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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 SMID Cap Rising Dividend Achievers ETF

SDVY | ETF

$38.05

$4.02 B

1.45%

$0.55

0.60%

Vitals

YTD Return

17.4%

1 yr return

32.6%

3 Yr Avg Return

10.0%

5 Yr Avg Return

14.5%

Net Assets

$4.02 B

Holdings in Top 10

10.6%

52 WEEK LOW AND HIGH

$38.2
$28.98
$39.11

Expenses

OPERATING FEES

Expense Ratio 0.60%

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 SMID Cap Rising Dividend Achievers ETF

SDVY | ETF

$38.05

$4.02 B

1.45%

$0.55

0.60%

SDVY - Profile

Distributions

  • YTD Total Return 17.4%
  • 3 Yr Annualized Total Return 10.0%
  • 5 Yr Annualized Total Return 14.5%
  • Capital Gain Distribution Frequency Annually
  • Net Income Ratio 1.77%
DIVIDENDS
  • Dividend Yield 1.4%
  • Dividend Distribution Frequency Quarterly

Fund Details

  • Legal Name
    First Trust SMID Cap Rising Dividend Achievers ETF
  • Fund Family Name
    First Trust Advisors L.P.
  • Inception Date
    Nov 01, 2017
  • Shares Outstanding
    34300002
  • 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 was developed and is owned, calculated and maintained 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.According to the Index Provider, the Index is composed of securities in the small mid cap space determined by the Index Provider to have increased their dividend value over the previous three year and five year annual periods, while being best positioned to continue the dividend increases. The Index Provider defines small and mid cap companies as those companies comprising the Nasdaq US MidCap Index and Nasdaq US Small Cap Index. According to the Index Provider, to be eligible for inclusion in the Index, a security must meet the size and liquidity requirements of the Index in addition to the following criteria:•have paid a dividend in the trailing 12 months greater than the dividend paid in the trailing 12-month period three and five years prior;•having earnings per share in the most recent fiscal year greater than the earnings per share the three fiscal years prior;•have a cash-to-debt ratio greater than 25%; and•have a trailing 12-month payout ratio (trailing 12-month dividends per share divided by trailing 12-month earnings per share) no greater than 65%.According to the Index Provider, eligible securities are then ranked by a combined factor of dollar dividend increase over the previous 5-year period, current dividend yield, and payout ratio. The resulting ranks are aggregated into a single score with the 100 securities with the lowest aggregated rank selected for inclusion in the Index. In the case of multiple securities having the same aggregated score, the security with the highest dividend yield is selected. All selected securities are equally weighted, subject to a maximum 75% from any one size classification. If an industry has a weight greater than 30%, the highest-ranking security will be removed and replaced with the next eligible security from a different industry. This process is repeated until no industry has a weight greater than 30%.The Index is rebalanced quarterly and reconstituted annually and the Fund will make corresponding changes to its portfolio shortly after the Index changes are made public. The Index’s quarterly rebalance 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 December 31, 2023, the Index was composed of 100 securities with market capitalizations ranging from $477 million to $22.25 billion. The securities of companies represented in the Index generally have market capitalizations that are consistent with the name of the Index. However, the Fund will not sell a security because the security has exceeded or fallen below the current market capitalization range of the Index. As of December 31, 2023, the Fund had significant investments in financial companies, although this may change from time to time. The Fund’s investment 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 December 31, 2023. 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.
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SDVY - Performance

Return Ranking - Trailing

Period SDVY Return Category Return Low Category Return High Rank in Category (%)
YTD 17.4% 4.8% 31.9% 29.67%
1 Yr 32.6% 14.6% 44.1% 6.59%
3 Yr 10.0%* -1.5% 15.7% 8.36%
5 Yr 14.5%* 0.8% 17.8% 4.83%
10 Yr N/A* 1.7% 11.7% 65.30%

* Annualized

Return Ranking - Calendar

Period SDVY Return Category Return Low Category Return High Rank in Category (%)
2023 25.8% -11.3% 33.3% 2.48%
2022 -14.0% -41.6% 2.3% 52.37%
2021 27.6% -41.5% 44.9% 19.83%
2020 9.6% -29.0% 22.1% 3.13%
2019 23.4% -8.1% 31.2% 43.11%

Total Return Ranking - Trailing

Period SDVY Return Category Return Low Category Return High Rank in Category (%)
YTD 17.4% 4.8% 31.9% 29.67%
1 Yr 32.6% 14.6% 44.1% 6.59%
3 Yr 10.0%* -1.5% 15.7% 8.36%
5 Yr 14.5%* 0.8% 17.8% 4.83%
10 Yr N/A* 1.7% 11.7% N/A

* Annualized

Total Return Ranking - Calendar

Period SDVY Return Category Return Low Category Return High Rank in Category (%)
2023 28.6% -1.7% 36.5% 1.65%
2022 -12.0% -35.0% 2.4% 85.52%
2021 29.1% 6.2% 48.3% 48.04%
2020 11.7% -22.9% 23.2% 3.13%
2019 25.6% -3.0% 35.7% 61.00%

SDVY - Holdings

Concentration Analysis

SDVY Category Low Category High SDVY % Rank
Net Assets 4.02 B 991 K 28 B 19.23%
Number of Holdings 101 8 2308 42.03%
Net Assets in Top 10 491 M 319 K 5.52 B 24.45%
Weighting of Top 10 10.62% 4.6% 100.2% 92.58%

Top 10 Holdings

  1. California Resources Corp 1.08%
  2. Eastern Bankshares Inc 1.07%
  3. Cactus Inc 1.07%
  4. Synovus Financial Corp 1.07%
  5. Comerica Inc 1.07%
  6. Synchrony Financial 1.06%
  7. Regions Financial Corp 1.05%
  8. Zions Bancorp NA 1.05%
  9. Cal-Maine Foods Inc 1.05%
  10. Installed Building Products Inc 1.05%

Asset Allocation

Weighting Return Low Return High SDVY % Rank
Stocks 		99.55% 56.67% 103.53% 17.31%
Cash 		0.45% 0.00% 38.75% 68.41%
Preferred Stocks 		0.00% 0.00% 1.68% 42.31%
Other 		0.00% -0.10% 7.30% 61.54%
Convertible Bonds 		0.00% 0.00% 0.02% 37.29%
Bonds 		0.00% 0.00% 19.09% 38.74%

Stock Sector Breakdown

Weighting Return Low Return High SDVY % Rank
Financial Services 		32.11% 0.00% 60.11% 1.38%
Industrials 		24.70% 0.00% 29.02% 3.59%
Consumer Cyclical 		20.60% 0.00% 29.62% 3.59%
Basic Materials 		7.27% 0.00% 23.88% 28.18%
Technology 		6.64% 0.00% 30.07% 85.36%
Energy 		4.75% 0.00% 29.17% 82.32%
Communication Services 		1.91% 0.00% 19.80% 56.08%
Consumer Defense 		1.09% 0.00% 33.79% 97.24%
Real Estate 		0.92% 0.00% 40.74% 89.78%
Utilities 		0.00% 0.00% 24.69% 94.48%
Healthcare 		0.00% 0.00% 32.47% 99.72%

Stock Geographic Breakdown

Weighting Return Low Return High SDVY % Rank
US 		99.55% 56.67% 103.53% 15.38%
Non US 		0.00% 0.00% 33.85% 52.75%

SDVY - Expenses

Operational Fees

SDVY Fees (% of AUM) Category Return Low Category Return High Rank in Category (%)
Expense Ratio 0.60% 0.06% 16.92% 89.81%
Management Fee 0.60% 0.00% 1.20% 24.18%
12b-1 Fee 0.00% 0.00% 1.00% 10.94%
Administrative Fee N/A 0.01% 0.40% N/A

Sales Fees

SDVY Fees (% of AUM) Category Return Low Category Return High Rank in Category (%)
Front Load N/A 3.50% 5.75% N/A
Deferred Load N/A 1.00% 4.00% N/A

Trading Fees

SDVY Fees (% of AUM) Category Return Low Category Return High Rank in Category (%)
Max Redemption Fee N/A 1.00% 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.

SDVY Fees (% of AUM) Category Return Low Category Return High Rank in Category (%)
Turnover N/A 0.00% 227.00% 84.04%

SDVY - Distributions

Dividend Yield Analysis

SDVY Category Low Category High SDVY % Rank
Dividend Yield 1.45% 0.00% 22.79% 46.56%

Dividend Distribution Analysis

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

Net Income Ratio Analysis

SDVY Category Low Category High SDVY % Rank
Net Income Ratio 1.77% -1.84% 4.73% 6.93%

Capital Gain Distribution Analysis

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

Distributions History

View More +

SDVY - Fund Manager Analysis

Managers

Daniel Lindquist

Start Date

Tenure

Tenure Rank

Nov 02, 2017

4.58

4.6%

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

Nov 02, 2017

4.58

4.6%

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

Nov 02, 2017

4.58

4.6%

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.

Stan Ueland

Start Date

Tenure

Tenure Rank

Nov 02, 2017

4.58

4.6%

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

Nov 02, 2017

4.58

4.6%

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.

Roger Testin

Start Date

Tenure

Tenure Rank

Nov 02, 2017

4.58

4.6%

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.

Erik Russo

Start Date

Tenure

Tenure Rank

Feb 01, 2021

1.33

1.3%

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
0.08 35.59 8.16 10.92

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