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Upturn AI Summary
First Trust Utilities AlphaDEX® Fund(FXU)
Advisory History & Simulated Performance *
*as per simulation (see disclosures)- ALL
- 1Y
- 1M
- 1W
- BUY Advisory
- SELL Advisory (Profit)
- SELL Advisory (Loss)
- Profit
- Loss
- PASS (Skip)
Stock price based on last close Advisory Performance History (Simulated)
Upturn Advisory & Investor View for FXU
09/25/2026: FXU (2-star) is currently NOT-A-BUY. Pass it for now.
First Trust Utilities AlphaDEX® Fund (FXU) provides targeted exposure to the US utilities sector using a proprietary, factor-based methodology that selects stocks based on growth and value metrics. Its main strength lies in its systematic approach, which distinguishes it from traditional market-cap-weighted sector ETFs, making it an attractive option for income-seeking and value-oriented investors. While it offers a defensive role in a portfolio, investors should be mindful of its higher expense ratio and the inherent risks of sector concentration, particularly interest-rate sensitivity and regulatory pressures. It is best suited for long-term investors looking to complement broad-market holdings with a defensive, factor-tilted utility position.
How to Read the Upturn Advisory
The Upturn Star Rating and the current BUY, SELL, or PASS advisory are generated by Upturn’s AI advisory engine based on proprietary signal analysis, price behavior, advisory history, and historical signal performance.
ETF holdings, costs, diversification, valuation, risks, and market conditions provide supporting context about the fund.
Investor Fit
| Investor style | Fit | Why |
|---|---|---|
| Growth investor | Mixed fit | Utilities are traditionally defensive and slow-growing, which may not align with aggressive growth objectives. |
| Momentum investor | Strong fit while signal remains positive | The AlphaDEX methodology incorporates factors that can align with positive momentum trends when the sector is favored. |
| Value investor | Strong fit | The fund specifically screens for value metrics, making it a natural choice for value-oriented sector exposure. |
| Dividend/Income investor | Strong fit | The utilities sector is a reliable source of dividends, fitting well with income-focused investment goals. |
| Low-risk investor | Strong fit | Utilities are considered defensive assets with lower historical volatility compared to the broader equity market. |
Investor Profile
Ideal Investor Profile
The ideal investor is a conservative or income-focused individual seeking stable, defensive exposure to the utility sector with a preference for fundamental stock selection over pure market-cap weighting.
Suitability
It is best suited for long-term investors holding the fund as part of a diversified portfolio, rather than active traders.
Risk Profile
| Risk factor | Level | Why it matters |
|---|---|---|
| Volatility | Medium | While utilities are generally defensive, sector-specific regulatory or interest rate changes can induce price swings. |
| Market risk | Medium | The fund is subject to the general performance of the US equity market and specifically the utility sector. |
| Concentration | High | By focusing exclusively on the utilities sector, the fund lacks diversification across other economic industries. |
| Tracking/expense | Medium | The higher expense ratio compared to passive peers can create a performance drag over long holding periods. |
| Liquidity | Medium | Lower trading volumes relative to massive sector ETFs may lead to wider spreads in stressed markets. |
| Business/sector quality | Medium | Utility business models are heavily regulated, and changes in public policy can significantly impact profitability. |
Risk Analysis
Volatility
FXU exhibits moderate volatility, consistent with the defensive nature of utilities but subject to interest-rate sensitivity.
Market Risk
The primary risk is sector-specific; because the fund is concentrated in utilities, it is vulnerable to regulatory and macro-economic factors that impact the entire industry.
What the ETF Owns
| Exposure Type | Exposure | Weight (%) | Retail Investor Read |
|---|---|---|---|
| Sector | US Utility Stocks (Electric, Gas, Water) | 99.5 | This exposure provides broad access to essential utility services that typically exhibit defensive characteristics. |
| Cash/collateral | Cash and Cash Equivalents | 0.5 | Minimal cash is held to maintain liquidity for daily operations and rebalancing activities. |
Price Behavior
Rolling Over
The price momentum is slowing down and beginning to turn downward.
Very Smooth
The stock has followed a highly orderly price path with minimal short-term disruption.
Analysis of Past Performance
Type ETF | Historic Profit 26.49% | Avg. Invested days 62 | Today’s Advisory PASS |
Upturn Advisory Rating  | Upturn Advisory Performance  4.0 | ETF Returns Performance  4.0 |
| Profits based on simulation | Last Close 09/25/2026 |
ETF Fundamentals 
Source: EOD Historical Data • Updated Sep 26, 2026
Fund Basics
| Metric | Value |
|---|---|
| Fund Size (AUM) | $743.85M |
| Issuer | First Trust |
| Expense Ratio | 0.64% |
| Distribution Yield | 2.29% |
| Inception | May 8, 2007 |
Performance
| Period | Total Return |
|---|---|
| YTD | -0.33% |
| 1 Year | +1.67% |
| 3 Year | +16.28% |
| 5 Year | +10.58% |
| 10 Year | +8.05% |
Risk Metrics
| Metric | Value |
|---|---|
| 1Y Volatility | 14.61% |
| 3Y Volatility | 14.64% |
| 3Y Sharpe Ratio | 0.9 |
Ratings
| Metric | Value |
|---|---|
| Morningstar Rating | ★★★★★ |
| Sustainability Rating | 2 / 5 |
| Benchmark | MSCI ACWI NR USD |
Market Cap Distribution
| Cap Size | Weight |
|---|---|
| Mid Cap | 62.13% |
| Small Cap | 32.53% |
| Large Cap | 3.43% |
Top Sectors
| Sector | Weight |
|---|---|
| Utilities | 92.31% |
| Energy | 4.75% |
| Industrials | 2.94% |
| Basic Materials | 0.00% |
Asset Allocation
Portfolio Characteristics
| Metric | Value |
|---|---|
| Portfolio P/E | 14.95x |
| Portfolio P/B | 1.76x |
| Portfolio P/S | 2.05x |
| Holdings Turnover | 0.0% |
Top Holdings
| Holding | Weight |
|---|---|
| UGI | 4.90% |
| National Fuel Gas | 4.76% |
| The AES | 4.71% |
| Consolidated Edison | 4.32% |
| Eversource Energy | 4.11% |
Upturn AI Summary
AI Summarization is directionally correct and might not be accurate.
Summarized information shown could be a few years old and not current.
Fundamental Rating based on AI could be based on old data.
AI-generated summaries may have inaccuracies (hallucinations). Please verify the information before taking action.
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