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Upturn AI SWOT - About
First Trust Small Cap Growth AlphaDEX® Fund (FYC)
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Upturn Advisory Summary
08/29/2025: FYC (2-star) has a low Upturn Star Rating. Not recommended to BUY.
Upturn Star Rating
Below Average Performance
These Stocks/ETFs, based on Upturn Advisory, often underperform the market, warranting careful consideration before investing.
Analysis of Past Performance
Type ETF | Historic Profit 44.87% | Avg. Invested days 93 | Today’s Advisory Consider higher Upturn Star rating |
Upturn Star Rating | Upturn Advisory Performance  4.0 | ETF Returns Performance  5.0 |
| Profits based on simulation | Last Close 08/29/2025 |
Key Highlights
Volume (30-day avg) - | Beta 1.19 | 52 Weeks Range 59.29 - 84.86 | Updated Date 06/29/2025 |
52 Weeks Range 59.29 - 84.86 | Updated Date 06/29/2025 |
Upturn AI SWOT
First Trust Small Cap Growth AlphaDEX® Fund
ETF Overview
Overview
The First Trust Small Cap Growth AlphaDEXu00ae Fund (FYC) seeks investment results that correspond generally to the price and yield of an index called the NASDAQ AlphaDEXu00ae Small Cap Growth Index. It focuses on small-cap U.S. growth stocks using a quantitative methodology.
Reputation and Reliability
First Trust is a well-established and reputable ETF issuer with a broad range of investment products.
Management Expertise
First Trust Advisors L.P. has a seasoned management team experienced in quantitative investing and ETF management.
Investment Objective
Goal
Seeks investment results that correspond generally to the price and yield of the NASDAQ AlphaDEXu00ae Small Cap Growth Index.
Investment Approach and Strategy
Strategy: The fund employs a quantitative, rules-based strategy to select and weight stocks, aiming to outperform traditional market-cap weighted indexes.
Composition Primarily holds stocks of small-cap U.S. growth companies selected based on growth factors.
Market Position
Market Share: FYC holds a moderate market share within the small-cap growth ETF category.
Total Net Assets (AUM): 133.24
Competitors
Key Competitors
- IWO
- VCR
- VBK
- RPG
- IUSG
Competitive Landscape
The small-cap growth ETF market is highly competitive. FYC differentiates itself through its AlphaDEXu00ae methodology, which aims to select stocks based on growth factors. Competitors focus on a market cap weighted index and some growth ETFs may outperform FYC in certain market environments, while FYC may excel during periods favoring its specific factor exposures.
Financial Performance
Historical Performance: Historical performance varies depending on the time frame and market conditions. Investors should review specific period returns before investing.
Benchmark Comparison: The fund's performance should be compared to the NASDAQ AlphaDEXu00ae Small Cap Growth Index to assess its tracking effectiveness.
Expense Ratio: 0.6
Liquidity
Average Trading Volume
The fund's average daily trading volume reflects adequate liquidity for most investors.
Bid-Ask Spread
The bid-ask spread is typically reasonable, but it can fluctuate with market volatility.
Market Dynamics
Market Environment Factors
Economic growth, interest rates, and investor sentiment towards small-cap stocks all influence FYC's performance.
Growth Trajectory
The fund's growth is tied to the performance of the underlying small-cap growth stocks selected by the AlphaDEXu00ae methodology, with periodic rebalancing and reconstitution potentially impacting holdings.
Moat and Competitive Advantages
Competitive Edge
FYC's primary advantage is its AlphaDEXu00ae methodology, which aims to identify and overweight stocks with the strongest growth potential. This can lead to outperformance during periods where the factors used in the methodology are rewarded by the market. The quantitative approach provides a systematic and rules-based process for stock selection, reducing the potential for human bias. The transparent methodology offers investors a clear understanding of the fund's strategy, and First Trust's expertise in ETF management adds further value.
Risk Analysis
Volatility
FYC may exhibit higher volatility compared to broader market indexes due to its focus on small-cap stocks.
Market Risk
The value of FYC's holdings is subject to market fluctuations and the specific risks associated with small-cap growth companies, including economic sensitivity and limited operating history.
Investor Profile
Ideal Investor Profile
FYC is suitable for investors seeking exposure to small-cap U.S. growth stocks and who believe in the effectiveness of the AlphaDEXu00ae methodology.
Market Risk
FYC may be appropriate for long-term investors with a moderate to high risk tolerance, rather than active traders seeking short-term gains.
Summary
The First Trust Small Cap Growth AlphaDEXu00ae Fund (FYC) offers exposure to a portfolio of U.S. small-cap growth companies using a quantitative methodology. It seeks to outperform traditional market-cap weighted indexes by selecting stocks based on growth factors. Its performance is subject to the volatility of small-cap stocks and the success of the AlphaDEXu00ae strategy. Investors should consider their risk tolerance and investment objectives before investing.
Peer Comparison
Sources and Disclaimers
Data Sources:
- First Trust Website
- ETF.com
- Morningstar
Disclaimers:
The data and analysis provided are for informational purposes only and should not be considered investment advice. Past performance is not indicative of future results. Consult with a qualified financial advisor before making any investment decisions.
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.
About First Trust Small Cap Growth AlphaDEX® Fund
Exchange NASDAQ | Headquaters - | ||
IPO Launch date - | CEO - | ||
Sector - | Industry - | Full time employees - | Website |
Full time employees - | Website | ||
The fund will normally invest at least 90% of its net assets (including investment borrowings) in the securities that comprise the index. The index is designed to select growth stocks from the NASDAQ US 700 Small Cap Index TM (the base index) that may generate positive alpha, or risk-adjusted returns, relative to traditional indices through the use of the AlphaDEX® selection methodology.
Note: This website is maintained by Upturn Corporation, which is an investment adviser registered with the U.S. Securities and Exchange Commission. Such registration does not imply a certain level of skill or training. Investing in securities has risks. Past performance is no guarantee of future returns. No assurance is provided as to any particular investment return, and you may lose money using our services. You are strongly advised to consult appropriate counsel before making any investments in companies you learn about through our services. You should obtain appropriate legal, tax, investment, accounting, and other advice that takes into account your investment portfolio and overall financial situation. You are solely responsible for conducting due diligence on a potential investment. We do not affect trades for you. You will select your own broker through which to transact. Investments are not FDIC insured, they are not guaranteed, and they may lose value. Please see the Privacy Policy, Terms of Use, and Disclosure for more information.