FYT vs. NSCS ETF Comparison

Comparison of First Trust Small Cap Value AlphaDEX Fund (FYT) to Nuveen Small Cap Select ETF (NSCS)

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

$56.53

Average Daily Volume

22,554

Number of Holdings ^*

251

* may have additional holdings in another (foreign) market

NSCS

Nuveen Small Cap Select ETF

NSCS Description

The investment seeks capital appreciation. Under normal market conditions, the fund invests at least 80% of the sum of its net assets and the amount of any borrowings for investment purposes in exchange-traded common stocks of small-capitalization companies. It may invest up to 15% of its total assets in non-dollar denominated equity securities of non-U.S. issuers listed on a foreign exchange that trade on such exchange contemporaneously with the shares of the fund. Up to 15% of the fund's total assets may be invested in equity securities of emerging market issuers.

Grade (RS Rating)

Last Trade

$27.94

Average Daily Volume

1,357

Number of Holdings ^*

* may have additional holdings in another (foreign) market

Performance

Period	FYT	NSCS
30 Days	4.50%	4.45%
60 Days	1.28%	3.42%
90 Days	10.74%	9.24%
12 Months	20.45%	22.63%

9 Overlapping Holdings

Symbol	Grade	Weight in FYT	Weight in NSCS	Overlap
ARCB	D	0.34%	1.14%	0.34%
BANR	B	0.42%	1.64%	0.42%
DAN	F	0.39%	0.79%	0.39%
FIBK	B	0.39%	1.36%	0.39%
MODG	F	0.31%	0.07%	0.07%
PFBC	D	0.52%	1.13%	0.52%
SHOO	B	0.13%	1.31%	0.13%
SR	B	0.67%	0.94%	0.67%
ZD	D	0.32%	0.85%	0.32%

FYT Overweight 242 Positions Relative to NSCS

Symbol	Grade	Weight
PRG	B	0.81%
HE	F	0.78%
CCS	B	0.76%
INVA	B	0.75%
BZH	B	0.73%
NMIH	B	0.73%
PHIN	B	0.72%
BNL	B	0.72%
EBC	B	0.71%
CNX	B	0.7%
UAA	C	0.69%
NWE	B	0.69%
EIG	C	0.69%
AVA	C	0.68%
NWN	C	0.68%
GHC	B	0.67%
ATSG	D	0.67%
WMK	C	0.67%
LZB	C	0.67%
IMKTA	D	0.66%
SPB	C	0.66%
UVV	D	0.66%
GEF	D	0.65%
GDEN	D	0.64%
TGNA	D	0.63%
HPP	D	0.63%
STBA	B	0.62%
CXW	F	0.62%
HIW	B	0.62%
KOP	F	0.62%
ENVA	C	0.62%
CUBI	F	0.62%
NX	F	0.61%
EFSC	B	0.61%
LGIH	C	0.6%
RLJ	D	0.59%
AAT	B	0.59%
CNO	B	0.59%
FCF	C	0.59%
BKU	C	0.59%
JBT	D	0.58%
RYI	D	0.58%
SBH	B	0.58%
INDB	C	0.58%
RC	F	0.58%
CALM	A	0.57%
GES	F	0.57%
CABO	F	0.57%
FFBC	D	0.56%
SNDR	B	0.56%
CRI	D	0.56%
CATY	C	0.55%
SCHL	D	0.55%
FRME	D	0.54%
DNOW	D	0.54%
REVG	D	0.54%
OCFC	B	0.54%
OLPX	C	0.53%
KSS	F	0.53%
NAVI	C	0.53%
HUBG	C	0.52%
ALGT	F	0.52%
IBOC	D	0.52%
VSH	F	0.51%
WGO	D	0.51%
PRDO	D	0.51%
WERN	D	0.51%
ARCH	F	0.51%
PEBO	C	0.5%
SAH	D	0.5%
ADNT	F	0.5%
USM	C	0.5%
LILAK	D	0.49%
ABR	B	0.49%
ABM	D	0.49%
CENTA	F	0.49%
FBNC	B	0.48%
HTZ	F	0.48%
MATW	F	0.47%
ANDE	D	0.47%
CRK	D	0.47%
REZI	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%
LGND	C	0.45%
TALO	D	0.45%
EPC	F	0.45%
MSGE	B	0.44%
PDCO	F	0.44%
AMN	F	0.43%
SFNC	B	0.43%
NWBI	C	0.42%
BKE	B	0.42%
ADV	C	0.42%
SSTK	F	0.42%
VBTX	B	0.42%
OFG	C	0.42%
CASH	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	D	0.4%
UNF	C	0.4%
SLVM	B	0.4%
FHB	D	0.4%
MCRI	C	0.4%
RNST	D	0.39%
EQC	C	0.39%
BXC	D	0.39%
KMT	B	0.39%
CENX	D	0.39%
OMI	D	0.39%
JELD	D	0.38%
NBHC	D	0.38%
FHI	A	0.38%
CHGG	F	0.37%
ICUI	B	0.37%
APOG	B	0.37%
KOS	F	0.36%
HTLD	D	0.36%
ECVT	F	0.36%
KN	D	0.36%
NMRK	A	0.36%
MLKN	D	0.36%
ODP	F	0.36%
MRTN	D	0.34%
ROIC	B	0.32%
CBRL	D	0.32%
CMCO	F	0.32%
VRTS	F	0.32%
GEO	F	0.32%
WAFD	C	0.31%
DORM	B	0.31%
DEI	B	0.31%
DIOD	F	0.31%
GTY	B	0.3%
PLUS	A	0.3%
HELE	D	0.3%
VAC	F	0.3%
NHC	D	0.29%
GOGO	F	0.29%
ALEX	B	0.29%
CWT	C	0.28%
CNXN	B	0.28%
SBCF	C	0.28%
TCBI	B	0.28%
UCBI	B	0.28%
CSGS	C	0.28%
DFIN	B	0.28%
AUB	D	0.28%
KLG	C	0.28%
NIC	C	0.28%
CPK	B	0.28%
TCBK	D	0.27%
PBH	B	0.27%
BUSE	C	0.27%
PSMT	B	0.27%
BDC	B	0.27%
VCTR	B	0.27%
SRCE	C	0.27%
PRIM	B	0.27%
SAFT	D	0.27%
MCY	D	0.27%
LCII	C	0.27%
OEC	F	0.27%
DEA	B	0.27%
FULT	D	0.26%
HLF	F	0.26%
SNEX	B	0.26%
TRMK	C	0.26%
CVBF	D	0.25%
HTH	C	0.25%
LNN	D	0.24%
EAT	A	0.24%
PTVE	D	0.24%
TRS	D	0.24%
SHEN	F	0.23%
XHR	B	0.23%
MTX	D	0.22%
PCRX	F	0.22%
BLMN	F	0.21%
STRA	F	0.21%
KALU	F	0.2%
FOXF	D	0.19%
FDP	C	0.16%
LTH	B	0.16%
VSAT	F	0.15%
BMBL	F	0.15%
CBU	C	0.15%
PLXS	A	0.15%
CVCO	A	0.15%
PFS	B	0.15%
NNI	B	0.14%
ADUS	B	0.14%
MWA	B	0.14%
HNI	C	0.14%
BHLB	B	0.14%
THS	C	0.14%
NBTB	D	0.14%
CWEN	C	0.14%
STC	B	0.14%
FBK	B	0.14%
JBGS	C	0.14%
BOOT	A	0.14%
PPBI	D	0.13%
KFY	B	0.13%
HMN	D	0.13%
WD	A	0.13%
PGRE	C	0.13%
GNW	B	0.13%
FBP	C	0.13%
LXP	B	0.13%
ENOV	D	0.12%
OII	D	0.12%
ASB	D	0.12%
NVEE	F	0.12%
CMTG	D	0.12%
APAM	C	0.12%
KFRC	D	0.12%
AIN	D	0.12%
ATUS	C	0.12%
SCL	D	0.11%
XRX	D	0.11%
CTS	D	0.11%
WOR	D	0.11%
CAKE	C	0.11%
THRM	D	0.11%
ROG	F	0.1%
OXM	F	0.1%
GO	F	0.09%
DK	F	0.09%
HI	F	0.08%
IART	F	0.07%

FYT Underweight 66 Positions Relative to NSCS

Symbol	Grade	Weight
EVR	A	-2.36%
WTFC	B	-2.22%
PIPR	B	-2.12%
QTWO	B	-2.0%
NOG	D	-1.79%
PRMW	B	-1.74%
SSB	B	-1.72%
MMSI	B	-1.68%
ESE	B	-1.56%
HOMB	B	-1.55%
CVLT	B	-1.54%
HQY	C	-1.53%
STAG	C	-1.53%
AVAV	C	-1.52%
MGNI	D	-1.51%
ACA	B	-1.51%
EGP	B	-1.51%
FLR	D	-1.5%
EHC	C	-1.48%
TPH	C	-1.48%
AIT	A	-1.47%
OPCH	C	-1.44%
AVNT	B	-1.43%
SHAK	C	-1.4%
MMS	C	-1.38%
EVRI	C	-1.38%
KTOS	C	-1.36%
ASGN	D	-1.34%
BKH	B	-1.34%
SUM	D	-1.33%
GDYN	C	-1.32%
CMC	D	-1.28%
NPO	D	-1.25%
MTDR	F	-1.25%
ONTO	D	-1.23%
WK	D	-1.17%
TROX	F	-1.16%
GKOS	C	-1.13%
BYD	C	-1.13%
RDNT	B	-1.12%
LADR	B	-1.08%
ICHR	F	-1.04%
BRBR	C	-1.03%
LITE	B	-1.01%
SLAB	D	-1.0%
SEM	D	-0.95%
ENV	C	-0.93%
RBRK	D	-0.91%
TTMI	D	-0.89%
PRI	B	-0.87%
KEX	C	-0.86%
SIG	C	-0.83%
KRYS	D	-0.83%
FROG	F	-0.79%
INSM	D	-0.76%
INN	A	-0.76%
CRNX	C	-0.73%
PCVX	C	-0.72%
HALO	C	-0.71%
ESTA	D	-0.69%
SIBN	D	-0.68%
ARHS	F	-0.57%
MDGL	F	-0.55%
IMVT	D	-0.5%
TCMD	C	-0.46%
BPMC	F	-0.33%