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IQ Chaikin U.S. Small Cap ETF

ETF
CSML
Payout Change
Suspended
Price as of:
$34.9484 +0.0 +0.0%
primary theme
U.S. Small-Cap Blend Equity
CSML (ETF)

IQ Chaikin U.S. Small Cap ETF

Payout Change
Suspended
Price as of:
$34.9484 +0.0 +0.0%
primary theme
U.S. Small-Cap Blend Equity
CSML (ETF)

IQ Chaikin U.S. Small Cap ETF

Payout Change
Suspended
Price as of:
$34.9484 +0.0 +0.0%
primary theme
U.S. Small-Cap Blend Equity

Name

As of 05/03/2024

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

IQ Chaikin U.S. Small Cap ETF

CSML | ETF

$34.95

$184 M

1.50%

$0.52

0.36%

Vitals

YTD Return

N/A

1 yr return

N/A

3 Yr Avg Return

N/A

5 Yr Avg Return

N/A

Net Assets

$184 M

Holdings in Top 10

4.7%

52 WEEK LOW AND HIGH

$34.9
$34.34
$37.30

Expenses

OPERATING FEES

Expense Ratio 0.36%

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 05/03/2024

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

IQ Chaikin U.S. Small Cap ETF

CSML | ETF

$34.95

$184 M

1.50%

$0.52

0.36%

CSML - Profile

Distributions

  • YTD Total Return N/A
  • 3 Yr Annualized Total Return N/A
  • 5 Yr Annualized Total Return N/A
  • Capital Gain Distribution Frequency N/A
  • Net Income Ratio 1.29%
DIVIDENDS
  • Dividend Yield 1.5%
  • Dividend Distribution Frequency Quarterly

Fund Details

  • Legal Name
    IQ Chaikin U.S. Small Cap ETF
  • Fund Family Name
    IndexIQ
  • Inception Date
    May 16, 2017
  • Shares Outstanding
    6150000
  • Share Class
    N/A
  • Currency
    USD
  • Domiciled Country
    US
  • Manager
    Greg Barrato

Fund Description

The Fund employs a “passive management” — or indexing — investment approach designed to track the performance of the Underlying Index, which has been developed by Nasdaq, Inc. (the “Index Provider”). The Underlying Index applies the Chaikin Power Gauge®, a quantitative multi-factor model that seeks to identify securities that are expected to outperform peers, to select securities from the Nasdaq US 1500 Index (the “Parent Index”). The Underlying Index is an equally weighted index of small-capitalization securities. As of June 30, 2023, the market capitalization range of the Underlying Index was approximately $107 million to $12.12 billion. As of June 30, 2023, the primary sectors within the Underlying Index were financials, industrials and information technology. The composition of the Underlying Index may change over time.
The Underlying Index uses the Chaikin Power Gauge to select securities from the Parent Index. The Chaikin Power Gauge is a multi-factor model that evaluates four primary components:
•
Value component (35% of rating), which uses factors such as long term debt to equity ratio, price to book ratio, and free cash flow to identify companies that are priced at a discount relative to peers;
​
•
Growth component (20% of rating), which uses factors such as earnings growth, earnings trend, and earnings consistency to identify companies with higher growth potential;
​
•
Technical component (15% of rating), which uses factors such as price trend, price trend rate of change, and volume trend to identify stocks with strong momentum and price appreciation; and
​
•
Sentiment component (30% of rating), which uses factors such as earnings estimate trend, short interest, and industry relative strength to identify companies that are expected to outperform peers by informed Wall Street analysts and professionals.
​
The Chaikin Power Gauge seeks to identify each security’s current potential to outperform or underperform compared with peers.
To be selected for inclusion in the Underlying Index, a security must rank in the least volatile two-thirds of the Parent Index based on a calculation of its volatility over the prior year period and its sensitivity to the performance of the equity market (as measured by its beta) over the previous five year period.
The security types eligible for inclusion in the Underlying Index include common stocks and real estate investment trusts (REITs). The Underlying Index rebalances and reconstitutes annually and typically consists of up to 500 securities based on the Chaikin Power Gauge ranking. The Underlying Index selection criteria uses sector constraints, which seeks to maintain exposure to the different sectors typically within a range of 80% to 120% of the weight of the sector in the Parent Index.
The Fund generally will invest in all of the securities that comprise its Underlying Index in proportion to their weightings in the Underlying Index. The Fund has adopted a policy to invest, under normal circumstances, at least 80% of the value of its assets (net assets plus the amount of any borrowings for investment purposes) in securities of small-capitalization U.S. issuers.
The Fund may invest in one or more ETFs advised by the Advisor (“Affiliated ETFs”) that are not components of the index if such an investment will help the Fund track the Underlying Index.
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CSML - Performance

Return Ranking - Trailing

Period CSML Return Category Return Low Category Return High Rank in Category (%)
YTD N/A -9.1% 31.7% 89.96%
1 Yr N/A -6.3% 34.6% 41.97%
3 Yr N/A* -11.8% 42.4% 36.13%
5 Yr N/A* -11.1% 31.3% 40.28%
10 Yr N/A* -3.4% 12.7% 51.17%

* Annualized

Return Ranking - Calendar

Period CSML Return Category Return Low Category Return High Rank in Category (%)
2023 13.1% -19.9% 29.0% 55.83%
2022 -13.3% -59.3% 118.2% 7.50%
2021 25.9% -31.6% 39.3% 6.45%
2020 6.8% -51.0% 39.5% 70.94%
2019 22.5% -5.6% 37.8% 36.61%

Total Return Ranking - Trailing

Period CSML Return Category Return Low Category Return High Rank in Category (%)
YTD N/A -9.1% 31.7% 89.96%
1 Yr N/A -6.3% 34.6% 41.97%
3 Yr N/A* -11.8% 42.4% 36.13%
5 Yr N/A* -11.1% 31.3% 40.28%
10 Yr N/A* -3.4% 12.7% N/A

* Annualized

Total Return Ranking - Calendar

Period CSML Return Category Return Low Category Return High Rank in Category (%)
2023 14.8% -11.7% 31.8% 68.26%
2022 -12.1% -45.2% 123.7% 14.81%
2021 27.8% 0.0% 45.6% 22.46%
2020 8.1% -50.5% 46.9% 72.95%
2019 24.2% 2.2% 40.9% 55.02%

CSML - Holdings

Concentration Analysis

CSML Category Low Category High CSML % Rank
Net Assets 184 M 555 K 167 B 74.33%
Number of Holdings 496 2 2445 28.14%
Net Assets in Top 10 8.29 M 124 K 10.3 B 90.87%
Weighting of Top 10 4.73% 3.1% 100.1% 95.23%

Top 10 Holdings

  1. iShares Core SP Small-Cap ETF 0.71%
  2. DREYFUS GOVERNMENT CASH MANAGE 0.67%
  3. Y-mAbs Therapeutics Inc 0.48%
  4. Nkarta Inc 0.48%
  5. Immunovant Inc 0.44%
  6. Boise Cascade Co 0.44%
  7. United States Cellular Corp 0.40%
  8. Bridgebio Pharma Inc 0.38%
  9. Forestar Group Inc 0.37%
  10. Sterling Infrastructure Inc 0.37%

Asset Allocation

Weighting Return Low Return High CSML % Rank
Stocks 		99.96% 4.44% 107.74% 1.71%
Cash 		0.71% 0.00% 27.02% 74.52%
Preferred Stocks 		0.00% 0.00% 5.13% 53.23%
Other 		0.00% -0.07% 50.79% 73.00%
Convertible Bonds 		0.00% 0.00% 3.17% 53.14%
Bonds 		0.00% 0.00% 102.81% 56.46%

Stock Sector Breakdown

Weighting Return Low Return High CSML % Rank
Financial Services 		22.12% 0.00% 35.52% 8.65%
Industrials 		17.53% 2.46% 37.42% 41.15%
Healthcare 		12.25% 0.00% 26.53% 55.77%
Technology 		11.68% 0.00% 43.95% 81.54%
Consumer Cyclical 		9.77% 0.99% 47.79% 69.81%
Real Estate 		6.35% 0.00% 29.43% 62.88%
Energy 		5.00% 0.00% 37.72% 70.19%
Consumer Defense 		4.54% 0.00% 18.87% 38.46%
Basic Materials 		4.48% 0.00% 18.66% 55.19%
Utilities 		3.28% 0.00% 18.58% 24.81%
Communication Services 		3.00% 0.00% 14.85% 40.96%

Stock Geographic Breakdown

Weighting Return Low Return High CSML % Rank
US 		99.96% 2.58% 107.74% 0.76%
Non US 		0.00% 0.00% 97.07% 59.89%

CSML - Expenses

Operational Fees

CSML Fees (% of AUM) Category Return Low Category Return High Rank in Category (%)
Expense Ratio 0.36% 0.01% 38.30% 87.98%
Management Fee 0.35% 0.00% 1.50% 16.60%
12b-1 Fee 0.00% 0.00% 1.00% 11.67%
Administrative Fee N/A 0.01% 0.45% N/A

Sales Fees

CSML 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% 5.00% N/A

Trading Fees

CSML 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.

CSML Fees (% of AUM) Category Return Low Category Return High Rank in Category (%)
Turnover N/A 1.00% 314.00% 39.56%

CSML - Distributions

Dividend Yield Analysis

CSML Category Low Category High CSML % Rank
Dividend Yield 1.50% 0.00% 42.47% 37.83%

Dividend Distribution Analysis

CSML Category Low Category High Category Mod
Dividend Distribution Frequency Quarterly Annual SemiAnnual Annual

Net Income Ratio Analysis

CSML Category Low Category High CSML % Rank
Net Income Ratio 1.29% -2.40% 2.49% 3.08%

Capital Gain Distribution Analysis

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

Distributions History

View More +

CSML - Fund Manager Analysis

Managers

Greg Barrato

Start Date

Tenure

Tenure Rank

May 15, 2017

5.05

5.1%

Mr. Barrato has managed the MainStay VP IQ Hedge Multi-Strategy Portfolio since inception. Mr. Barrato joined IndexIQ Advisors LLC as a Vice President in November 2010 and has been a Senior Vice President of the IndexIQ Advisors LLC since August 2013. Prior to joining IndexIQ Advisors LLC, Mr. Barrato served as Head Global Equity Trader and Trader at Lucerne Capital Management, LLC from 2008 to 2010 and as Assistant Trader and Operations Manager at ReachCapital Management, LP from 2004 to 2008. Mr. Barrato is a 2002 graduate of the University of Connecticut.

James Harrison

Start Date

Tenure

Tenure Rank

Apr 30, 2018

4.09

4.1%

James Harrison has been a member of the portfolio management team of IndexIQ Advisors LLC since 2015. Prior to joining IndexIQ, Mr. Harrison served as trading assistant, operations specialist and sales assistant at Cuttone & Company from 2010 to 2015. Mr. Harrison is a graduate of St. Lawrence University.

Tenure Analysis

Category Low Category High Category Average Category Mode
0.08 49.61 7.17 2.58

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