	0.49%	0.11%
JANX	C	0.54%	0.44%	0.44%
KW	C	0.23%	0.92%	0.23%
LRN	A	0.7%	0.84%	0.7%
MCY	A	0.69%	1.06%	0.69%
NPAB	F	0.49%	0.8%	0.49%
PHR	F	0.22%	0.19%	0.19%
POWL	C	0.81%	0.4%	0.4%
PRM	C	0.54%	0.79%	0.54%
SLVM	B	0.58%	1.01%	0.58%
VCYT	B	0.65%	0.36%	0.36%
VECO	F	0.1%	0.58%	0.1%

FYC Overweight 223 Positions Relative to SMIZ

Symbol	Grade	Weight
RKLB	B	1.06%
EAT	A	0.91%
PAYO	A	0.82%
PRIM	A	0.81%
TGTX	C	0.79%
IESC	B	0.79%
ROAD	B	0.76%
IDCC	A	0.76%
STRL	B	0.75%
WWW	A	0.75%
TRUP	B	0.74%
QCRH	B	0.73%
ENVA	B	0.72%
GVA	A	0.72%
WULF	C	0.71%
PJT	B	0.71%
DOCS	B	0.71%
STEP	B	0.69%
USLM	A	0.69%
FTDR	B	0.69%
ACLX	C	0.68%
RYTM	C	0.68%
CNK	A	0.68%
ATGE	B	0.67%
LMND	A	0.67%
ALHC	C	0.65%
GSHD	A	0.64%
PRCT	B	0.64%
TRN	A	0.64%
AMRX	C	0.64%
REVG	B	0.63%
SKYW	B	0.62%
PBI	C	0.61%
HNI	B	0.61%
PTON	C	0.6%
NHC	B	0.6%
TBBK	A	0.6%
CHEF	C	0.59%
DSGR	C	0.59%
AGIO	C	0.59%
CALM	A	0.58%
KYMR	C	0.58%
HWKN	B	0.58%
SKWD	A	0.58%
MIRM	C	0.57%
SGBX	F	0.57%
INTA	B	0.57%
SYBT	B	0.57%
DORM	B	0.57%
CWAN	C	0.57%
ALKT	B	0.56%
VCTR	B	0.55%
NBHC	B	0.55%
PRK	B	0.55%
MWA	B	0.54%
CDE	C	0.54%
OSW	B	0.54%
PTGX	D	0.54%
PTCT	C	0.54%
PLMR	A	0.53%
CHWY	B	0.53%
SATS	D	0.53%
MNKD	B	0.53%
CPRX	C	0.52%
LMAT	A	0.52%
TGLS	B	0.51%
CRAI	B	0.51%
CCOI	B	0.49%
LFST	C	0.49%
SMTC	C	0.49%
PRGS	B	0.48%
SABR	B	0.48%
AORT	B	0.48%
YOU	D	0.48%
OUT	A	0.48%
UFPT	C	0.47%
BCRX	D	0.47%
LITE	B	0.47%
FBP	B	0.47%
CENX	B	0.46%
VERX	B	0.45%
WTTR	A	0.43%
MBIN	F	0.43%
ASTH	F	0.43%
NMIH	D	0.43%
OSCR	D	0.43%
APOG	B	0.42%
SITM	B	0.42%
CAKE	B	0.42%
NRIX	C	0.42%
SHAK	B	0.42%
MGNI	B	0.42%
RNG	C	0.41%
BANF	B	0.41%
GABC	A	0.41%
CIFR	C	0.4%
BGC	B	0.4%
SEMR	D	0.4%
WT	A	0.4%
VITL	F	0.39%
GFF	B	0.39%
OII	B	0.39%
GERN	F	0.39%
HRMY	D	0.39%
HURN	B	0.39%
UE	B	0.38%
KTOS	C	0.38%
ESE	A	0.38%
BLBD	F	0.38%
COLL	F	0.37%
AZZ	A	0.36%
KN	B	0.36%
AAT	C	0.36%
OSIS	A	0.35%
BRC	C	0.34%
AMPH	F	0.33%
DOCN	F	0.33%
ESRT	D	0.33%
IOVA	D	0.32%
PMT	D	0.32%
ADUS	D	0.32%
NHI	D	0.32%
FLNC	D	0.32%
CWT	D	0.32%
ASPN	F	0.32%
NSA	C	0.31%
WRBY	A	0.31%
HLIT	F	0.3%
KNTK	A	0.3%
TWST	F	0.3%
BLFS	D	0.3%
HEES	B	0.29%
LGND	C	0.28%
BKD	F	0.28%
MGEE	A	0.28%
DRVN	A	0.28%
TNL	A	0.28%
CEIX	A	0.28%
IIPR	F	0.27%
LKFN	A	0.27%
OCUL	C	0.27%
EPAC	B	0.27%
AROC	A	0.27%
NEO	C	0.26%
SKT	A	0.26%
WDFC	B	0.26%
SXI	A	0.26%
BANC	B	0.26%
AGYS	A	0.26%
AGM	B	0.26%
SWI	B	0.25%
MAC	A	0.25%
ARQT	C	0.25%
ANIP	D	0.24%
CDP	C	0.24%
TNDM	F	0.24%
UMH	A	0.24%
IAS	D	0.24%
CPK	A	0.24%
NXRT	A	0.24%
FCPT	C	0.23%
GTX	D	0.23%
JJSF	C	0.23%
SXT	C	0.23%
DNLI	C	0.23%
CMPR	F	0.23%
SCS	B	0.23%
GTY	A	0.23%
ACVA	A	0.23%
EPR	D	0.22%
AESI	B	0.22%
HLX	C	0.22%
AIV	C	0.22%
ELME	D	0.22%
CDRE	F	0.21%
HUMA	F	0.21%
RXST	F	0.21%
EVH	F	0.21%
NVAX	F	0.2%
MYGN	F	0.2%
SOUN	C	0.17%
TGI	A	0.16%
MIR	A	0.16%
ARDX	F	0.16%
PAR	A	0.16%
CBZ	B	0.14%
SMPL	B	0.13%
BEAM	D	0.13%
CLB	C	0.13%
BL	C	0.13%
APPN	C	0.13%
APAM	A	0.13%
MLNK	C	0.13%
ACAD	C	0.13%
CARS	B	0.13%
CTS	B	0.13%
WABC	B	0.13%
PLAY	C	0.13%
FBRT	C	0.12%
THR	B	0.12%
AMC	F	0.12%
AWR	A	0.12%
YELP	C	0.12%
LTC	B	0.12%
STRA	C	0.12%
TR	A	0.12%
WEN	C	0.12%
TNC	F	0.11%
PZZA	D	0.11%
NSSC	F	0.11%
RRR	F	0.11%
ARLO	D	0.11%
FOLD	F	0.11%
ENVX	F	0.11%
BXMT	D	0.11%
JOE	F	0.1%
GNL	D	0.1%
AZTA	F	0.1%
JAMF	F	0.1%
CLDX	F	0.09%
XPRO	F	0.09%
RLAY	F	0.09%
LPG	F	0.09%

FYC Underweight 172 Positions Relative to SMIZ

Symbol	Grade	Weight
EME	B	-1.73%
BRBR	A	-1.19%
PRA	B	-1.12%
PODD	A	-1.05%
NTRS	A	-1.04%
ENR	A	-1.01%
CBSH	A	-0.96%
SNV	B	-0.96%
COFS	A	-0.95%
MUSA	A	-0.94%
FISI	B	-0.92%
ANET	C	-0.91%
NTAP	D	-0.9%
DDOG	B	-0.9%
FULT	A	-0.89%
RYAN	B	-0.88%
FLS	A	-0.86%
MCK	A	-0.84%
LNG	A	-0.84%
TROW	A	-0.81%
GWRE	A	-0.79%
WMB	A	-0.78%
ICUI	D	-0.76%
CBAN	A	-0.76%
TOL	B	-0.76%
NRIM	A	-0.74%
AXTA	A	-0.73%
RMBS	C	-0.72%
AYI	B	-0.71%
MEDP	D	-0.71%
TMHC	B	-0.71%
PK	D	-0.69%
IBKR	A	-0.69%
HHH	B	-0.69%
CEG	D	-0.68%
ZUO	B	-0.68%
NI	A	-0.67%
RCL	A	-0.65%
BMI	C	-0.65%
YEXT	B	-0.64%
BSRR	B	-0.63%
IR	B	-0.62%
SOFI	A	-0.62%
VMI	B	-0.61%
CINF	A	-0.61%
OHI	C	-0.6%
FIX	A	-0.6%
WTS	A	-0.59%
TTWO	A	-0.59%
GLW	B	-0.57%
HQY	A	-0.57%
HUBB	B	-0.57%
HIG	A	-0.57%
VST	A	-0.57%
TWLO	A	-0.57%
BMRC	A	-0.57%
NCLH	B	-0.56%
ALRS	D	-0.55%
JHG	A	-0.55%
ARVN	D	-0.55%
EIX	C	-0.54%
KREF	D	-0.54%
MATX	B	-0.54%
APH	B	-0.54%
ANF	C	-0.54%
UAL	A	-0.53%
PHM	D	-0.51%
LDOS	C	-0.5%
WING	F	-0.5%
ALTR	B	-0.5%
MASI	B	-0.49%
UNM	A	-0.49%
COIN	A	-0.49%
ZBRA	B	-0.49%
FLR	B	-0.48%
PRI	A	-0.48%
BAH	D	-0.47%
WEAV	B	-0.47%
CMTG	D	-0.46%
SPT	C	-0.46%
ALKS	C	-0.46%
RMD	C	-0.45%
SIRI	D	-0.44%
MHO	D	-0.44%
CHRW	A	-0.43%
UIS	B	-0.43%
NWPX	A	-0.43%
TAP	B	-0.43%
ITT	A	-0.43%
WAB	B	-0.43%
DUOL	B	-0.42%
TXT	D	-0.41%
HCAT	C	-0.41%
CSL	C	-0.4%
GTLB	C	-0.4%
BTU	B	-0.39%
TSN	A	-0.38%
EXPD	D	-0.38%
ILMN	C	-0.38%
KRYS	C	-0.38%
AGNC	C	-0.37%
APPF	C	-0.37%
SPSC	F	-0.36%
KBH	D	-0.36%
THC	C	-0.36%
DRI	B	-0.36%
HY	D	-0.36%
CRS	A	-0.36%
HOLX	D	-0.36%
FTNT	B	-0.35%
GAP	C	-0.35%
URBN	C	-0.35%
AOSL	D	-0.35%
QLYS	C	-0.34%
OKTA	D	-0.34%
GRBK	D	-0.34%
KKR	A	-0.34%
CBOE	C	-0.33%
DOCU	B	-0.33%
ROST	D	-0.32%
UI	A	-0.32%
RDFN	F	-0.32%
ACGL	D	-0.32%
OMC	C	-0.32%
RIOT	C	-0.31%
HAE	B	-0.31%
LHX	B	-0.3%
HSTM	B	-0.3%
CCS	F	-0.3%
COOP	B	-0.29%
ALLO	D	-0.29%
UHS	D	-0.28%
FSLY	D	-0.28%
RBB	B	-0.28%
HRB	D	-0.27%
MGM	D	-0.27%
PCVX	D	-0.26%
WMS	F	-0.26%
EPC	D	-0.26%
MTG	C	-0.26%
EVTC	C	-0.25%
GNTY	A	-0.24%
AZEK	B	-0.24%
INSP	F	-0.24%
WASH	B	-0.23%
NYT	D	-0.23%
EVER	F	-0.23%
IRM	D	-0.22%
KMPR	A	-0.22%
ZM	B	-0.22%
OPCH	F	-0.21%
BRO	B	-0.21%
PARR	D	-0.21%
AIZ	A	-0.21%
SN	D	-0.2%
HL	D	-0.2%
CPF	A	-0.19%
POST	D	-0.19%
TMDX	F	-0.19%
EXAS	F	-0.19%
STNE	F	-0.19%
AXS	A	-0.17%
DFH	F	-0.17%
CWCO	C	-0.16%
BMRN	F	-0.16%
AFL	C	-0.14%
AEO	F	-0.13%
STKS	F	-0.12%
COUR	F	-0.12%
HRTX	F	-0.09%
RUN	F	-0.08%
SPCE	C	-0.04%