First
Trust
Exchange-Traded
AlphaDEX® Fund
|
FUND
NAME |
TICKER
SYMBOL |
EXCHANGE
|
ALPHADEX®
SECTOR FUNDS
|
|
|
First Trust
Consumer Discretionary AlphaDEX® Fund
|
FXD |
NYSE Arca
|
First Trust
Consumer Staples AlphaDEX® Fund
|
FXG |
NYSE Arca
|
First Trust
Energy AlphaDEX® Fund
|
FXN |
NYSE Arca
|
First Trust
Financials AlphaDEX® Fund
|
FXO |
NYSE Arca
|
First Trust
Health Care AlphaDEX® Fund
|
FXH |
NYSE Arca
|
First Trust
Industrials/Producer Durables AlphaDEX® Fund
|
FXR |
NYSE Arca
|
First Trust
Materials AlphaDEX® Fund
|
FXZ |
NYSE Arca
|
First Trust
Technology AlphaDEX® Fund
|
FXL |
NYSE Arca
|
First Trust
Utilities AlphaDEX® Fund
|
FXU |
NYSE Arca
|
ALPHADEX®
STYLE FUNDS
|
|
|
First Trust
Large Cap Core AlphaDEX® Fund
|
FEX |
Nasdaq
|
First Trust
Large Cap Growth AlphaDEX® Fund
|
FTC |
Nasdaq
|
First Trust
Large Cap Value AlphaDEX® Fund
|
FTA |
Nasdaq
|
First Trust
Mid Cap Core AlphaDEX®
Fund |
FNX |
Nasdaq |
First Trust
Mid Cap Growth AlphaDEX®
Fund |
FNY |
Nasdaq |
First Trust
Mid Cap Value AlphaDEX®
Fund |
FNK |
Nasdaq |
First Trust
Multi Cap Growth AlphaDEX®
Fund |
FAD |
Nasdaq |
First Trust
Multi Cap Value AlphaDEX®
Fund |
FAB |
Nasdaq |
First Trust
Small Cap Core AlphaDEX®
Fund |
FYX |
Nasdaq |
First Trust
Small Cap Growth AlphaDEX®
Fund |
FYC |
Nasdaq |
First Trust
Small Cap Value AlphaDEX®
Fund |
FYT |
Nasdaq |
Maximum
Sales Charge (Load) Imposed on Purchases (as a percentage of offering
price)
|
|
Management
Fees
|
|
Distribution
and Service (12b-1) Fees
|
|
Other
Expenses
|
|
Total Annual
Fund Operating Expenses
|
|
Fee Waiver
and Expense Reimbursement(1)
|
|
Net Annual
Fund Operating Expenses
|
|
1
Year
|
3
Years
|
5
Years
|
10
Years
|
$ |
$ |
$ |
$ |
|
|
|
|
|
|
|
|
|
1
Year
|
5
Years
|
10
Years
|
Since
Inception
|
Inception
Date
|
Return Before
Taxes
|
|
|
|
|
|
Return After
Taxes on Distributions
|
|
|
|
|
|
Return After
Taxes on Distributions and Sale of Fund
Shares
|
|
|
|
|
|
StrataQuant® Consumer
Discretionary Index
(reflects
no deduction for fees, expenses or
taxes)
|
|
|
|
|
|
Russell
1000® Index
(reflects no deduction for fees,
expenses
or taxes)
|
|
|
|
|
|
S&P
500® Consumer
Discretionary Index (reflects
no
deduction for fees, expenses or taxes)
|
|
|
|
|
|
Russell
1000® Consumer
Discretionary Index(1)
(reflects
no deduction for fees, expenses or
taxes)
|
|
|
|
|
|
Maximum
Sales Charge (Load) Imposed on Purchases (as a percentage of offering
price)
|
|
Management
Fees
|
|
Distribution
and Service (12b-1) Fees
|
|
Other
Expenses
|
|
Total Annual
Fund Operating Expenses
|
|
Fee Waiver
and Expense Reimbursement(1)
|
|
Net Annual
Fund Operating Expenses
|
|
1
Year
|
3
Years
|
5
Years
|
10
Years
|
$ |
$ |
$ |
$ |
|
|
|
|
|
|
|
|
|
1
Year
|
5
Years
|
10
Years
|
Since
Inception
|
Inception
Date
|
Return Before
Taxes
|
|
|
|
|
|
Return After
Taxes on Distributions
|
|
|
|
|
|
Return After
Taxes on Distributions and Sale of Fund
Shares
|
|
|
|
|
|
StrataQuant® Consumer
Staples Index (reflects no
deduction
for fees, expenses or taxes)
|
|
|
|
|
|
Russell
1000® Index
(reflects no deduction for fees,
expenses
or taxes)
|
|
|
|
|
|
S&P
500® Consumer
Staples Index (reflects no
deduction
for fees, expenses or taxes)
|
|
|
|
|
|
Russell
1000® Consumer
Staples Index(1) (reflects
no
deduction for fees, expenses or taxes)
|
|
|
|
|
|
Maximum
Sales Charge (Load) Imposed on Purchases (as a percentage of offering
price)
|
|
Management
Fees
|
|
Distribution
and Service (12b-1) Fees
|
|
Other
Expenses
|
|
Total
Annual Fund Operating Expenses
|
|
Fee
Waiver and Expense Reimbursement(1)
|
|
Net
Annual Fund Operating Expenses
|
|
1
Year
|
3
Years
|
5
Years
|
10
Years
|
$ |
$ |
$ |
$ |
|
|
|
|
|
|
|
|
|
1
Year
|
5
Years
|
10
Years
|
Since
Inception
|
Inception
Date
|
Return Before
Taxes
|
- |
- |
- |
- |
|
Return After
Taxes on Distributions
|
- |
- |
- |
- |
|
Return After
Taxes on Distributions and Sale of
Fund
Shares
|
- |
- |
- |
- |
|
StrataQuant® Energy Index
(reflects no deduction
for fees,
expenses or taxes)
|
- |
- |
- |
- |
|
Russell
1000® Index
(reflects no deduction for
fees,
expenses or taxes)
|
|
|
|
|
|
S&P
500® Energy Index
(reflects no deduction for
fees,
expenses or taxes)
|
- |
- |
- |
- |
|
Russell
1000® Energy
Index(1) (reflects no
deduction
for fees, expenses or taxes)
|
- |
- |
- |
|
|
Maximum
Sales Charge (Load) Imposed on Purchases (as a percentage of offering
price)
|
|
Management
Fees
|
|
Distribution
and Service (12b-1) Fees
|
|
Other
Expenses
|
|
Total Annual
Fund Operating Expenses
|
|
Fee Waiver
and Expense Reimbursement(1)
|
|
Net Annual
Fund Operating Expenses
|
|
1
Year
|
3
Years
|
5
Years
|
10
Years
|
$ |
$ |
$ |
$ |
|
|
|
|
|
|
|
|
|
1
Year
|
5
Years
|
10
Years
|
Since
Inception
|
Inception
Date
|
Return Before
Taxes
|
|
|
|
|
|
Return After
Taxes on Distributions
|
|
|
|
|
|
Return After
Taxes on Distributions and Sale of Fund
Shares
|
|
|
|
|
|
StrataQuant® Financials
Index (reflects no
deduction
for fees, expenses or taxes)
|
|
|
|
|
|
Russell
1000® Index
(reflects no deduction for fees,
expenses
or taxes)
|
|
|
|
|
|
S&P
500® Financials
Index (reflects no deduction
for fees,
expenses or taxes)
|
- |
|
|
|
|
Russell
1000® Financials
Index(1) (reflects no
deduction
for fees, expenses or taxes)
|
|
|
|
|
|
Maximum
Sales Charge (Load) Imposed on Purchases (as a percentage of offering
price)
|
|
Management
Fees
|
|
Distribution
and Service (12b-1) Fees
|
|
Other
Expenses
|
|
Total
Annual Fund Operating Expenses
|
|
Fee
Waiver and Expense Reimbursement(1)
|
|
Net
Annual Fund Operating Expenses
|
|
1
Year
|
3
Years
|
5
Years
|
10
Years
|
$ |
$ |
$ |
$ |
|
|
|
|
|
|
|
|
|
1
Year
|
5
Years
|
10
Years
|
Since
Inception
|
Inception
Date
|
Return Before
Taxes
|
|
|
|
|
|
Return After
Taxes on Distributions
|
|
|
|
|
|
Return After
Taxes on Distributions and Sale of Fund
Shares
|
|
|
|
|
|
StrataQuant® Health Care
Index (reflects no
deduction
for fees, expenses or taxes)
|
|
|
|
|
|
Russell
1000® Index
(reflects no deduction for fees,
expenses
or taxes)
|
|
|
|
|
|
S&P
500® Health Care
Index (reflects no deduction
for fees,
expenses or taxes)
|
|
|
|
|
|
Russell
1000® Health Care
Index(1) (reflects no
deduction
for fees, expenses or taxes)
|
|
|
|
|
|
Maximum
Sales Charge (Load) Imposed on Purchases (as a percentage of offering
price)
|
|
Management
Fees
|
|
Distribution
and Service (12b-1) Fees
|
|
Other
Expenses
|
|
Total Annual
Fund Operating Expenses
|
|
Fee Waiver
and Expense Reimbursement(1)
|
|
Net Annual
Fund Operating Expenses
|
|
1
Year
|
3
Years
|
5
Years
|
10
Years
|
$ |
$ |
$ |
$ |
|
|
|
|
|
|
|
|
|
1
Year
|
5
Years
|
10
Years
|
Since
Inception
|
Inception
Date
|
Return Before
Taxes
|
|
|
|
|
|
Return After
Taxes on Distributions
|
|
|
|
|
|
Return After
Taxes on Distributions and Sale of Fund
Shares
|
|
|
|
|
|
StrataQuant® Industrials
Index (reflects no
deduction
for fees, expenses or taxes)
|
|
|
|
|
|
Russell
1000® Index
(reflects no deduction for fees,
expenses
or taxes)
|
|
|
|
|
|
S&P
500® Industrials
Index (reflects no deduction
for fees,
expenses or taxes)
|
|
|
|
|
|
Russell
1000® Industrials
Index(1) (reflects no
deduction
for fees, expenses or taxes)
|
|
|
|
|
|
Maximum
Sales Charge (Load) Imposed on Purchases (as a percentage of offering
price)
|
|
Management
Fees
|
|
Distribution
and Service (12b-1) Fees
|
|
Other
Expenses
|
|
Total Annual
Fund Operating Expenses
|
|
Fee Waiver
and Expense Reimbursement(1)
|
|
Net Annual
Fund Operating Expenses
|
|
1
Year
|
3
Years
|
5
Years
|
10
Years
|
$ |
$ |
$ |
$ |
|
|
|
|
|
|
|
|
|
1
Year
|
5
Years
|
10
Years
|
Since
Inception
|
Inception
Date
|
Return Before
Taxes
|
|
|
|
|
|
Return After
Taxes on Distributions
|
|
|
|
|
|
Return After
Taxes on Distributions and Sale of Fund
Shares
|
|
|
|
|
|
StrataQuant® Materials
Index (reflects no deduction
for fees,
expenses or taxes)
|
|
|
|
|
|
Russell
1000® Index
(reflects no deduction for fees,
expenses
or taxes)
|
|
|
|
|
|
S&P
500® Materials
Index (reflects no deduction for
fees,
expenses or taxes)
|
|
|
|
|
|
Russell
1000® Basic
Materials Index(1) (reflects no
deduction
for fees, expenses or taxes)
|
|
|
|
|
|
Maximum
Sales Charge (Load) Imposed on Purchases (as a percentage of offering
price)
|
|
Management
Fees
|
|
Distribution
and Service (12b-1) Fees
|
|
Other
Expenses
|
|
Total
Annual Fund Operating Expenses
|
|
Fee
Waiver and Expense Reimbursement(1)
|
|
Net
Annual Fund Operating Expenses
|
|
1
Year
|
3
Years
|
5
Years
|
10
Years
|
$ |
$ |
$ |
$ |
|
|
|
|
|
|
|
|
|
1
Year
|
5
Years
|
10
Years
|
Since
Inception
|
Inception
Date
|
Return Before
Taxes
|
|
|
|
|
|
Return After
Taxes on Distributions
|
|
|
|
|
|
Return After
Taxes on Distributions and Sale of Fund
Shares
|
|
|
|
|
|
StrataQuant® Technology
Index (reflects no
deduction
for fees, expenses or taxes)
|
|
|
|
|
|
Russell
1000® Index
(reflects no deduction for fees,
expenses
or taxes)
|
|
|
|
|
|
S&P
500® Information
Technology Index (reflects
no
deduction for fees, expenses or taxes)
|
|
|
|
|
|
Russell
1000® Technology
Index(1) (reflects no
deduction
for fees, expenses or taxes)
|
|
|
|
|
|
Maximum
Sales Charge (Load) Imposed on Purchases (as a percentage of offering
price)
|
|
Management
Fees
|
|
Distribution
and Service (12b-1) Fees
|
|
Other
Expenses
|
|
Total Annual
Fund Operating Expenses
|
|
Fee Waiver
and Expense Reimbursement(1)
|
|
Net Annual
Fund Operating Expenses
|
|
1
Year
|
3
Years
|
5
Years
|
10
Years
|
$ |
$ |
$ |
$ |
|
|
|
|
|
|
|
|
|
1
Year
|
5
Years
|
10
Years
|
Since
Inception
|
Inception
Date
|
Return Before
Taxes
|
|
|
|
|
|
Return After
Taxes on Distributions
|
- |
|
|
|
|
Return After
Taxes on Distributions and Sale of Fund
Shares
|
|
|
|
|
|
StrataQuant® Utilities
Index (reflects no deduction
for fees,
expenses or taxes)
|
|
|
|
|
|
Russell
1000® Index
(reflects no deduction for fees,
expenses
or taxes)
|
|
|
|
|
|
S&P
500® Utilities
Index (reflects no deduction for
fees,
expenses or taxes)
|
|
|
|
|
|
Russell
1000® Utilities
Index(1) (reflects no
deduction
for fees, expenses or taxes)
|
- |
|
|
|
|
Maximum
Sales Charge (Load) Imposed on Purchases (as a percentage of offering
price)
|
|
Management
Fees
|
|
Distribution
and Service (12b-1) Fees
|
|
Other
Expenses
|
|
Total
Annual Fund Operating Expenses
|
|
Fee
Waiver and Expense Reimbursement(1)
|
|
Net
Annual Fund Operating Expenses
|
|
1
Year
|
3
Years
|
5
Years
|
10
Years
|
$ |
$ |
$ |
$ |
|
|
|
|
|
|
|
|
|
1
Year
|
5
Years
|
10
Years
|
Since
Inception
|
Inception
Date
|
Return Before
Taxes
|
|
|
|
|
|
Return After
Taxes on Distributions
|
|
|
|
|
|
Return After
Taxes on Distributions and Sale of Fund
Shares
|
|
|
|
|
|
Nasdaq
AlphaDEX® Large Cap
Core Index(1) (reflects
no
deduction for fees, expenses or taxes)
|
|
|
|
|
|
Nasdaq US 500
Large Cap IndexTM(1) (reflects no
deduction
for fees, expenses or taxes)
|
|
|
|
|
|
S&P
500® Index
(reflects no deduction for fees,
expenses
or taxes)
|
|
|
|
|
|
Maximum
Sales Charge (Load) Imposed on Purchases (as a percentage of offering
price)
|
|
Management
Fees
|
|
Distribution
and Service (12b-1) Fees
|
|
Other
Expenses
|
|
Total Annual
Fund Operating Expenses
|
|
Fee Waiver
and Expense Reimbursement(1)
|
|
Net Annual
Fund Operating Expenses
|
|
1
Year
|
3
Years
|
5
Years
|
10
Years
|
$ |
$ |
$ |
$ |
|
|
|
|
|
|
|
|
|
1
Year
|
5
Years
|
10
Years
|
Since
Inception
|
Inception
Date
|
Return Before
Taxes
|
|
|
|
|
|
Return After
Taxes on Distributions
|
|
|
|
|
|
Return After
Taxes on Distributions and Sale of Fund
Shares
|
|
|
|
|
|
Nasdaq
AlphaDEX® Large Cap
Growth Index(1)
(reflects
no deduction for fees, expenses or
taxes)
|
|
|
|
|
|
Nasdaq US 500
Large Cap Growth Index(1) (reflects
no
deduction for fees, expenses or taxes)
|
|
|
|
|
|
S&P
500® Index
(reflects no deduction for fees,
expenses
or taxes)
|
|
|
|
|
|
S&P
500® Growth Index
(reflects no deduction for
fees,
expenses or taxes)
|
|
|
|
|
|
Maximum
Sales Charge (Load) Imposed on Purchases (as a percentage of offering
price)
|
|
Management
Fees
|
|
Distribution
and Service (12b-1) Fees
|
|
Other
Expenses
|
|
Total Annual
Fund Operating Expenses
|
|
Fee Waiver
and Expense Reimbursement(1)
|
|
Net Annual
Fund Operating Expenses
|
|
1
Year
|
3
Years
|
5
Years
|
10
Years
|
$ |
$ |
$ |
$ |
|
|
|
|
|
|
|
|
|
1
Year
|
5
Years
|
10
Years
|
Since
Inception
|
Inception
Date
|
Return Before
Taxes
|
- |
|
|
|
|
Return After
Taxes on Distributions
|
- |
|
|
|
|
Return After
Taxes on Distributions and Sale of Fund
Shares
|
- |
|
|
|
|
Nasdaq
AlphaDEX® Large Cap
Value Index(1)
(reflects
no deduction for fees, expenses or
taxes)
|
|
|
|
|
|
Nasdaq US 500
Large Cap Value Index(1) (reflects no
deduction
for fees, expenses or taxes)
|
|
|
|
|
|
S&P
500® Index
(reflects no deduction for fees,
expenses
or taxes)
|
|
|
|
|
|
S&P
500® Value Index
(reflects no deduction for
fees,
expenses or taxes)
|
|
|
|
|
|
Maximum
Sales Charge (Load) Imposed on Purchases (as a percentage of offering
price)
|
|
Management
Fees
|
|
Distribution
and Service (12b-1) Fees
|
|
Other
Expenses
|
|
Total Annual
Fund Operating Expenses
|
|
Fee Waiver
and Expense Reimbursement(1)
|
|
Net Annual
Fund Operating Expenses
|
|
1
Year
|
3
Years
|
5
Years
|
10
Years
|
$ |
$ |
$ |
$ |
|
|
|
|
|
|
|
|
|
1
Year
|
5
Years
|
10
Years
|
Since
Inception
|
Inception
Date
|
Return Before
Taxes
|
|
|
|
|
|
Return After
Taxes on Distributions
|
|
|
|
|
|
Return After
Taxes on Distributions and Sale of Fund
Shares
|
|
|
|
|
|
Nasdaq
AlphaDEX® Mid Cap Core
Index(1) (reflects
no
deduction for fees, expenses or taxes)
|
|
|
|
|
|
Nasdaq US 600
Mid Cap IndexTM(1) (reflects no
deduction
for fees, expenses or taxes)
|
|
|
|
|
|
S&P
MidCap 400® Index
(reflects no deduction for
fees,
expenses or taxes)
|
|
|
|
|
|
Maximum
Sales Charge (Load) Imposed on Purchases (as a percentage of offering
price)
|
|
Management
Fees
|
|
Distribution
and Service (12b-1) Fees
|
|
Other
Expenses
|
|
Total
Annual Fund Operating Expenses
|
|
1
Year
|
3
Years
|
5
Years
|
10
Years
|
$ |
$ |
$ |
$ |
|
|
|
|
|
|
|
|
|
1
Year
|
5
Years
|
Since
Inception
|
Inception
Date
|
Return Before
Taxes
|
|
|
|
|
Return After
Taxes on Distributions
|
|
|
|
|
Return After
Taxes on Distributions and Sale of Fund Shares
|
|
|
|
|
Nasdaq
AlphaDEX® Mid Cap
Growth Index(1) (reflects no
deduction
for fees, expenses or taxes)
|
|
|
|
|
Nasdaq US 600
Mid Cap Growth Index(1) (reflects no
deduction
for fees,
expenses or taxes)
|
|
|
|
|
S&P
MidCap 400® Growth Index
(reflects no deduction for fees,
expenses
or taxes)
|
|
|
|
|
Maximum
Sales Charge (Load) Imposed on Purchases (as a percentage of offering
price)
|
|
Management
Fees
|
|
Distribution
and Service (12b-1) Fees
|
|
Other
Expenses
|
|
Total
Annual Fund Operating Expenses
|
|
1
Year
|
3
Years
|
5
Years
|
10
Years
|
$ |
$ |
$ |
$ |
|
|
|
|
|
|
|
|
|
1
Year
|
5
Years
|
Since
Inception
|
Inception
Date
|
Return Before
Taxes
|
|
|
|
|
Return After
Taxes on Distributions
|
|
|
|
|
Return After
Taxes on Distributions and Sale of Fund Shares
|
|
|
|
|
Nasdaq
AlphaDEX® Mid Cap
Value Index(1) (reflects no
deduction
for fees,
expenses or taxes)
|
|
|
|
|
Nasdaq US 600
Mid Cap Value IndexTM(1) (reflects no
deduction
for fees,
expenses or taxes)
|
|
|
|
|
S&P
MidCap 400® Value Index
(reflects no deduction for fees,
expenses
or taxes)
|
|
|
|
|
Maximum
Sales Charge (Load) Imposed on Purchases (as a percentage of offering
price)
|
|
Management
Fees
|
|
Distribution
and Service (12b-1) Fees
|
|
Other
Expenses
|
|
Total
Annual Fund Operating Expenses
|
|
Fee
Waiver and Expense Reimbursement(1)
|
|
Net
Annual Fund Operating Expenses
|
|
1
Year
|
3
Years
|
5
Years
|
10
Years
|
$ |
$ |
$ |
$ |
|
|
|
|
|
|
|
|
|
1
Year
|
5
Years
|
10
Years
|
Since
Inception
|
Inception
Date
|
Return Before
Taxes
|
|
|
|
|
|
Return After
Taxes on Distributions
|
|
|
|
|
|
Return After
Taxes on Distributions and Sale of Fund
Shares
|
|
|
|
|
|
Nasdaq
AlphaDEX® Multi Cap
Growth Index(1)
(reflects
no deduction for fees, expenses or
taxes)
|
|
|
|
|
|
Nasdaq US
Multi Cap Growth Index(1) (reflects no
deduction
for fees, expenses or taxes)
|
|
|
|
|
|
S&P
Composite 1500® Index
(reflects no deduction
for fees,
expenses or taxes)
|
|
|
|
|
|
S&P
Composite 1500® Growth Index
(reflects no
deduction
for fees, expenses or taxes)
|
|
|
|
|
|
Maximum
Sales Charge (Load) Imposed on Purchases (as a percentage of offering
price)
|
|
Management
Fees
|
|
Distribution
and Service (12b-1) Fees
|
|
Other
Expenses
|
|
Total Annual
Fund Operating Expenses |
|
Fee Waiver
and Expense Reimbursement(1)
|
|
Net Annual
Fund Operating Expenses |
|
1
Year
|
3
Years
|
5
Years
|
10
Years
|
$ |
$ |
$ |
$ |
|
|
|
|
|
|
|
|
|
1
Year
|
5
Years
|
10
Years
|
Since
Inception
|
Inception
Date
|
Return Before
Taxes
|
|
|
|
|
|
Return After
Taxes on Distributions
|
|
|
|
|
|
Return After
Taxes on Distributions and Sale of Fund
Shares
|
|
|
|
|
|
Nasdaq
AlphaDEX® Multi Cap
Value Index(1)
(reflects
no deduction for fees, expenses or
taxes)
|
|
|
|
|
|
Nasdaq US
Multi Cap Value Index(1) (reflects no
deduction
for fees, expenses or taxes)
|
|
|
|
|
|
S&P
Composite 1500® Index
(reflects no deduction
for fees,
expenses or taxes)
|
|
|
|
|
|
S&P
Composite 1500® Value Index
(reflects no
deduction
for fees, expenses or taxes)
|
|
|
|
|
|
Maximum
Sales Charge (Load) Imposed on Purchases (as a percentage of offering
price)
|
|
Management
Fees
|
|
Distribution
and Service (12b-1) Fees
|
|
Other
Expenses
|
|
Acquired Fund
Fees and Expenses
|
|
Total
Annual Fund Operating Expenses
|
|
Fee Waiver
and Expense Reimbursement(1)
|
|
Net Annual
Fund Operating Expenses
|
|
1
Year
|
3
Years
|
5
Years
|
10
Years
|
$ |
$ |
$ |
$ |
|
|
|
|
|
|
|
|
|
1
Year
|
5
Years
|
10
Years
|
Since
Inception
|
Inception
Date
|
Return Before
Taxes
|
|
|
|
|
|
Return After
Taxes on Distributions
|
|
|
|
|
|
Return After
Taxes on Distributions and Sale of Fund
Shares
|
|
|
|
|
|
Nasdaq
AlphaDEX® Small Cap
Core Index(1) (reflects
no
deduction for fees, expenses or taxes)
|
|
|
|
|
|
Nasdaq US 700
Small Cap IndexTM(1) (reflects no
deduction
for fees, expenses or taxes)
|
|
|
|
|
|
S&P
SmallCap 600® Index
(reflects no deduction for
fees,
expenses or taxes)
|
|
|
|
|
|
Maximum
Sales Charge (Load) Imposed on Purchases (as a percentage of offering
price)
|
|
Management
Fees
|
|
Distribution
and Service (12b-1) Fees
|
|
Other
Expenses
|
|
Acquired Fund
Fees and Expenses
|
|
Total Annual
Fund Operating Expenses
|
|
1
Year
|
3
Years
|
5
Years
|
10
Years
|
$ |
$ |
$ |
$ |
|
|
|
|
|
|
|
|
|
1
Year
|
5
Years
|
Since
Inception
|
Inception
Date
|
Return Before
Taxes
|
|
|
|
|
Return After
Taxes on Distributions
|
|
|
|
|
Return After
Taxes on Distributions and Sale of Fund Shares
|
|
|
|
|
Nasdaq
AlphaDEX® Small Cap
Growth Index(1) (reflects no
deduction
for fees, expenses or taxes)
|
|
|
|
|
Nasdaq US 700
Small Cap Growth Index(1) (reflects no
deduction
for fees,
expenses or taxes)
|
|
|
|
|
S&P
SmallCap 600® Growth Index
(reflects no deduction for
fees,
expenses or taxes)
|
|
|
|
|
Maximum
Sales Charge (Load) Imposed on Purchases (as a percentage of offering
price)
|
|
Management
Fees
|
|
Distribution
and Service (12b-1) Fees
|
|
Other
Expenses
|
|
Acquired Fund
Fees and Expenses
|
|
Total Annual
Fund Operating Expenses
|
|
1
Year
|
3
Years
|
5
Years
|
10
Years
|
$ |
$ |
$ |
$ |
|
|
|
|
|
|
|
|
|
1
Year
|
5
Years
|
Since
Inception
|
Inception
Date
|
Return Before
Taxes
|
|
|
|
|
Return After
Taxes on Distributions
|
|
|
|
|
Return After
Taxes on Distributions and Sale of Fund Shares
|
|
|
|
|
Nasdaq
AlphaDEX® Small Cap
Value Index(1) (reflects no
deduction
for fees, expenses or taxes)
|
|
|
|
|
Nasdaq US 700
Small Cap Value IndexTM(1) (reflects no
deduction
for fees,
expenses or taxes)
|
|
|
|
|
S&P
SmallCap 600® Value Index
(reflects no deduction for fees,
expenses
or taxes)
|
|
|
|
|
Fund
|
Annual
Management
Fee
(% of
average
daily
net
assets) |
Annual
Expense
Cap
(% of
average
daily
net
assets) |
Expense
Cap
Termination
Date
|
Management
Fee Paid
for
the Year
Ended
7/31/2021
(% of
average
daily net
assets) |
First Trust
Consumer Discretionary AlphaDEX® Fund (FXD)
|
0.50% |
0.70% |
November 30, 2022
|
0.50%
|
First Trust
Consumer Staples AlphaDEX® Fund (FXG)
|
0.50% |
0.70% |
November 30, 2022
|
0.50%
|
First Trust
Energy AlphaDEX® Fund (FXN)
|
0.50% |
0.70% |
November 30, 2022
|
0.50%
|
First Trust
Financials AlphaDEX® Fund (FXO)
|
0.50% |
0.70% |
November 30, 2022
|
0.50%
|
First Trust
Health Care AlphaDEX® Fund (FXH)
|
0.50% |
0.70% |
November 30, 2022
|
0.50%
|
First Trust
Industrials/Producer Durables
AlphaDEX® Fund (FXR)
|
0.50% |
0.70% |
November 30, 2022
|
0.50%
|
First Trust
Materials AlphaDEX® Fund (FXZ)
|
0.50% |
0.70% |
November 30, 2022
|
0.50%
|
First Trust
Technology AlphaDEX® Fund (FXL)
|
0.50% |
0.70% |
November 30, 2022
|
0.50%
|
First Trust
Utilities AlphaDEX® Fund (FXU)
|
0.50% |
0.70% |
November 30, 2022
|
0.50%
|
First Trust
Large Cap Core AlphaDEX® Fund (FEX)
|
0.50% |
0.70% |
November 30, 2022
|
0.50%
|
First Trust
Large Cap Growth AlphaDEX® Fund (FTC)
|
0.50% |
0.70% |
November 30, 2022
|
0.50%
|
First Trust
Large Cap Value AlphaDEX® Fund (FTA)
|
0.50% |
0.70% |
November 30, 2022
|
0.50%
|
First Trust
Mid Cap Core AlphaDEX® Fund
(FNX) |
0.50% |
0.70% |
November 30,
2022 |
0.50% |
Fund
|
Annual
Management
Fee
(% of
average
daily
net
assets) |
Annual
Expense
Cap
(% of
average
daily
net
assets) |
Expense
Cap
Termination
Date
|
Management
Fee Paid
for
the Year
Ended
7/31/2021
(% of
average
daily net
assets) |
First Trust
Mid Cap Growth AlphaDEX® Fund
(FNY) |
0.70% |
N/A |
N/A |
0.70% |
First Trust
Mid Cap Value AlphaDEX® Fund
(FNK) |
0.70% |
N/A |
N/A |
0.70% |
First Trust
Multi Cap Growth AlphaDEX® Fund
(FAD) |
0.50% |
0.70% |
November 30,
2022 |
0.50% |
First Trust
Multi Cap Value AlphaDEX® Fund
(FAB) |
0.50% |
0.70% |
November 30,
2022 |
0.50% |
First Trust
Small Cap Core AlphaDEX® Fund
(FYX) |
0.50% |
0.70% |
November 30,
2022 |
0.50% |
First Trust
Small Cap Growth AlphaDEX® Fund
(FYC) |
0.70% |
N/A |
N/A |
0.70% |
First Trust
Small Cap Value AlphaDEX® Fund
(FYT) |
0.70% |
N/A |
N/A |
0.70% |
|
|
Average
Annual |
Cumulative
| ||||
|
1 Year
|
5 Years
|
10 Years
|
Inception
(5/8/2007)
|
5 Years
|
10 Years
|
Inception
(5/8/2007)
|
Fund
Performance
|
|
|
|
|
|
|
|
Net Asset
Value |
54.99% |
12.18% |
12.09% |
9.03% |
77.62% |
213.07% |
242.06% |
Market
Price |
54.93% |
12.18% |
12.09% |
9.03% |
77.64% |
213.02% |
242.00% |
Index
Performance
|
|
|
|
|
|
|
|
StrataQuant® Consumer
Discretionary Index |
56.01% |
12.88% |
12.82% |
9.79% |
83.24% |
234.15% |
277.61% |
Russell
1000® Index
|
37.97% |
17.60% |
15.39% |
10.21% |
124.90% |
318.37% |
299.08% |
S&P
500® Consumer
Discretionary Index |
26.40% |
18.74% |
18.12% |
13.03% |
136.07% |
428.73% |
471.31% |
Russell
1000® Consumer
Discretionary
Index(1)
|
34.98% |
20.04% |
18.38% |
N/A |
149.28% |
440.49% |
N/A |
|
|
Average
Annual |
Cumulative
| ||||
|
1 Year
|
5 Years
|
10 Years
|
Inception
(5/8/2007)
|
5 Years
|
10 Years
|
Inception
(5/8/2007)
|
Fund
Performance
|
|
|
|
|
|
|
|
Net Asset
Value |
16.88% |
4.44% |
10.37% |
9.08% |
24.25% |
168.29% |
244.59% |
Market
Price |
16.95% |
4.44% |
10.38% |
9.08% |
24.27% |
168.45% |
244.64% |
Index
Performance
|
|
|
|
|
|
|
|
StrataQuant® Consumer
Staples Index |
17.57% |
5.14% |
11.16% |
9.87% |
28.46% |
188.15% |
281.80% |
Russell
1000® Index
|
37.97% |
17.60% |
15.39% |
10.21% |
124.90% |
318.37% |
299.08% |
S&P
500® Consumer
Staples Index |
18.20% |
8.74% |
11.94% |
10.13% |
52.06% |
208.81% |
294.96% |
Russell
1000® Consumer
Staples Index(1)
|
17.40% |
6.55% |
10.98% |
N/A |
37.34% |
183.49% |
N/A |
|
|
Average
Annual |
Cumulative
| ||||
|
1 Year
|
5 Years
|
10 Years
|
Inception
(5/8/2007)
|
5 Years
|
10 Years
|
Inception
(5/8/2007)
|
Fund
Performance
|
|
|
|
|
|
|
|
Net Asset
Value |
66.66% |
-4.53% |
-6.38% |
-3.25% |
-20.68% |
-48.28% |
-37.56% |
Market
Price |
66.51% |
-4.54% |
-6.40% |
-3.26% |
-20.75% |
-48.37% |
-37.61% |
Index
Performance
|
|
|
|
|
|
|
|
StrataQuant® Energy
Index |
68.15% |
-3.93% |
-5.85% |
-2.67% |
-18.15% |
-45.27% |
-31.94% |
Russell
1000® Index
|
37.97% |
17.60% |
15.39% |
10.21% |
124.90% |
318.37% |
299.08% |
S&P
500® Energy
Index |
44.43% |
-2.12% |
-0.95% |
0.76% |
-10.15% |
-9.10% |
11.32% |
Russell
1000® Energy
Index(1)
|
47.00% |
-1.89% |
-1.30% |
N/A |
-9.09% |
-12.28% |
N/A |
|
|
Average
Annual |
Cumulative
| ||||
|
1 Year
|
5 Years
|
10 Years
|
Inception
(5/8/2007)
|
5 Years
|
10 Years
|
Inception
(5/8/2007)
|
Fund
Performance
|
|
|
|
|
|
|
|
Net Asset
Value |
71.99% |
15.00% |
14.07% |
7.56% |
101.17% |
273.12% |
182.00% |
Market
Price |
71.95% |
15.00% |
14.08% |
7.56% |
101.12% |
273.30% |
181.92% |
Index
Performance
|
|
|
|
|
|
|
|
StrataQuant®
Financials Index |
73.24% |
15.81% |
14.90% |
8.42% |
108.30% |
300.94% |
215.87% |
Russell
1000® Index
|
37.97% |
17.60% |
15.39% |
10.21% |
124.90% |
318.37% |
299.08% |
S&P
500®
Financials Index |
55.21% |
16.14% |
14.07% |
3.44% |
111.27% |
273.14% |
61.80% |
Russell
1000®
Financials Index(1)
|
52.82% |
17.80% |
15.36% |
N/A |
126.82% |
317.27% |
N/A |
|
|
Average
Annual |
Cumulative
| ||||
|
1 Year
|
5 Years
|
10 Years
|
Inception
(5/8/2007)
|
5 Years
|
10 Years
|
Inception
(5/8/2007)
|
Fund
Performance
|
|
|
|
|
|
|
|
Net Asset
Value |
28.08% |
14.67% |
15.69% |
13.61% |
98.26% |
329.49% |
514.23% |
Market
Price |
28.11% |
14.68% |
15.69% |
13.61% |
98.31% |
329.45% |
514.38% |
Index
Performance
|
|
|
|
|
|
|
|
StrataQuant® Health
Care Index |
28.88% |
15.44% |
16.46% |
14.42% |
104.97% |
359.11% |
579.74% |
Russell
1000® Index
|
37.97% |
17.60% |
15.39% |
10.21% |
124.90% |
318.37% |
299.08% |
S&P
500® Health
Care Index |
27.33% |
14.06% |
16.68% |
11.56% |
93.01% |
367.73% |
374.31% |
Russell
1000® Health
Care Index(1)
|
27.50% |
14.84% |
17.21% |
N/A |
99.70% |
389.28% |
N/A |
|
|
Average
Annual |
Cumulative
| ||||
|
1 Year
|
5 Years
|
10 Years
|
Inception
(5/8/2007)
|
5 Years
|
10 Years
|
Inception
(5/8/2007)
|
Fund
Performance
|
|
|
|
|
|
|
|
Net Asset
Value |
53.21% |
16.53% |
13.73% |
8.86% |
114.90% |
261.95% |
234.58% |
Market
Price |
53.25% |
16.53% |
13.75% |
8.86% |
114.90% |
262.55% |
234.59% |
Index
Performance
|
|
|
|
|
|
|
|
StrataQuant®
Industrials Index |
54.23% |
17.34% |
14.52% |
9.64% |
122.41% |
288.13% |
270.35% |
Russell
1000® Index
|
37.97% |
17.60% |
15.39% |
10.21% |
124.90% |
318.37% |
299.08% |
S&P
500®
Industrials Index |
46.43% |
13.84% |
13.72% |
9.15% |
91.21% |
261.68% |
247.83% |
Russell
1000®
Industrials Index(1)
|
46.65% |
14.87% |
14.24% |
N/A |
100.03% |
278.53% |
N/A |
|
|
Average
Annual |
Cumulative
| ||||
|
1 Year
|
5 Years
|
10 Years
|
Inception
(5/8/2007)
|
5 Years
|
10 Years
|
Inception
(5/8/2007)
|
Fund
Performance
|
|
|
|
|
|
|
|
Net Asset
Value |
64.02% |
12.63% |
10.71% |
9.27% |
81.26% |
176.55% |
253.11% |
Market
Price |
64.00% |
12.63% |
10.70% |
9.27% |
81.24% |
176.28% |
253.05% |
Index
Performance
|
|
|
|
|
|
|
|
StrataQuant® Materials
Index |
65.20% |
13.44% |
11.52% |
10.08% |
87.83% |
197.55% |
292.17% |
Russell
1000® Index
|
37.97% |
17.60% |
15.39% |
10.21% |
124.90% |
318.37% |
299.08% |
S&P
500® Materials
Index |
41.53% |
13.91% |
10.68% |
7.81% |
91.79% |
175.93% |
191.67% |
Russell
1000® Basic
Materials Index(1)
|
40.95% |
13.69% |
11.10% |
N/A |
89.98% |
186.39% |
N/A |
|
|
Average
Annual |
Cumulative
| ||||
|
1 Year
|
5 Years
|
10 Years
|
Inception
(5/8/2007)
|
5 Years
|
10 Years
|
Inception
(5/8/2007)
|
Fund
Performance
|
|
|
|
|
|
|
|
Net Asset
Value |
40.34% |
29.70% |
19.61% |
14.10% |
266.96% |
499.22% |
553.62% |
Market
Price |
40.36% |
29.69% |
19.61% |
14.10% |
266.82% |
499.16% |
553.56% |
Index
Performance
|
|
|
|
|
|
|
|
StrataQuant®
Technology Index |
41.38% |
30.40% |
20.37% |
14.92% |
277.10% |
538.78% |
623.70% |
Russell
1000® Index
|
37.97% |
17.60% |
15.39% |
10.21% |
124.90% |
318.37% |
299.08% |
S&P
500®
Information Technology Index |
40.03% |
30.22% |
22.26% |
16.24% |
274.44% |
646.23% |
751.21% |
Russell
1000®
Technology Index(1)
|
45.24% |
30.78% |
21.92% |
N/A |
282.51% |
625.86% |
N/A |
|
|
Average
Annual |
Cumulative
| ||||
|
1 Year
|
5 Years
|
10 Years
|
Inception
(5/8/2007)
|
5 Years
|
10 Years
|
Inception
(5/8/2007)
|
Fund
Performance
|
|
|
|
|
|
|
|
Net Asset
Value |
14.80% |
5.46% |
8.99% |
6.30% |
30.45% |
136.58% |
138.54% |
Market
Price |
14.80% |
5.47% |
8.99% |
6.30% |
30.50% |
136.58% |
138.51% |
Index
Performance
|
|
|
|
|
|
|
|
StrataQuant® Utilities
Index |
15.64% |
6.12% |
9.81% |
7.13% |
34.57% |
154.85% |
166.44% |
Russell
1000® Index
|
37.97% |
17.60% |
15.39% |
10.21% |
124.90% |
318.37% |
299.08% |
S&P
500® Utilities
Index |
12.03% |
8.47% |
11.14% |
7.17% |
50.17% |
187.47% |
167.94% |
Russell
1000® Utilities
Index(1)
|
15.48% |
6.91% |
10.10% |
N/A |
39.67% |
161.82% |
N/A |
|
|
Average
Annual |
Cumulative
| ||||
|
1 Year
|
5 Years
|
10 Years
|
Inception
(5/8/2007)
|
5 Years
|
10 Years
|
Inception
(5/8/2007)
|
Fund
Performance
|
|
|
|
|
|
|
|
Net Asset
Value |
40.77% |
14.53% |
13.27% |
9.07% |
97.04% |
247.80% |
244.00% |
Market
Price |
40.81% |
14.53% |
13.28% |
9.07% |
97.04% |
248.04% |
244.06% |
Index
Performance
|
|
|
|
|
|
|
|
Nasdaq
AlphaDEX® Large Cap
Core Index(1)
|
41.71% |
15.26% |
N/A |
N/A |
103.40% |
N/A |
N/A |
Nasdaq US
500 Large Cap IndexTM (1)
|
36.53% |
17.79% |
N/A |
N/A |
126.76% |
N/A |
N/A |
S&P
500® Index
|
36.45% |
17.35% |
15.35% |
10.07% |
122.51% |
316.89% |
291.56% |
|
|
Average
Annual |
Cumulative
| ||||
|
1 Year
|
5 Years
|
10 Years
|
Inception
(5/8/2007)
|
5 Years
|
10 Years
|
Inception
(5/8/2007)
|
Fund
Performance
|
|
|
|
|
|
|
|
Net Asset
Value |
37.30% |
17.50% |
15.13% |
10.40% |
123.99% |
309.23% |
308.62% |
Market
Price |
37.34% |
17.51% |
15.14% |
10.40% |
124.03% |
309.36% |
308.61% |
Index
Performance
|
|
|
|
|
|
|
|
Nasdaq
AlphaDEX® Large Cap
Growth
Index(1)
|
38.16% |
18.24% |
N/A |
N/A |
131.09% |
N/A |
N/A |
Nasdaq US
500 Large Cap Growth Index(1)
|
34.51% |
21.06% |
N/A |
N/A |
159.96% |
N/A |
N/A |
S&P
500® Index
|
36.45% |
17.35% |
15.35% |
10.07% |
122.51% |
316.89% |
291.56% |
S&P
500® Growth
Index |
37.13% |
21.63% |
17.79% |
12.76% |
166.15% |
414.30% |
452.38% |
|
|
Average
Annual |
Cumulative
| ||||
|
1 Year
|
5 Years
|
10 Years
|
Inception
(5/8/2007)
|
5 Years
|
10 Years
|
Inception
(5/8/2007)
|
Fund
Performance
|
|
|
|
|
|
|
|
Net Asset
Value |
44.43% |
11.53% |
11.26% |
7.58% |
72.54% |
190.71% |
182.99% |
Market
Price |
44.43% |
11.53% |
11.26% |
7.58% |
72.54% |
190.71% |
182.98% |
Index
Performance
|
|
|
|
|
|
|
|
Nasdaq
AlphaDEX® Large Cap
Value Index(1)
|
45.48% |
12.26% |
N/A |
N/A |
78.26% |
N/A |
N/A |
Nasdaq US
500 Large Cap Value Index(1)
|
40.23% |
13.66% |
N/A |
N/A |
89.68% |
N/A |
N/A |
S&P
500® Index
|
36.45% |
17.35% |
15.35% |
10.07% |
122.51% |
316.89% |
291.56% |
S&P
500® Value
Index |
35.68% |
12.11% |
12.35% |
6.98% |
77.11% |
220.40% |
161.23% |
|
|
Average
Annual |
Cumulative | ||||
|
1
Year |
5
Years |
10
Years |
Inception
(5/8/2007) |
5
Years |
10
Years |
Inception
(5/8/2007) |
Fund
Performance |
|
|
|
|
|
|
|
Net Asset
Value |
54.62% |
14.65% |
12.31% |
9.70% |
98.06% |
219.37% |
273.44% |
Market
Price |
54.63% |
14.64% |
12.32% |
9.70% |
98.02% |
219.49% |
273.38% |
Index
Performance |
|
|
|
|
|
|
|
Nasdaq
AlphaDEX® Mid Cap
Core Index(1)
|
55.61% |
15.39% |
N/A |
N/A |
104.60% |
N/A |
N/A |
Nasdaq US
600 Mid Cap IndexTM (1)
|
48.41% |
14.96% |
N/A |
N/A |
100.78% |
N/A |
N/A |
S&P
MidCap 400®
Index |
46.99% |
13.42% |
12.85% |
9.78% |
87.65% |
234.92% |
277.03% |
|
|
Average
Annual |
Cumulative | ||||
|
1
Year |
5
Years |
10
Years |
Inception
(4/19/2011) |
5
Years |
10
Years |
Inception
(4/19/2011) |
Fund
Performance |
|
|
|
|
|
|
|
Net Asset
Value |
44.02% |
19.01% |
14.30% |
13.75% |
138.75% |
280.59% |
276.06% |
Market
Price |
43.96% |
19.02% |
14.28% |
13.74% |
138.88% |
280.05% |
275.91% |
Index
Performance |
|
|
|
|
|
|
|
Nasdaq
AlphaDEX® Mid Cap
Growth
Index(1)
|
45.10% |
19.89% |
N/A |
N/A |
147.70% |
N/A |
N/A |
Nasdaq US
600 Mid Cap Growth Index(1)
|
39.14% |
17.77% |
N/A |
N/A |
126.57% |
N/A |
N/A |
S&P
MidCap 400® Growth
Index |
38.36% |
14.45% |
13.09% |
12.61% |
96.41% |
242.21% |
239.14% |
|
|
Average
Annual |
Cumulative | ||||
|
1
Year |
5
Years |
10
Years |
Inception
(4/19/2011) |
5
Years |
10
Years |
Inception
(4/19/2011) |
Fund
Performance |
|
|
|
|
|
|
|
Net Asset
Value |
63.76% |
10.46% |
10.26% |
9.56% |
64.47% |
165.54% |
155.59% |
Market
Price |
63.75% |
10.45% |
10.24% |
9.55% |
64.40% |
165.13% |
155.46% |
Index
Performance |
|
|
|
|
|
|
|
Nasdaq
AlphaDEX® Mid Cap
Value Index(1)
|
65.08% |
11.30% |
N/A |
N/A |
70.81% |
N/A |
N/A |
Nasdaq US
600 Mid Cap Value IndexTM (1)
|
56.98% |
11.33% |
N/A |
N/A |
71.05% |
N/A |
N/A |
S&P
MidCap 400® Value
Index |
56.85% |
11.87% |
12.31% |
11.49% |
75.18% |
219.40% |
206.04% |
|
|
Average
Annual |
Cumulative | ||||
|
1
Year |
5
Years |
10
Years |
Inception
(5/8/2007) |
5
Years |
10
Years |
Inception
(5/8/2007) |
Fund
Performance |
|
|
|
|
|
|
|
Net Asset
Value |
44.10% |
17.95% |
14.70% |
10.60% |
128.34% |
294.25% |
319.66% |
Market
Price |
44.07% |
17.97% |
14.71% |
10.61% |
128.48% |
294.53% |
319.83% |
Index
Performance |
|
|
|
|
|
|
|
Nasdaq
AlphaDEX® Multi Cap
Growth
Index(1)
|
45.12% |
18.78% |
N/A |
N/A |
136.47% |
N/A |
N/A |
Nasdaq US
Multi Cap Growth Index(1)
|
35.28% |
20.61% |
N/A |
N/A |
155.25% |
N/A |
N/A |
S&P
Composite 1500®
Index |
37.52% |
17.01% |
15.13% |
10.07% |
119.30% |
309.05% |
291.50% |
S&P
Composite 1500® Growth
Index |
37.49% |
21.03% |
17.40% |
12.62% |
159.73% |
397.22% |
442.35% |
|
|
Average
Annual |
Cumulative | ||||
|
1
Year |
5
Years |
10
Years |
Inception
(5/8/2007) |
5
Years |
10
Years |
Inception
(5/8/2007) |
Fund
Performance |
|
|
|
|
|
|
|
Net Asset
Value |
54.35% |
11.46% |
10.96% |
7.84% |
72.03% |
182.98% |
192.73% |
Market
Price |
54.30% |
11.46% |
10.97% |
7.84% |
72.04% |
183.23% |
192.67% |
Index
Performance |
|
|
|
|
|
|
|
Nasdaq
AlphaDEX® Multi Cap
Value Index(1)
|
55.57% |
12.29% |
N/A |
N/A |
78.52% |
N/A |
N/A |
Nasdaq US
Multi Cap Value Index(1)
|
43.27% |
13.55% |
N/A |
N/A |
88.80% |
N/A |
N/A |
S&P
Composite 1500®
Index |
37.52% |
17.01% |
15.13% |
10.07% |
119.30% |
309.05% |
291.50% |
S&P
Composite 1500® Value
Index |
37.70% |
12.10% |
12.36% |
7.17% |
77.01% |
220.57% |
167.82% |
|
|
Average
Annual |
Cumulative | ||||
|
1
Year |
5
Years |
10
Years |
Inception
(5/8/2007) |
5
Years |
10
Years |
Inception
(5/8/2007) |
Fund
Performance |
|
|
|
|
|
|
|
Net Asset
Value |
64.45% |
14.32% |
12.32% |
8.85% |
95.28% |
219.69% |
234.38% |
Market
Price |
64.41% |
14.33% |
12.33% |
8.85% |
95.32% |
219.76% |
234.25% |
Index
Performance |
|
|
|
|
|
|
|
Nasdaq
AlphaDEX® Small Cap
Core Index(1)
|
65.68% |
15.09% |
N/A |
N/A |
101.89% |
N/A |
N/A |
Nasdaq US
700 Small Cap IndexTM (1)
|
62.58% |
15.82% |
N/A |
N/A |
108.41% |
N/A |
N/A |
S&P
SmallCap 600®
Index |
56.95% |
14.13% |
13.59% |
9.74% |
93.62% |
257.48% |
275.14% |
|
|
Average
Annual |
Cumulative | ||||
|
1
Year |
5
Years |
10
Years |
Inception
(4/19/2011) |
5
Years |
10
Years |
Inception
(4/19/2011) |
Fund
Performance |
|
|
|
|
|
|
|
Net Asset
Value |
60.24% |
16.66% |
13.78% |
13.29% |
116.11% |
263.49% |
260.60% |
Market
Price |
60.13% |
16.64% |
13.75% |
13.28% |
115.89% |
262.69% |
260.35% |
Index
Performance |
|
|
|
|
|
|
|
Nasdaq
AlphaDEX® Small Cap
Growth
Index(1)
|
61.57% |
17.57% |
N/A |
N/A |
124.68% |
N/A |
N/A |
Nasdaq US
700 Small Cap Growth Index(1)
|
52.12% |
17.67% |
N/A |
N/A |
125.57% |
N/A |
N/A |
S&P
SmallCap 600® Growth
Index |
49.11% |
15.75% |
14.35% |
13.91% |
107.78% |
282.19% |
281.51% |
|
|
Average
Annual |
Cumulative | ||||
|
1
Year |
5
Years |
10
Years |
Inception
(4/19/2011) |
5
Years |
10
Years |
Inception
(4/19/2011) |
Fund
Performance |
|
|
|
|
|
|
|
Net Asset
Value |
65.22% |
12.27% |
10.96% |
10.57% |
78.34% |
182.92% |
180.92% |
Market
Price |
65.14% |
12.26% |
10.93% |
10.56% |
78.31% |
182.13% |
180.71% |
Index
Performance |
|
|
|
|
|
|
|
Nasdaq
AlphaDEX® Small Cap
Value
Index(1)
|
66.50% |
13.10% |
N/A |
N/A |
85.06% |
N/A |
N/A |
Nasdaq US
700 Small Cap Value IndexTM (1)
|
72.47% |
13.63% |
N/A |
N/A |
89.47% |
N/A |
N/A |
S&P
SmallCap 600® Value
Index |
65.47% |
12.27% |
12.71% |
12.13% |
78.39% |
230.78% |
224.60% |
|
Year
Ended July 31, | ||||
|
2021 |
2020 |
2019 |
2018 |
2017
|
Net
asset value, beginning of period |
$39.70 |
$43.40 |
$42.42 |
$37.53 |
$
36.06 |
Income
from investment operations:
|
|
|
|
|
|
Net
investment income (loss) |
0.20 |
0.36 |
0.37 |
0.43 |
0.34 |
Net
realized and unrealized gain (loss) |
21.61 |
(3.61) |
0.93 |
4.88 |
1.48 |
Total from
investment operations |
21.81 |
(3.25) |
1.30 |
5.31 |
1.82 |
Distributions
paid to shareholders from:
|
|
|
|
|
|
Net
investment income |
(0.15) |
(0.45) |
(0.32) |
(0.42) |
(0.35) |
Net
asset value, end of period |
$61.36 |
$39.70 |
$43.40 |
$42.42 |
$
37.53 |
Total
Return (a)
|
54.99% |
(7.39)% |
3.13% |
14.17% |
5.10% |
Ratios/supplemental
data:
|
|
|
|
|
|
Net
assets, end of period (in 000’s) |
$1,948,136 |
$948,948 |
$384,117 |
$409,343 |
$
407,197 |
Ratios
to average net assets:
|
|
|
|
|
|
Ratio of
total expenses to average net assets |
0.61% |
0.63% |
0.64% |
0.64% |
0.63% |
Ratio of
net expenses to average net assets |
0.61% |
0.63% |
0.64% |
0.64% |
0.63% |
Ratio of
net investment income (loss) to average net assets |
0.38% |
0.77% |
0.90% |
1.03% |
0.79% |
Portfolio
turnover rate (b) |
88% |
115% |
97% |
101% |
93% |
|
Year
Ended July 31, | ||||
|
2021 |
2020 |
2019 |
2018 |
2017
|
Net
asset value, beginning of period |
$48.76 |
$45.80 |
$46.50 |
$46.84 |
$
49.06 |
Income
from investment operations:
|
|
|
|
|
|
Net
investment income (loss) |
0.79 |
0.84 |
0.70 |
1.00 |
0.56 |
Net
realized and unrealized gain (loss) |
7.40 |
2.98 |
(0.32) |
(0.74) |
(2.20) |
Total from
investment operations |
8.19 |
3.82 |
0.38 |
0.26 |
(1.64) |
Distributions
paid to shareholders from:
|
|
|
|
|
|
Net
investment income |
(0.74) |
(0.86) |
(1.08) |
(0.60) |
(0.58) |
Net
asset value, end of period |
$56.21 |
$48.76 |
$45.80 |
$46.50 |
$
46.84 |
Total
Return (a)
|
16.88% |
8.46% |
0.83% |
0.53% |
(3.31)% |
Ratios/supplemental
data:
|
|
|
|
|
|
Net
assets, end of period (in 000’s) |
$247,311 |
$258,429 |
$329,792 |
$369,643 |
$
461,376 |
Ratios
to average net assets:
|
|
|
|
|
|
Ratio of
total expenses to average net assets |
0.64% |
0.63% |
0.64% |
0.64% |
0.62% |
Ratio of
net expenses to average net assets |
0.64% |
0.63% |
0.64% |
0.64% |
0.62% |
Ratio of
net investment income (loss) to average net assets |
1.43% |
1.72% |
1.51% |
2.09% |
0.94% |
Portfolio
turnover rate (b) |
94% |
113% |
90% |
107% |
100% |
|
Year
Ended July 31, | ||||
|
2021 |
2020 |
2019 |
2018 |
2017
|
Net
asset value, beginning of period |
$6.54 |
$10.88 |
$17.10 |
$13.66 |
$
14.54 |
Income
from investment operations:
|
|
|
|
|
|
Net
investment income (loss) |
0.31 |
0.16 |
0.16 |
0.12 |
0.14 |
Net
realized and unrealized gain (loss) |
3.81 |
(4.31) |
(6.25) |
3.47 |
(0.85) |
Total from
investment operations |
4.12 |
(4.15) |
(6.09) |
3.59 |
(0.71) |
Distributions
paid to shareholders from:
|
|
|
|
|
|
Net
investment income |
(0.33) |
(0.19) |
(0.13) |
(0.15) |
(0.17) |
Net
asset value, end of period |
$10.33 |
$6.54 |
$10.88 |
$17.10 |
$
13.66 |
Total
Return (a)
|
66.66% |
(38.32)% |
(35.77)% |
26.45% |
(4.99)% |
Ratios/supplemental
data:
|
|
|
|
|
|
Net
assets, end of period (in 000’s) |
$328,966 |
$615,795 |
$122,374 |
$437,773 |
$
249,296 |
Ratios
to average net assets:
|
|
|
|
|
|
Ratio of
total expenses to average net assets |
0.64% |
0.64% |
0.65% |
0.63% |
0.63% |
Ratio of
net expenses to average net assets |
0.64% |
0.64% |
0.65% |
0.63% |
0.63% |
Ratio of
net investment income (loss) to average net assets |
1.70% |
2.39% |
1.17% |
0.68% |
1.03% |
Portfolio
turnover rate (b) |
71% |
165% |
99% |
108% |
55% |
|
Year
Ended July 31, | ||||
|
2021 |
2020 |
2019 |
2018 |
2017
|
Net
asset value, beginning of period |
$25.87 |
$32.35 |
$32.04 |
$29.39 |
$
24.09 |
Income
from investment operations:
|
|
|
|
|
|
Net
investment income (loss) |
0.81 |
0.72 |
0.65 |
0.62 |
0.44 |
Net
realized and unrealized gain (loss) |
17.55 |
(6.37) |
0.25 |
2.61 |
5.30 |
Total from
investment operations |
18.36 |
(5.65) |
0.90 |
3.23 |
5.74 |
Distributions
paid to shareholders from:
|
|
|
|
|
|
Net
investment income |
(0.83) |
(0.83) |
(0.59) |
(0.58) |
(0.44) |
Net
asset value, end of period |
$43.40 |
$25.87 |
$32.35 |
$32.04 |
$
29.39 |
Total
Return (a)
|
71.99% |
(17.56)% |
3.03% |
11.06% |
24.00% |
Ratios/supplemental
data:
|
|
|
|
|
|
Net
assets, end of period (in 000’s) |
$1,312,886 |
$538,172 |
$988,353 |
$1,252,910 |
$
1,121,234 |
Ratios
to average net assets:
|
|
|
|
|
|
Ratio of
total expenses to average net assets |
0.61% |
0.62% |
0.63% |
0.63% |
0.63% |
Ratio of
net expenses to average net assets |
0.61% |
0.62% |
0.63% |
0.63% |
0.63% |
Ratio of
net investment income (loss) to average net assets |
2.25% |
2.36% |
2.06% |
1.99% |
1.72% |
Portfolio
turnover rate (b) |
86% |
90% |
81% |
70% |
80% |
|
Year
Ended July 31, | ||||
|
2021 |
2020 |
2019 |
2018 |
2017
|
Net
asset value, beginning of period |
$95.29 |
$77.62 |
$76.80 |
$66.92 |
$
61.55 |
Income
from investment operations:
|
|
|
|
|
|
Net
investment income (loss) |
(0.15) |
0.01 |
(0.11) |
(0.02) |
(0.03) |
Net
realized and unrealized gain (loss) |
26.89 |
17.66 |
0.93 |
9.90 |
5.40 |
Total from
investment operations |
26.74 |
17.67 |
0.82 |
9.88 |
5.37 |
Distributions
paid to shareholders from:
|
|
|
|
|
|
Net
investment income
|
— |
— |
— |
— |
— |
Net
asset value, end of period |
$122.03 |
$95.29 |
$77.62 |
$76.80 |
$
66.92 |
Total
Return (a)
|
28.08% |
22.75% |
1.07% |
14.76% |
8.72% |
Ratios/supplemental
data:
|
|
|
|
|
|
Net
assets, end of period (in 000’s) |
$1,604,748 |
$1,348,309 |
$1,183,740 |
$1,063,745 |
$
1,067,382 |
Ratios
to average net assets:
|
|
|
|
|
|
Ratio of
total expenses to average net assets |
0.61% |
0.61% |
0.62% |
0.63% |
0.62% |
Ratio of
net expenses to average net assets |
0.61% |
0.61% |
0.62% |
0.63% |
0.62% |
Ratio of
net investment income (loss) to average net
assets |
(0.14)% |
0.01% |
(0.11)% |
(0.03)% |
(0.05)% |
Portfolio
turnover rate (b) |
103% |
107% |
123% |
107% |
112% |
|
Year
Ended July 31, | ||||
|
2021 |
2020 |
2019 |
2018 |
2017 |
Net
asset value, beginning of period |
$39.13 |
$42.49 |
$41.28 |
$35.36 |
$28.94 |
Income
from investment operations: |
|
|
|
|
|
Net
investment income (loss) |
0.33 |
0.58 |
0.30 |
0.28 |
0.17 |
Net
realized and unrealized gain (loss) |
20.42 |
(3.29) |
1.17 |
5.92 |
6.42 |
Total from
investment operations |
20.75 |
(2.71) |
1.47 |
6.20 |
6.59 |
Distributions
paid to shareholders from: |
|
|
|
|
|
Net
investment income |
(0.36) |
(0.65) |
(0.26) |
(0.28) |
(0.17) |
Net
asset value, end of period |
$59.52 |
$39.13 |
$42.49 |
$41.28 |
$35.36 |
Total
Return (a) |
53.21% |
(6.30)% |
3.67% |
17.57% |
22.81% |
Ratios/supplemental
data: |
|
|
|
|
|
Net
assets, end of period (in 000’s) |
$1,767,604 |
$179,979 |
$378,173 |
$1,579,093 |
$1,444,369 |
Ratios
to average net assets: |
|
|
|
|
|
Ratio of
total expenses to average net assets |
0.61% |
0.64% |
0.63% |
0.62% |
0.63% |
Ratio of
net expenses to average net assets |
0.61% |
0.64% |
0.63% |
0.62% |
0.63% |
Ratio of
net investment income (loss) to average net assets |
0.55% |
1.30% |
0.71% |
0.70% |
0.53% |
Portfolio
turnover rate (b) |
91% |
97% |
79% |
91% |
101% |
|
Year
Ended July 31, | ||||
|
2021 |
2020 |
2019 |
2018 |
2017 |
Net
asset value, beginning of period |
$35.85 |
$38.48 |
$43.31 |
$38.63 |
$34.32 |
Income
from investment operations: |
|
|
|
|
|
Net
investment income (loss) |
0.72 |
0.71 |
0.50 |
0.40 |
0.48 |
Net
realized and unrealized gain (loss) |
22.05 |
(2.57) |
(4.88) |
4.69 |
4.30 |
Total from
investment operations |
22.77 |
(1.86) |
(4.38) |
5.09 |
4.78 |
Distributions
paid to shareholders from: |
|
|
|
|
|
Net
investment income |
(0.71) |
(0.77) |
(0.45) |
(0.41) |
(0.47) |
Net
asset value, end of period |
$57.91 |
$35.85 |
$38.48 |
$43.31 |
$38.63 |
Total
Return (a) |
64.02% |
(4.78)% |
(10.08)% |
13.20% |
14.01% |
Ratios/supplemental
data: |
|
|
|
|
|
Net
assets, end of period (in 000’s) |
$460,362 |
$96,795 |
$167,369 |
$314,026 |
$260,726 |
Ratios
to average net assets: |
|
|
|
|
|
Ratio of
total expenses to average net assets |
0.64% |
0.67% |
0.65% |
0.64% |
0.65% |
Ratio of
net expenses to average net assets |
0.64% |
0.67% |
0.65% |
0.64% |
0.65% |
Ratio of
net investment income (loss) to average net assets |
1.39% |
1.95% |
1.27% |
0.92% |
1.40% |
Portfolio
turnover rate (b) |
77% |
84% |
82% |
92% |
84% |
|
Year
Ended July 31, | ||||
|
2021 |
2020 |
2019 |
2018 |
2017 |
Net
asset value, beginning of period |
$89.44 |
$69.32 |
$56.54 |
$45.12 |
$34.84 |
Income
from investment operations: |
|
|
|
|
|
Net
investment income (loss) |
(0.06) |
0.11 |
0.31 |
0.09 |
0.32 |
Net
realized and unrealized gain (loss) |
36.15 |
20.17 |
12.75 |
11.43 |
10.32 |
Total from
investment operations |
36.09 |
20.28 |
13.06 |
11.52 |
10.64 |
Distributions
paid to shareholders from: |
|
|
|
|
|
Net
investment income |
— |
(0.16) |
(0.28) |
(0.10) |
(0.36) |
Net
asset value, end of period |
$125.53 |
$89.44 |
$69.32 |
$56.54 |
$45.12 |
Total
Return (a) |
40.34% |
29.33% |
23.20% |
25.55% |
30.72% |
Ratios/supplemental
data: |
|
|
|
|
|
Net
assets, end of period (in 000’s) |
$2,668,074 |
$2,205,109 |
$2,395,347 |
$1,996,201 |
$607,101 |
Ratios
to average net assets: |
|
|
|
|
|
Ratio of
total expenses to average net assets |
0.61% |
0.61% |
0.61% |
0.63% |
0.63% |
Ratio of
net expenses to average net assets |
0.61% |
0.61% |
0.61% |
0.63% |
0.63% |
Ratio of
net investment income (loss) to average net assets |
(0.05)% |
0.16% |
0.50% |
0.17% |
0.82% |
Portfolio
turnover rate (b) |
92% |
110% |
91% |
127% |
115% |
|
Year
Ended July 31, | ||||
|
2021 |
2020 |
2019 |
2018 |
2017 |
Net
asset value, beginning of period |
$27.54 |
$28.87 |
$26.37 |
$27.64 |
$27.46 |
Income
from investment operations: |
|
|
|
|
|
Net
investment income (loss) |
0.68 |
1.05 |
0.63 |
0.98 |
0.76 |
Net
realized and unrealized gain (loss) |
3.32 |
(1.29) |
2.43 |
(1.30) |
0.19 |
Total from
investment operations |
4.00 |
(0.24) |
3.06 |
(0.32) |
0.95 |
Distributions
paid to shareholders from: |
|
|
|
|
|
Net
investment income |
(0.72) |
(1.09) |
(0.56) |
(0.95) |
(0.77) |
Net
asset value, end of period |
$30.82 |
$27.54 |
$28.87 |
$26.37 |
$27.64 |
Total
Return (a) |
14.80% |
(0.70)% |
11.71% |
(1.09)% |
3.57% |
Ratios/supplemental
data: |
|
|
|
|
|
Net
assets, end of period (in 000’s) |
$174,146 |
$229,988 |
$1,349,541 |
$308,540 |
$1,350,332 |
Ratios
to average net assets: |
|
|
|
|
|
Ratio of
total expenses to average net assets |
0.64% |
0.62% |
0.63% |
0.63% |
0.62% |
Ratio of
net expenses to average net assets |
0.64% |
0.62% |
0.63% |
0.63% |
0.62% |
Ratio of
net investment income (loss) to average net assets |
2.33% |
2.42% |
2.23% |
2.67% |
2.74% |
Portfolio
turnover rate (b) |
38% |
64% |
60% |
76% |
57% |
|
Year
Ended July 31, | ||||
|
2021 |
2020 |
2019 |
2018 |
2017
|
Net
asset value, beginning of period |
$62.29 |
$62.11 |
$60.79 |
$54.07 |
$
46.93 |
Income
from investment operations:
|
|
|
|
|
|
Net
investment income (loss) |
0.71 |
0.93 |
0.77 |
0.69 |
0.61 |
Net
realized and unrealized gain (loss) |
24.55 |
0.20 |
1.28 |
6.69 |
7.16 |
Total from
investment operations |
25.26 |
1.13 |
2.05 |
7.38 |
7.77 |
Distributions
paid to shareholders from:
|
|
|
|
|
|
Net
investment income |
(0.70) |
(0.95) |
(0.73) |
(0.66) |
(0.63) |
Net
asset value, end of period |
$86.85 |
$62.29 |
$62.11 |
$60.79 |
$
54.07 |
Total
Return (a)
|
40.77% |
1.95% |
3.48% |
13.72% |
16.68% |
Ratios/supplemental
data:
|
|
|
|
|
|
Net
assets, end of period (in 000’s) |
$1,189,909 |
$924,980 |
$1,434,679 |
$1,540,924 |
$
1,554,447 |
Ratios
to average net assets:
|
|
|
|
|
|
Ratio of
total expenses to average net assets |
0.59% |
0.59% |
0.60% |
0.61% |
0.61% |
Ratio of
net expenses to average net assets |
0.59% |
0.59% |
0.60% |
0.61% |
0.61% |
Ratio of
net investment income (loss) to average net assets |
0.94% |
1.49% |
1.29% |
1.17% |
1.21% |
Portfolio
turnover rate (b) |
91% |
104% |
102% |
87% |
90% |
|
Year
Ended July 31, | ||||
|
2021 |
2020 |
2019 |
2018 |
2017
|
Net
asset value, beginning of period |
$82.09 |
$71.35 |
$66.91 |
$55.88 |
$
51.56 |
Income
from investment operations:
|
|
|
|
|
|
Net
investment income (loss) |
(0.07) |
0.55 |
0.37 |
0.23 |
0.33 |
Net
realized and unrealized gain (loss) |
30.67 |
10.80 |
4.39 |
11.03 |
4.33 |
Total from
investment operations |
30.60 |
11.35 |
4.76 |
11.26 |
4.66 |
Distributions
paid to shareholders from:
|
|
|
|
|
|
Net
investment income |
(0.04) |
(0.61) |
(0.32) |
(0.23) |
(0.34) |
Net
asset value, end of period |
$112.65 |
$82.09 |
$71.35 |
$66.91 |
$
55.88 |
Total
Return (a)
|
37.30% |
16.10% |
7.16% |
20.19% |
9.10% |
Ratios/supplemental
data:
|
|
|
|
|
|
Net
assets, end of period (in 000’s) |
$1,194,111 |
$989,147 |
$1,041,726 |
$899,998 |
$
650,949 |
Ratios
to average net assets:
|
|
|
|
|
|
Ratio of
total expenses to average net assets |
0.59% |
0.60% |
0.61% |
0.61% |
0.62% |
Ratio of
net expenses to average net assets |
0.59% |
0.60% |
0.61% |
0.61% |
0.62% |
Ratio of
net investment income (loss) to average net assets |
(0.07)% |
0.76% |
0.56% |
0.36% |
0.63% |
Portfolio
turnover rate (b) |
116% |
138% |
132% |
119% |
148% |
|
Year
Ended July 31, | ||||
|
2021 |
2020 |
2019 |
2018 |
2017
|
Net
asset value, beginning of period |
$46.39 |
$52.79 |
$54.07 |
$50.94 |
$
41.98 |
Income
from investment operations:
|
|
|
|
|
|
Net
investment income (loss) |
1.01 |
1.11 |
1.02 |
1.02 |
0.77 |
Net
realized and unrealized gain (loss) |
19.41 |
(6.28) |
(1.43) |
3.08 |
8.96 |
Total from
investment operations |
20.42 |
(5.17) |
(0.41) |
4.10 |
9.73 |
Distributions
paid to shareholders from:
|
|
|
|
|
|
Net
investment income |
(1.01) |
(1.23) |
(0.87) |
(0.97) |
(0.77) |
Net
asset value, end of period |
$65.80 |
$46.39 |
$52.79 |
$54.07 |
$
50.94 |
Total
Return (a)
|
44.43% |
(9.84)% |
(0.65)% |
8.12% |
23.35% |
Ratios/supplemental
data:
|
|
|
|
|
|
Net
assets, end of period (in 000’s) |
$1,065,981 |
$617,016 |
$1,166,569 |
$1,146,354 |
$
1,056,997 |
Ratios
to average net assets:
|
|
|
|
|
|
Ratio of
total expenses to average net assets |
0.59% |
0.60% |
0.60% |
0.61% |
0.62% |
Ratio of
net expenses to average net assets |
0.59% |
0.60% |
0.60% |
0.61% |
0.62% |
Ratio of
net investment income (loss) to average net assets |
1.76% |
2.12% |
1.99% |
1.92% |
1.63% |
Portfolio
turnover rate (b) |
91% |
94% |
96% |
82% |
72% |
|
Year
Ended July 31, | ||||
|
2021 |
2020 |
2019 |
2018 |
2017 |
Net
asset value, beginning of period |
$64.83 |
$69.86 |
$69.63 |
$59.91 |
$52.80 |
Income
from investment operations: |
|
|
|
|
|
Net
investment income (loss) |
0.70 |
0.85 |
0.63 |
0.61 |
0.56 |
Net
realized and unrealized gain (loss) |
34.51 |
(4.93) |
0.16 |
9.71 |
7.12 |
Total from
investment operations |
35.21 |
(4.08) |
0.79 |
10.32 |
7.68 |
Distributions
paid to shareholders from: |
|
|
|
|
|
Net
investment income |
(0.78) |
(0.95) |
(0.56) |
(0.60) |
(0.57) |
Net
asset value, end of period |
$99.26 |
$64.83 |
$69.86 |
$69.63 |
$59.91 |
Total
Return (a) |
54.62% |
(5.86)% |
1.22% |
17.30% |
14.61% |
Ratios/supplemental
data: |
|
|
|
|
|
Net
assets, end of period (in 000’s) |
$1,027,303 |
$589,912 |
$887,176 |
$901,732 |
$697,995 |
Ratios
to average net assets: |
|
|
|
|
|
Ratio of
total expenses to average net assets |
0.59% |
0.60% |
0.61% |
0.62% |
0.63% |
Ratio of
net expenses to average net assets |
0.59% |
0.60% |
0.61% |
0.62% |
0.63% |
Ratio of
net investment income (loss) to average net assets |
0.79% |
1.32% |
0.94% |
0.94% |
1.00% |
Portfolio
turnover rate (b) |
114% |
115% |
114% |
101% |
103% |
|
Year
Ended July 31, | ||||
|
2021 |
2020 |
2019 |
2018 |
2017 |
Net
asset value, beginning of period |
$51.23 |
$46.59 |
$43.80 |
$35.07 |
$31.22 |
Income
from investment operations: |
|
|
|
|
|
Net
investment income (loss) |
(0.18) |
0.11 |
0.04 |
0.03 |
0.15 |
Net
realized and unrealized gain (loss) |
22.69 |
4.67 |
2.77 |
8.75 |
3.87 |
Total from
investment operations |
22.51 |
4.78 |
2.81 |
8.78 |
4.02 |
Distributions
paid to shareholders from: |
|
|
|
|
|
Net
investment income |
(0.16) |
(0.14) |
(0.02) |
(0.05) |
(0.17) |
Net
asset value, end of period |
$73.58 |
$51.23 |
$46.59 |
$43.80 |
$35.07 |
Total
Return (a) |
44.02% |
10.28% |
6.43% |
25.06% |
12.94% |
Ratios/supplemental
data: |
|
|
|
|
|
Net
assets, end of period (in 000’s) |
$463,572 |
$338,149 |
$309,826 |
$214,639 |
$94,700 |
Ratios
to average net assets: |
|
|
|
|
|
Ratio of
total expenses to average net assets |
0.70% |
0.70% |
0.70% |
0.70% |
0.70% |
Ratio of
net expenses to average net assets |
0.70% |
0.70% |
0.70% |
0.70% |
0.70% |
Ratio of
net investment income (loss) to average net assets |
(0.24)% |
0.23% |
0.09% |
0.02% |
0.48% |
Portfolio
turnover rate (b) |
138% |
135% |
144% |
124% |
153% |
|
Year
Ended July 31, | ||||
|
2021 |
2020 |
2019 |
2018 |
2017 |
Net
asset value, beginning of period |
$27.71 |
$34.67 |
$36.71 |
$33.65 |
$29.47 |
Income
from investment operations: |
|
|
|
|
|
Net
investment income (loss) |
0.54 |
0.63 |
0.51 |
0.58 |
0.44 |
Net
realized and unrealized gain (loss) |
16.98 |
(6.86) |
(2.10) |
3.04 |
4.17 |
Total from
investment operations |
17.52 |
(6.23) |
(1.59) |
3.62 |
4.61 |
Distributions
paid to shareholders from: |
|
|
|
|
|
Net
investment income |
(0.54) |
(0.73) |
(0.45) |
(0.56) |
(0.43) |
Net
asset value, end of period |
$44.69 |
$27.71 |
$34.67 |
$36.71 |
$33.65 |
Total
Return (a) |
63.76% |
(18.19)% |
(4.26)% |
10.80% |
15.72% |
Ratios/supplemental
data: |
|
|
|
|
|
Net
assets, end of period (in 000’s) |
$140,774 |
$34,636 |
$55,473 |
$49,565 |
$57,201 |
Ratios
to average net assets: |
|
|
|
|
|
Ratio of
total expenses to average net assets |
0.70% |
0.70% |
0.70% |
0.70% |
0.70% |
Ratio of
net expenses to average net assets |
0.70% |
0.70% |
0.70% |
0.70% |
0.70% |
Ratio of
net investment income (loss) to average net assets |
1.33% |
2.04% |
1.49% |
1.61% |
1.31% |
Portfolio
turnover rate (b) |
102% |
107% |
113% |
94% |
95% |
|
Year
Ended July 31, | ||||
|
2021 |
2020 |
2019 |
2018 |
2017 |
Net
asset value, beginning of period |
$83.11 |
$75.90 |
$72.71 |
$59.33 |
$53.31 |
Income
from investment operations: |
|
|
|
|
|
Net
investment income (loss) |
(0.11) |
0.42 |
0.22 |
0.12 |
0.25 |
Net
realized and unrealized gain (loss) |
36.71 |
7.27 |
3.14 |
13.40 |
6.04 |
Total from
investment operations |
36.60 |
7.69 |
3.36 |
13.52 |
6.29 |
Distributions
paid to shareholders from: |
|
|
|
|
|
Net
investment income |
(0.13) |
(0.48) |
(0.17) |
(0.14) |
(0.27) |
Net
asset value, end of period |
$119.58 |
$83.11 |
$75.90 |
$72.71 |
$59.33 |
Total
Return (a) |
44.10% |
10.23% |
4.65% |
22.82% |
11.85% |
Ratios/supplemental
data: |
|
|
|
|
|
Net
assets, end of period (in 000’s) |
$221,229 |
$170,367 |
$185,955 |
$192,685 |
$103,829 |
Ratios
to average net assets: |
|
|
|
|
|
Ratio of
total expenses to average net assets |
0.63% |
0.63% |
0.66% |
0.69% |
0.70% |
Ratio of
net expenses to average net assets |
0.63% |
0.63% |
0.66% |
0.69% |
0.70% |
Ratio of
net investment income (loss) to average net assets |
(0.09)% |
0.56% |
0.31% |
0.18% |
0.44% |
Portfolio
turnover rate (b) |
104% |
123% |
130% |
118% |
142% |
|
Year
Ended July 31, | ||||
|
2021 |
2020 |
2019 |
2018 |
2017 |
Net
asset value, beginning of period |
$46.72 |
$54.39 |
$57.35 |
$52.84 |
$44.91 |
Income
from investment operations: |
|
|
|
|
|
Net
investment income (loss) |
0.84 |
0.95 |
0.92 |
0.96 |
0.73 |
Net
realized and unrealized gain (loss) |
24.34 |
(7.54) |
(3.04) |
4.45 |
7.96 |
Total from
investment operations |
25.18 |
(6.59) |
(2.12) |
5.41 |
8.69 |
Distributions
paid to shareholders from: |
|
|
|
|
|
Net
investment income |
(0.86) |
(1.08) |
(0.84) |
(0.90) |
(0.76) |
Net
asset value, end of period |
$71.04 |
$46.72 |
$54.39 |
$57.35 |
$52.84 |
Total
Return (a) |
54.35% |
(12.24)% |
(3.62)% |
10.30% |
19.46% |
Ratios/supplemental
data: |
|
|
|
|
|
Net
assets, end of period (in 000’s) |
$166,942 |
$51,387 |
$84,301 |
$91,766 |
$110,959 |
Ratios
to average net assets: |
|
|
|
|
|
Ratio of
total expenses to average net assets |
0.69% |
0.74% |
0.73% |
0.70% |
0.66% |
Ratio of
net expenses to average net assets |
0.69% |
0.70% |
0.70% |
0.70% |
0.66% |
Ratio of
net investment income (loss) to average net assets |
1.43% |
1.86% |
1.69% |
1.67% |
1.45% |
Portfolio
turnover rate (b) |
92% |
98% |
96% |
89% |
81% |
|
Year
Ended July 31, | ||||
|
2021 |
2020 |
2019 |
2018 |
2017 |
Net
asset value, beginning of period |
$55.98 |
$61.84 |
$66.80 |
$56.23 |
$48.91 |
Income
from investment operations: |
|
|
|
|
|
Net
investment income (loss) |
0.61 |
0.51 |
0.60 |
0.52 |
0.41 |
Net
realized and unrealized gain (loss) |
35.35 |
(5.75) |
(4.98) |
10.53 |
7.40 |
Total from
investment operations |
35.96 |
(5.24) |
(4.38) |
11.05 |
7.81 |
Distributions
paid to shareholders from: |
|
|
|
|
|
Net
investment income |
(0.63) |
(0.62) |
(0.58) |
(0.48) |
(0.49) |
Net
asset value, end of period |
$91.31 |
$55.98 |
$61.84 |
$66.80 |
$56.23 |
Total
Return (a) |
64.45% |
(8.55)% |
(6.52)% |
19.72%(b) |
16.03% |
Ratios/supplemental
data: |
|
|
|
|
|
Net
assets, end of period (in 000’s) |
$917,700 |
$397,470 |
$602,918 |
$728,102 |
$491,997 |
Ratios
to average net assets: |
|
|
|
|
|
Ratio of
total expenses to average net assets |
0.60% |
0.61% |
0.62% |
0.63% |
0.63% |
Ratio of
net expenses to average net assets |
0.60% |
0.61% |
0.62% |
0.63% |
0.63% |
Ratio of
net investment income (loss) to average net assets |
0.77% |
0.93% |
0.96% |
0.87% |
0.78% |
Portfolio
turnover rate (c) |
116% |
123% |
117% |
116% |
111% |
|
Year
Ended July 31, | ||||
|
2021 |
2020 |
2019 |
2018 |
2017 |
Net
asset value, beginning of period |
$44.46 |
$46.87 |
$48.79 |
$38.83 |
$33.24 |
Income
from investment operations: |
|
|
|
|
|
Net
investment income (loss) |
0.03 |
0.17 |
0.02 |
0.06 |
0.05 |
Net
realized and unrealized gain (loss) |
26.72 |
(2.40) |
(1.93) |
9.97 |
5.63 |
Total from
investment operations |
26.75 |
(2.23) |
(1.91) |
10.03 |
5.68 |
Distributions
paid to shareholders from: |
|
|
|
|
|
Net
investment income |
(0.07) |
(0.18) |
(0.01) |
(0.07) |
(0.09) |
Net
asset value, end of period |
$71.14 |
$44.46 |
$46.87 |
$48.79 |
$38.83 |
Total
Return (a) |
60.24% |
(4.79)% |
(3.90)% |
(b)25.85% |
17.12% |
Ratios/supplemental
data: |
|
|
|
|
|
Net
assets, end of period (in 000’s) |
$394,827 |
$146,704 |
$278,851 |
$361,010 |
$116,483 |
Ratios
to average net assets: |
|
|
|
|
|
Ratio of
total expenses to average net assets |
0.70% |
0.70% |
0.70% |
0.70% |
0.70% |
Ratio of
net expenses to average net assets |
0.70% |
0.70% |
0.70% |
0.70% |
0.70% |
Ratio of
net investment income (loss) to average net assets |
0.02% |
0.44% |
0.04% |
0.11% |
0.12% |
Portfolio
turnover rate (c) |
151% |
137% |
152% |
141% |
162% |
|
Year
Ended July 31, | ||||
|
2021 |
2020 |
2019 |
2018 |
2017 |
Net
asset value, beginning of period |
$30.78 |
$34.66 |
$38.98 |
$34.33 |
$30.19 |
Income
from investment operations: |
|
|
|
|
|
Net
investment income (loss) |
0.45 |
0.38 |
0.57 |
0.48 |
0.41 |
Net
realized and unrealized gain (loss) |
19.52 |
(3.75) |
(4.36) |
4.60 |
4.23 |
Total from
investment operations |
19.97 |
(3.37) |
(3.79) |
5.08 |
4.64 |
Distributions
paid to shareholders from: |
|
|
|
|
|
Net
investment income |
(0.47) |
(0.51) |
(0.53) |
(0.43) |
(0.50) |
Net
asset value, end of period |
$50.28 |
$30.78 |
$34.66 |
$38.98 |
$34.33 |
Total
Return (a) |
65.22% |
(9.83)% |
(9.69)% |
(b)14.86% |
15.41% |
Ratios/supplemental
data: |
|
|
|
|
|
Net
assets, end of period (in 000’s) |
$268,991 |
$46,176 |
$60,659 |
$76,003 |
$61,802 |
Ratios
to average net assets: |
|
|
|
|
|
Ratio of
total expenses to average net assets |
0.70% |
0.70% |
0.70% |
0.70% |
0.70% |
Ratio of
net expenses to average net assets |
0.70% |
0.70% |
0.70% |
0.70% |
0.70% |
Ratio of
net investment income (loss) to average net assets |
1.08% |
1.18% |
1.58% |
1.28% |
1.22% |
Portfolio
turnover rate (c) |
109% |
120% |
120% |
123% |
110% |
First
Trust
Exchange-Traded
AlphaDEX® Fund
|