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Name

As of 11/19/2024

Price

Aum/Mkt Cap

YIELD

Annualized forward dividend yield. Multiplies the most recent dividend payout amount by its frequency and divides by the previous close price.

Exp Ratio

Expense ratio is the fund’s total annual operating expenses, including management fees, distribution fees, and other expenses, expressed as a percentage of average net assets.

Watchlist

First Trust Capital Strength ETF

FTCS | ETF

$90.84

$8.65 B

1.12%

$1.03

0.54%

Vitals

YTD Return

14.5%

1 yr return

20.7%

3 Yr Avg Return

5.2%

5 Yr Avg Return

10.4%

Net Assets

$8.65 B

Holdings in Top 10

22.7%

52 WEEK LOW AND HIGH

$91.2
$76.66
$92.73

Expenses

OPERATING FEES

Expense Ratio 0.54%

SALES FEES

Front Load N/A

Deferred Load N/A

TRADING FEES

Turnover N/A

Redemption Fee N/A

Min Investment

Standard (Taxable)

N/A

IRA

N/A

Fund Classification

Fund Type

Exchange Traded Fund

Name

As of 11/19/2024

Price

Aum/Mkt Cap

YIELD

Annualized forward dividend yield. Multiplies the most recent dividend payout amount by its frequency and divides by the previous close price.

Exp Ratio

Expense ratio is the fund’s total annual operating expenses, including management fees, distribution fees, and other expenses, expressed as a percentage of average net assets.

Watchlist

First Trust Capital Strength ETF

FTCS | ETF

$90.84

$8.65 B

1.12%

$1.03

0.54%

FTCS - Profile

Distributions

  • YTD Total Return 14.5%
  • 3 Yr Annualized Total Return 5.2%
  • 5 Yr Annualized Total Return 10.4%
  • Capital Gain Distribution Frequency Annually
  • Net Income Ratio 1.23%
DIVIDENDS
  • Dividend Yield 1.1%
  • Dividend Distribution Frequency Quarterly

Fund Details

  • Legal Name
    First Trust Capital Strength ETF
  • Fund Family Name
    First Trust Advisors L.P.
  • Inception Date
    Jul 06, 2006
  • Shares Outstanding
    111450002
  • Share Class
    N/A
  • Currency
    USD
  • Domiciled Country
    US
  • Manager
    Daniel Lindquist

Fund Description

The Fund will normally invest at least 90% of its net assets (including investment borrowings) in the securities that comprise the Index. The Fund, using an indexing investment approach, attempts to replicate, before fees and expenses, the performance of the Index. The Index is developed, maintained and sponsored by Nasdaq, Inc. (the “Index Provider”). The Index Provider may, from time to time, exercise reasonable discretion as it deems appropriate in order to ensure Index integrity.The Index seeks to provide exposure to well-capitalized companies with strong market positions that have the potential to provide their stockholders with a greater degree of stability and performance over time. According to the Index Provider, the Index’s initial universe consists of the securities comprising the Nasdaq US BenchmarkTM Index, an index seeking to track the performance of U.S. companies. According to the Index Provider, the securities must first meet the security eligibility criteria for security type, multiple classes of securities and liquidity standards of the Index. The Index then ranks the remaining securities by free float-adjusted market capitalization and excludes all securities not ranked in the top 500. The universe is further narrowed by excluding those securities issued by companies with less than $1 billion in cash and short-term investments, companies with a long-term debt to market capitalization ratio greater than or equal to 30%,companies that do not have a positive shareholder equity and companies with a return on equity that is 15% or less. The remaining securities are then given a volatility score based upon a combination of their short-term (3 months) and long-term (12 months) realized volatility. The 50 securities with the lowest volatility score are chosen for inclusion in the Index. The Index may be composed ofcommon stocks and real estate investment trusts ("REITs"). The Fund may invest in companies with various market capitalizations.A review is then enacted to determine if any industry, as determined by the Industry Classification Benchmark (“ICB”) classification system, has a cumulative weight of greater than 30%. If an industry has a weight greater than 30%, the highest-ranking security by volatility will be removed and replaced with the next eligible security (e.g., the 51st ranked by volatility) from a different industry. This process is repeated until no industry has a weight greater than 30%. Once finalized, each security is equal weighted.The Index is rebalanced and reconstituted quarterly and the Fund will make corresponding changes to its portfolio shortly after the Index changes are made public. The Index’s quarterly rebalance and reconstitution schedule may cause the Fund to experience a higher rate of portfolio turnover. The Fund will be concentrated in an industry or a group of industries to the extent that the Index is so concentrated. As of March 28, 2024, the Index was composed of 50 securities and the Fund had significant investments in industrials companies, although this may change from time to time. The Fund’s investments will change as the Index changes and, as a result, the Fund may have significant investments in jurisdictions or investment sectors that it may not have had as of March 28, 2024. To the extent the Fund invests a significant portion of its assets in a given jurisdiction or investment sector, the Fund may be exposed to the risks associated with that jurisdiction or investment sector.Nasdaq® and The Capital StrengthTM Index are trademarks (the “Marks”) of Nasdaq, Inc. (collectively with its affiliates “Nasdaq”). The Marks are licensed for use with the Fund by the Fund’s investment advisor. The Fund has not been passed on by Nasdaq as to its legality or suitability. The Fund is not issued, endorsed, sold, or promoted by Nasdaq. The Fund should not be construed in any way as investment advice by Nasdaq. Nasdaq makes no warranties and bears no liability with respect to the Fund.
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FTCS - Performance

Return Ranking - Trailing

Period FTCS Return Category Return Low Category Return High Rank in Category (%)
YTD 14.5% 3.5% 44.2% 90.75%
1 Yr 20.7% 6.0% 54.8% 92.38%
3 Yr 5.2%* -12.1% 15.9% 87.76%
5 Yr 10.4%* -8.1% 109.9% 90.08%
10 Yr 10.7%* -0.4% 52.4% 72.89%

* Annualized

Return Ranking - Calendar

Period FTCS Return Category Return Low Category Return High Rank in Category (%)
2023 6.8% -42.6% 47.4% 90.14%
2022 -11.4% -56.3% -4.2% 3.12%
2021 25.3% -27.2% 537.8% 14.25%
2020 11.8% -22.5% 2181.7% 46.97%
2019 25.0% -13.5% 40.4% 39.84%

Total Return Ranking - Trailing

Period FTCS Return Category Return Low Category Return High Rank in Category (%)
YTD 14.5% 3.5% 44.2% 90.75%
1 Yr 20.7% 6.0% 54.8% 92.38%
3 Yr 5.2%* -12.1% 15.9% 87.76%
5 Yr 10.4%* -8.1% 109.9% 90.08%
10 Yr 10.7%* -0.4% 52.4% 72.89%

* Annualized

Total Return Ranking - Calendar

Period FTCS Return Category Return Low Category Return High Rank in Category (%)
2023 8.5% -5.0% 47.4% 97.31%
2022 -10.2% -36.8% -2.2% 9.52%
2021 26.7% 3.0% 537.8% 49.75%
2020 13.0% -15.8% 2266.0% 76.30%
2019 26.7% -0.4% 241.3% 79.40%

FTCS - Holdings

Concentration Analysis

FTCS Category Low Category High FTCS % Rank
Net Assets 8.65 B 2.34 M 1.55 T 17.87%
Number of Holdings 50 2 3963 80.50%
Net Assets in Top 10 1.95 B 880 K 517 B 28.03%
Weighting of Top 10 22.68% 0.3% 112.9% 95.60%

Top 10 Holdings

  1. Apple Inc 2.48%
  2. Amphenol Corp 2.38%
  3. Costco Wholesale Corp 2.33%
  4. TJX Cos Inc/The 2.29%
  5. Regeneron Pharmaceuticals Inc 2.28%
  6. Walmart Inc 2.21%
  7. Motorola Solutions Inc 2.21%
  8. Moody's Corp 2.18%
  9. Microsoft Corp 2.17%
  10. Colgate-Palmolive Co 2.16%

Asset Allocation

Weighting Return Low Return High FTCS % Rank
Stocks 		99.94% 0.00% 105.85% 7.07%
Cash 		0.06% 0.00% 99.07% 87.81%
Preferred Stocks 		0.00% 0.00% 2.53% 35.66%
Other 		0.00% -13.91% 100.00% 53.13%
Convertible Bonds 		0.00% 0.00% 5.54% 32.44%
Bonds 		0.00% 0.00% 94.06% 37.94%

Stock Sector Breakdown

Weighting Return Low Return High FTCS % Rank
Healthcare 		32.28% 0.00% 52.29% 0.17%
Industrials 		24.57% 0.00% 29.90% 1.08%
Financial Services 		21.68% 0.00% 55.59% 6.95%
Consumer Defense 		13.57% 0.00% 47.71% 4.47%
Technology 		5.80% 0.00% 48.94% 98.26%
Basic Materials 		2.09% 0.00% 25.70% 75.77%
Utilities 		0.00% 0.00% 20.91% 89.58%
Real Estate 		0.00% 0.00% 31.91% 90.90%
Energy 		0.00% 0.00% 41.64% 90.49%
Communication Services 		0.00% 0.00% 27.94% 99.34%
Consumer Cyclical 		0.00% 0.00% 30.33% 99.67%

Stock Geographic Breakdown

Weighting Return Low Return High FTCS % Rank
US 		99.94% 0.00% 105.85% 6.01%
Non US 		0.00% 0.00% 64.54% 44.76%

FTCS - Expenses

Operational Fees

FTCS Fees (% of AUM) Category Return Low Category Return High Rank in Category (%)
Expense Ratio 0.54% 0.01% 19.75% 71.87%
Management Fee 0.49% 0.00% 1.90% 45.31%
12b-1 Fee 0.00% 0.00% 1.00% 7.21%
Administrative Fee N/A 0.00% 0.85% N/A

Sales Fees

FTCS Fees (% of AUM) Category Return Low Category Return High Rank in Category (%)
Front Load N/A 1.00% 5.75% N/A
Deferred Load N/A 1.00% 5.00% N/A

Trading Fees

FTCS Fees (% of AUM) Category Return Low Category Return High Rank in Category (%)
Max Redemption Fee N/A 0.25% 2.00% N/A

Related Fees

Turnover provides investors a proxy for the trading fees incurred by mutual fund managers who frequently adjust position allocations. Higher turnover means higher trading fees.

FTCS Fees (% of AUM) Category Return Low Category Return High Rank in Category (%)
Turnover N/A 0.00% 268.00% 93.36%

FTCS - Distributions

Dividend Yield Analysis

FTCS Category Low Category High FTCS % Rank
Dividend Yield 1.12% 0.00% 25.47% 47.48%

Dividend Distribution Analysis

FTCS Category Low Category High Category Mod
Dividend Distribution Frequency Quarterly Annual Quarterly Annual

Net Income Ratio Analysis

FTCS Category Low Category High FTCS % Rank
Net Income Ratio 1.23% -54.00% 2.44% 18.17%

Capital Gain Distribution Analysis

FTCS Category Low Category High Capital Mode
Capital Gain Distribution Frequency Annually Annually Semi-Annually Annually

Distributions History

View More +

FTCS - Fund Manager Analysis

Managers

Daniel Lindquist

Start Date

Tenure

Tenure Rank

Jul 06, 2006

15.91

15.9%

Daniel J. Lindquist, CFA, was born in 1970. Mr. Lindquist earned a B.A. in Business Economics from Wheaton College and has an MBA in Finance from the University of Chicago. He has been with First Trust Advisors L.P. since 2004 and is a Managing Director. Mr. Lindquist is the Chairman of the Investment Committee and is responsible for the overall supervision of the Separate Managed Accounts.

Jon Erickson

Start Date

Tenure

Tenure Rank

Jul 06, 2006

15.91

15.9%

Jon C. Erickson, CFA, was born in 1966. Mr. Erickson earned a B.S. in Computer Science from the University of Illinois and has an MBA from the University of Illinois in Finance. He has been with First Trust Advisors L.P. since 1994 and he is a Portfolio Manager and Senior Vice President. As the head of FTA’s Equity Research Group, Mr. Erickson shall be responsible for determining the securities to be purchased and sold by Funds that do not utilize quantitative investment strategies on behalf of the Investment Committee.

David McGarel

Start Date

Tenure

Tenure Rank

Jul 06, 2006

15.91

15.9%

David G. McGarel, CFA, was born in 1966. Mr. McGarel earned a B.S. in Accounting from the University of Notre Dame. He has been with First Trust Advisors L.P. since 1997 and he is a Managing Director, Chief Operating Officer and the Chief Investment Officer. As head of FTA’s Strategy Research Group, Mr. McGarel shall be responsible for developing and implementing quantitative investment strategies for those Funds that have investment policies that require them to follow such strategies, on behalf of the Investment Committee.

Roger Testin

Start Date

Tenure

Tenure Rank

Jul 06, 2006

15.91

15.9%

Roger F. Testin, CFA, was born in 1966. Mr. Testin earned a B.S. in Accounting from the University of Illinois and has an MBA in Finance from the University of Chicago. He has been with First Trust Advisors L.P. since 2001 and he is a Portfolio Manager and Senior Vice President. As Product Manager for the VA’s, SMA’s and International Managed Products, Mr. Testin shall be responsible for the daily implementation and execution of the strategies for these product vehicles on behalf of the Investment Committee.

Stan Ueland

Start Date

Tenure

Tenure Rank

Nov 08, 2006

15.57

15.6%

Mr. Ueland joined First Trust Advisors as a Vice President in August 2005 and has been a Senior Vice President of First Trust and FTP since September 2012. At First Trust, he plays an important role in executing the investment strategies of each portfolio of exchange-traded funds advised by First Trust. Before joining First Trust, he was vice president of sales at BondWave LLC from May 2004 through August 2005, an account executive for Mina Capital Management LLC and Samaritan Asset Management LLC from January 2003 through May 2004, and a sales consultant at Oracle Corporation from January 1997 through January 2003.

Chris Peterson

Start Date

Tenure

Tenure Rank

Mar 18, 2016

6.21

6.2%

Chris A. Peterson, CFA was born in 1975. Mr. Peterson earned a B.S in Finance from Bradley University and has an MBA from the University of Chicago Booth School of Business with concentrations in Analytic Finance & Accounting. He has been with First Trust Advisors L.P. since 2000. As head of FTA’s Portfolio Advisor’s Strategy Research Group, Mr. Peterson shall be responsible for developing and implementing quantitative equity strategies on behalf of the Investment Committee.

Erik Russo

Start Date

Tenure

Tenure Rank

Dec 31, 2020

1.41

1.4%

Mr. Russo is a Vice President of First Trust. He is responsible for implementing the investment strategies of each portfolio of exchange-traded funds advised by First Trust in his role as a Portfolio Manager. Mr. Russo joined First Trust in January of 2010.

Tenure Analysis

Category Low Category High Category Average Category Mode
0.04 39.02 7.24 2.42

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