|
|
 |
|
Holdings of the Fund as of 9/17/2026
Total Number of Holdings (excluding cash): 204
| Twist Bioscience Corporation |
TWST |
90184D100 |
5,947 |
$925,115.32 |
1.75% |
| Xometry, Inc. (Class A) |
XMTR |
98423F109 |
9,625 |
$916,877.50 |
1.74% |
| JFrog Ltd. |
FROG |
M6191J100 |
9,054 |
$850,894.92 |
1.61% |
| Travere Therapeutics, Inc. |
TVTX |
89422G107 |
12,863 |
$832,750.62 |
1.58% |
| Zeta Global Holdings Corp. (Class A) |
ZETA |
98956A105 |
26,188 |
$795,329.56 |
1.51% |
| Guardant Health, Inc. |
GH |
40131M109 |
4,210 |
$770,851.00 |
1.46% |
| FirstCash Holdings, Inc. |
FCFS |
33768G107 |
3,441 |
$753,475.77 |
1.43% |
| US Dollar |
$USD |
|
619,054 |
$619,053.81 |
1.17% |
| Varonis Systems, Inc. |
VRNS |
922280102 |
12,442 |
$594,852.02 |
1.13% |
| Protagonist Therapeutics, Inc. |
PTGX |
74366E102 |
3,932 |
$565,028.40 |
1.07% |
| Rubrik, Inc. (Class A) |
RBRK |
781154109 |
5,215 |
$562,333.45 |
1.07% |
| Spyre Therapeutics, Inc. |
SYRE |
00773J202 |
6,092 |
$564,606.56 |
1.07% |
| VSE Corporation |
VSEC |
918284100 |
3,117 |
$545,724.36 |
1.03% |
| Ligand Pharmaceuticals Inc. (Class B) |
LGND |
53220K504 |
1,850 |
$526,695.00 |
1.00% |
| SailPoint, Inc. |
SAIL |
78781J109 |
26,126 |
$527,483.94 |
1.00% |
| Praxis Precision Medicines, Inc. |
PRAX |
74006W207 |
1,663 |
$516,311.61 |
0.98% |
| Halozyme Therapeutics, Inc. |
HALO |
40637H109 |
4,615 |
$506,173.20 |
0.96% |
| Repligen Corporation |
RGEN |
759916109 |
2,827 |
$503,743.13 |
0.95% |
| Edgewise Therapeutics, Inc. |
EWTX |
28036F105 |
10,290 |
$483,012.60 |
0.92% |
| EZCORP, Inc. |
EZPW |
302301106 |
15,009 |
$474,884.76 |
0.90% |
| Silicon Motion Technology Corporation (ADR) |
SIMO |
82706C108 |
1,818 |
$460,499.40 |
0.87% |
| Definium Therapeutics Inc. |
DFTX |
24477V105 |
11,730 |
$453,716.40 |
0.86% |
| Manhattan Associates, Inc. |
MANH |
562750109 |
2,017 |
$425,223.94 |
0.81% |
| Exelixis, Inc. |
EXEL |
30161Q104 |
7,255 |
$424,344.95 |
0.80% |
| Xenon Pharmaceuticals Inc. |
XENE |
98420N105 |
7,332 |
$420,490.20 |
0.80% |
| Ollie's Bargain Outlet Holdings, Inc. |
OLLI |
681116109 |
5,135 |
$391,287.00 |
0.74% |
| Virtu Financial, Inc. (Class A) |
VIRT |
928254101 |
6,549 |
$374,995.74 |
0.71% |
| Herc Holdings, Inc. |
HRI |
42704L104 |
2,652 |
$367,991.52 |
0.70% |
| RBC Bearings Incorporated |
RBC |
75524B104 |
749 |
$370,358.03 |
0.70% |
| AeroVironment, Inc. |
AVAV |
008073108 |
2,225 |
$363,520.50 |
0.69% |
| Five Below, Inc. |
FIVE |
33829M101 |
1,538 |
$364,198.40 |
0.69% |
| Acadian Asset Management Inc. |
AAMI |
10948W103 |
3,987 |
$360,982.98 |
0.68% |
| BioLife Solutions, Inc. |
BLFS |
09062W204 |
9,771 |
$360,061.35 |
0.68% |
| ICON Plc |
ICLR |
G4705A100 |
2,079 |
$352,764.72 |
0.67% |
| Kymera Therapeutics, Inc. |
KYMR |
501575104 |
2,918 |
$345,724.64 |
0.66% |
| WisdomTree, Inc. |
WT |
97717P104 |
15,550 |
$345,832.00 |
0.66% |
| Life Time Group Holdings, Inc. |
LTH |
53190C102 |
8,409 |
$343,675.83 |
0.65% |
| Piper Sandler Companies |
PIPR |
724078209 |
4,719 |
$340,192.71 |
0.64% |
| Rush Street Interactive, Inc. |
RSI |
782011100 |
13,290 |
$335,572.50 |
0.64% |
| Encore Capital Group, Inc. |
ECPG |
292554102 |
3,264 |
$326,987.52 |
0.62% |
| Leonardo DRS, Inc. |
DRS |
52661A108 |
8,773 |
$325,127.38 |
0.62% |
| Septerna, Inc. |
SEPN |
81734D104 |
8,234 |
$325,243.00 |
0.62% |
| Five9, Inc. |
FIVN |
338307101 |
9,392 |
$324,024.00 |
0.61% |
| Magnolia Oil & Gas Corporation (Class A) |
MGY |
559663109 |
12,535 |
$321,898.80 |
0.61% |
| Medpace Holdings, Inc. |
MEDP |
58506Q109 |
520 |
$319,893.60 |
0.61% |
| Scholar Rock Holding Corporation |
SRRK |
80706P103 |
6,591 |
$323,090.82 |
0.61% |
| Fastly, Inc. (Class A) |
FSLY |
31188V100 |
12,842 |
$315,527.94 |
0.60% |
| Genius Sports Limited |
GENI |
G3934V109 |
49,245 |
$319,107.60 |
0.60% |
| Glaukos Corporation |
GKOS |
377322102 |
1,959 |
$316,221.78 |
0.60% |
| MACOM Technology Solutions Holdings, Inc. |
MTSI |
55405Y100 |
1,206 |
$317,346.84 |
0.60% |
| iRhythm Holdings, Inc. |
IRTC |
450056106 |
2,744 |
$306,642.00 |
0.58% |
| First Watch Restaurant Group, Inc. |
FWRG |
33748L101 |
29,622 |
$299,330.47 |
0.57% |
| PTC Therapeutics, Inc. |
PTCT |
69366J200 |
4,418 |
$300,424.00 |
0.57% |
| Amylyx Pharmaceuticals, Inc. |
AMLX |
03237H101 |
8,657 |
$293,818.58 |
0.56% |
| Bandwidth Inc. (Class A) |
BAND |
05988J103 |
5,863 |
$296,140.13 |
0.56% |
| Boot Barn Holdings, Inc. |
BOOT |
099406100 |
2,391 |
$293,686.53 |
0.56% |
| Dave Inc. (Class A) |
DAVE |
23834J201 |
835 |
$297,669.15 |
0.56% |
| Kratos Defense & Security Solutions, Inc. |
KTOS |
50077B207 |
6,132 |
$292,251.12 |
0.55% |
| IMAX Corporation |
IMAX |
45245E109 |
5,449 |
$282,421.67 |
0.54% |
| Paymentus Holdings, Inc. (Class A) |
PAY |
70439P108 |
7,913 |
$285,896.69 |
0.54% |
| Powell Industries, Inc. |
POWL |
739128106 |
1,601 |
$282,976.75 |
0.54% |
| The Chefs' Warehouse, Inc. |
CHEF |
163086101 |
2,604 |
$286,856.64 |
0.54% |
| HealthEquity, Inc. |
HQY |
42226A107 |
2,931 |
$277,008.81 |
0.53% |
| Knight-Swift Transportation Holdings Inc. |
KNX |
499049104 |
4,229 |
$281,947.43 |
0.53% |
| Supernus Pharmaceuticals, Inc. |
SUPN |
868459108 |
6,486 |
$278,379.12 |
0.53% |
| The Descartes Systems Group Inc. |
DSGX |
249906108 |
3,493 |
$278,147.59 |
0.53% |
| nLight, Inc. |
LASR |
65487K100 |
6,985 |
$268,433.55 |
0.51% |
| Tidewater Inc. |
TDW |
88642R109 |
3,056 |
$268,408.48 |
0.51% |
| Viper Energy, Inc. (Class A) |
VNOM |
64361Q101 |
6,320 |
$271,317.60 |
0.51% |
| Wingstop Inc. |
WING |
974155103 |
2,578 |
$267,493.28 |
0.51% |
| Karman Holdings Inc. |
KRMN |
485924104 |
7,421 |
$261,590.25 |
0.50% |
| Lattice Semiconductor Corporation |
LSCC |
518415104 |
2,432 |
$263,944.96 |
0.50% |
| Netskope, Inc. (Class A) |
NTSK |
64119N608 |
15,466 |
$266,169.86 |
0.50% |
| TechnipFMC Plc |
FTI |
G87110105 |
3,596 |
$261,573.04 |
0.50% |
| Tenable Holdings, Inc. |
TENB |
88025T102 |
7,318 |
$263,887.08 |
0.50% |
| Axsome Therapeutics, Inc. |
AXSM |
05464T104 |
1,208 |
$258,850.24 |
0.49% |
| Palomar Holdings, Inc. |
PLMR |
69753M105 |
1,850 |
$254,116.00 |
0.48% |
| Victoria's Secret & Co. |
VSXY |
926400102 |
3,300 |
$255,684.00 |
0.48% |
| Agilysys, Inc. |
AGYS |
00847J105 |
2,412 |
$246,530.52 |
0.47% |
| CECO Environmental Corp. |
CECO |
125141101 |
3,492 |
$247,338.36 |
0.47% |
| Customers Bancorp, Inc. |
CUBI |
23204G100 |
3,181 |
$248,054.38 |
0.47% |
| Robert Half Inc. |
RHI |
770323103 |
6,637 |
$247,228.25 |
0.47% |
| Compass, Inc. (Class A) |
COMP |
20464U100 |
23,087 |
$241,951.76 |
0.46% |
| Lithia Motors, Inc. |
LAD |
536797103 |
756 |
$243,190.08 |
0.46% |
| Moog Inc. |
MOG/A |
615394202 |
678 |
$241,117.14 |
0.46% |
| Remitly Global, Inc. |
RELY |
75960P104 |
11,280 |
$245,114.40 |
0.46% |
| Arrowhead Pharmaceuticals, Inc. |
ARWR |
04280A100 |
3,535 |
$239,460.90 |
0.45% |
| BWX Technologies, Inc. |
BWXT |
05605H100 |
1,622 |
$237,379.70 |
0.45% |
| Commvault Systems, Inc. |
CVLT |
204166102 |
1,607 |
$239,105.53 |
0.45% |
| Balchem Corporation |
BCPC |
057665200 |
1,414 |
$234,384.64 |
0.44% |
| Flywire Corporation |
FLYW |
302492103 |
12,963 |
$229,833.99 |
0.44% |
| Celldex Therapeutics Inc. |
CLDX |
15117B202 |
5,876 |
$229,046.48 |
0.43% |
| MAXIMUS, Inc. |
MMS |
577933104 |
4,033 |
$229,114.73 |
0.43% |
| SentinelOne, Inc. (Class A) |
S |
81730H109 |
9,771 |
$226,589.49 |
0.43% |
| Sezzle Inc. |
SEZL |
78435P105 |
1,985 |
$224,463.80 |
0.43% |
| Sitime Corporation |
SITM |
82982T106 |
375 |
$224,475.00 |
0.43% |
| Enova International, Inc. |
ENVA |
29357K103 |
1,249 |
$223,645.94 |
0.42% |
| Guidewire Software, Inc. |
GWRE |
40171V100 |
1,518 |
$220,079.64 |
0.42% |
| IAMGOLD Corporation |
IAG |
450913108 |
10,867 |
$219,078.72 |
0.42% |
| Immunome, Inc. |
IMNM |
45257U108 |
9,244 |
$221,208.92 |
0.42% |
| Onto Innovation Inc. |
ONTO |
683344105 |
892 |
$223,026.76 |
0.42% |
| AGCO Corporation |
AGCO |
001084102 |
1,787 |
$217,245.59 |
0.41% |
| Camtek Ltd. |
CAMT |
M20791105 |
1,497 |
$215,882.37 |
0.41% |
| Natera, Inc. |
NTRA |
632307104 |
596 |
$218,320.76 |
0.41% |
| Steven Madden, Ltd. |
SHOO |
556269108 |
5,187 |
$216,816.60 |
0.41% |
| Terex Corporation |
TEX |
880779103 |
3,714 |
$214,966.32 |
0.41% |
| Amprius Technologies, Inc. |
AMPX |
03214Q108 |
22,076 |
$210,605.04 |
0.40% |
| Archrock, Inc. |
AROC |
03957W106 |
6,798 |
$212,233.56 |
0.40% |
| Globus Medical, Inc. (Class A) |
GMED |
379577208 |
2,870 |
$212,839.20 |
0.40% |
| Impinj, Inc. |
PI |
453204109 |
1,165 |
$209,385.45 |
0.40% |
| Park Aerospace Corp. |
PKE |
70014A104 |
6,943 |
$211,692.07 |
0.40% |
| Star Bulk Carriers Corp. |
SBLK |
Y8162K204 |
6,651 |
$211,169.25 |
0.40% |
| Axogen, Inc. |
AXGN |
05463X106 |
4,573 |
$207,088.30 |
0.39% |
| Cognex Corporation |
CGNX |
192422103 |
3,409 |
$207,437.65 |
0.39% |
| Neptune Insurance Holdings Inc. (Class A) |
NP |
64073B103 |
6,828 |
$206,273.88 |
0.39% |
| Rambus Inc. |
RMBS |
750917106 |
2,370 |
$203,511.90 |
0.39% |
| Ryan Specialty Holdings, Inc. (Class A) |
RYAN |
78351F107 |
5,156 |
$206,446.24 |
0.39% |
| StoneX Group Inc. |
SNEX |
861896108 |
3,127 |
$206,788.51 |
0.39% |
| TAT Technologies Ltd. |
TATT |
M8740S227 |
5,426 |
$204,614.46 |
0.39% |
| Webull Corporation (Class A) |
BULL |
G9572D103 |
26,435 |
$203,813.85 |
0.39% |
| Ambarella, Inc. |
AMBA |
G037AX101 |
2,994 |
$200,328.54 |
0.38% |
| Bullish |
BLSH |
G16910120 |
5,676 |
$198,149.16 |
0.38% |
| Everpure, Inc. (Class A) |
P |
74624M102 |
1,934 |
$201,116.66 |
0.38% |
| Adaptive Biotechnologies Corporation |
ADPT |
00650F109 |
6,906 |
$197,166.30 |
0.37% |
| Andersen Group Inc. (Class A) |
ANDG |
033853102 |
3,538 |
$193,953.16 |
0.37% |
| DigitalOcean Holdings, Inc. |
DOCN |
25402D102 |
1,455 |
$193,485.90 |
0.37% |
| FIGS, Inc. (Class A) |
FIGS |
30260D103 |
14,901 |
$194,607.06 |
0.37% |
| Federal Signal Corporation |
FSS |
313855108 |
1,679 |
$191,036.62 |
0.36% |
| Garrett Motion Inc. |
GTX |
366505105 |
7,320 |
$192,223.20 |
0.36% |
| Almonty Industries Inc. |
ALM |
020398707 |
12,913 |
$182,460.69 |
0.35% |
| e.l.f. Beauty, Inc. |
ELF |
26856L103 |
1,956 |
$182,533.92 |
0.35% |
| MaxLinear, Inc. |
MXL |
57776J100 |
2,485 |
$186,350.15 |
0.35% |
| Sportradar Group AG (Class A) |
SRAD |
H8088L103 |
14,967 |
$184,992.12 |
0.35% |
| Ultra Clean Holdings, Inc. |
UCTT |
90385V107 |
2,731 |
$184,451.74 |
0.35% |
| Perimeter Solutions, Inc. |
PRM |
71385M107 |
5,560 |
$178,920.80 |
0.34% |
| The Vita Coco Company, Inc. |
COCO |
92846Q107 |
3,233 |
$181,823.92 |
0.34% |
| Veracyte, Inc. |
VCYT |
92337F107 |
4,360 |
$176,885.20 |
0.34% |
| Cogent Biosciences, Inc. |
COGT |
19240Q201 |
5,264 |
$174,712.16 |
0.33% |
| Fabrinet |
FN |
G3323L100 |
458 |
$174,461.36 |
0.33% |
| Global-E Online Ltd. |
GLBE |
M5216V106 |
4,470 |
$171,558.60 |
0.33% |
| Lindsay Corporation |
LNN |
535555106 |
1,477 |
$173,207.79 |
0.33% |
| Madrigal Pharmaceuticals, Inc. |
MDGL |
558868105 |
326 |
$174,214.40 |
0.33% |
| American Superconductor Corporation |
AMSC |
030111207 |
5,655 |
$164,843.25 |
0.31% |
| Braze, Inc. (Class A) |
BRZE |
10576N102 |
6,653 |
$165,859.29 |
0.31% |
| Generac Holdings Inc. |
GNRC |
368736104 |
790 |
$163,711.70 |
0.31% |
| InterDigital, Inc. |
IDCC |
45867G101 |
513 |
$165,155.22 |
0.31% |
| Power Integrations, Inc. |
POWI |
739276103 |
3,285 |
$161,457.75 |
0.31% |
| AAON, Inc. |
AAON |
000360206 |
2,100 |
$160,503.00 |
0.30% |
| Alkermes Plc |
ALKS |
G01767105 |
3,359 |
$156,898.89 |
0.30% |
| Freshpet, Inc. |
FRPT |
358039105 |
2,567 |
$158,050.19 |
0.30% |
| James Hardie Industries plc |
JHX |
G4253H101 |
6,174 |
$159,968.34 |
0.30% |
| Mirion Technologies, Inc. |
MIR |
60471A101 |
9,728 |
$157,982.72 |
0.30% |
| SiteOne Landscape Supply, Inc. |
SITE |
82982L103 |
1,788 |
$159,310.80 |
0.30% |
| Sterling Infrastructure, Inc. |
STRL |
859241101 |
308 |
$155,761.76 |
0.30% |
| Titan Machinery Inc. |
TITN |
88830R101 |
6,610 |
$158,640.00 |
0.30% |
| Viavi Solutions Inc. |
VIAV |
925550105 |
4,573 |
$158,866.02 |
0.30% |
| Innovex International, Inc. |
INVX |
457651107 |
5,233 |
$152,646.61 |
0.29% |
| Kornit Digital Ltd. |
KRNT |
M6372Q113 |
9,812 |
$150,908.56 |
0.29% |
| Marriott Vacations Worldwide Corporation |
VAC |
57164Y107 |
1,445 |
$151,710.55 |
0.29% |
| Mercury Systems, Inc. |
MRCY |
589378108 |
1,784 |
$153,745.12 |
0.29% |
| Zurn Elkay Water Solutions Corp. |
ZWS |
98983L108 |
3,394 |
$155,207.62 |
0.29% |
| Antero Resources Corporation |
AR |
03674X106 |
4,137 |
$147,235.83 |
0.28% |
| AXT, Inc. |
AXTI |
00246W103 |
2,176 |
$147,424.00 |
0.28% |
| Bright Horizons Family Solutions Inc. |
BFAM |
109194100 |
2,203 |
$147,799.27 |
0.28% |
| DPC Holdings Plc |
DPC |
G2R11M108 |
3,682 |
$148,752.80 |
0.28% |
| Harley-Davidson, Inc. |
HOG |
412822108 |
5,567 |
$147,525.50 |
0.28% |
| Kodiak Gas Services, Inc. |
KGS |
50012A108 |
2,482 |
$144,650.96 |
0.27% |
| Champion Homes Inc. |
SKY |
830830105 |
1,622 |
$138,113.30 |
0.26% |
| Elastic N.V. |
ESTC |
N14506104 |
1,514 |
$134,700.58 |
0.26% |
| ExlService Holdings, Inc. |
EXLS |
302081104 |
3,906 |
$138,584.88 |
0.26% |
| Installed Building Products, Inc. |
IBP |
45780R101 |
687 |
$136,747.35 |
0.26% |
| Gulfport Energy Corporation |
GPOR |
402635502 |
832 |
$134,276.48 |
0.25% |
| OPENLANE Inc. |
OPLN |
48238T109 |
3,847 |
$131,798.22 |
0.25% |
| Rush Enterprises, Inc. (Class A) |
RUSHA |
781846209 |
2,707 |
$134,483.76 |
0.25% |
| ServiceTitan, Inc. (Class A) |
TTAN |
81764X103 |
2,402 |
$130,308.50 |
0.25% |
| Tarsus Pharmaceuticals, Inc. |
TARS |
87650L103 |
1,652 |
$130,557.56 |
0.25% |
| Universal Technical Institute, Inc. |
UTI |
913915104 |
6,317 |
$131,519.94 |
0.25% |
| Construction Partners, Inc. (Class A) |
ROAD |
21044C107 |
1,329 |
$125,749.98 |
0.24% |
| CSW Industrials, Inc. |
CSW |
126402106 |
431 |
$124,412.46 |
0.24% |
| Dianthus Therapeutics, Inc. |
DNTH |
252828108 |
1,232 |
$124,579.84 |
0.24% |
| Helmerich & Payne, Inc. |
HP |
423452101 |
3,082 |
$127,779.72 |
0.24% |
| ESCO Technologies Inc. |
ESE |
296315104 |
468 |
$121,745.52 |
0.23% |
| Modine Manufacturing Company |
MOD |
607828100 |
643 |
$118,864.98 |
0.23% |
| The Timken Company |
TKR |
887389104 |
1,033 |
$120,427.14 |
0.23% |
| First Advantage Corporation |
FA |
31846B108 |
5,543 |
$116,735.58 |
0.22% |
| Heartflow, Inc. |
HTFL |
42238D107 |
2,390 |
$118,472.30 |
0.22% |
| Miami International Holdings, Inc. |
MIAX |
59356Q108 |
3,092 |
$116,444.72 |
0.22% |
| YETI Holdings, Inc. |
YETI |
98585X104 |
2,798 |
$115,333.56 |
0.22% |
| Eos Energy Enterprises, Inc. |
EOSE |
29415C101 |
27,742 |
$110,413.16 |
0.21% |
| Uranium Energy Corp. |
UEC |
916896103 |
11,116 |
$112,493.92 |
0.21% |
| Cactus, Inc. (Class A) |
WHD |
127203107 |
1,589 |
$106,876.14 |
0.20% |
| Semtech Corporation |
SMTC |
816850101 |
590 |
$105,132.10 |
0.20% |
| Oceaneering International, Inc. |
OII |
675232102 |
2,120 |
$97,944.00 |
0.19% |
| The Cheesecake Factory Incorporated |
CAKE |
163072101 |
1,063 |
$101,909.81 |
0.19% |
| AtriCure, Inc. |
ATRC |
04963C209 |
1,643 |
$97,134.16 |
0.18% |
| Structure Therapeutics Inc. |
GPCR |
86366E106 |
2,707 |
$95,015.70 |
0.18% |
| Crocs, Inc. |
CROX |
227046109 |
725 |
$89,175.00 |
0.17% |
| Navan, Inc. (Class A) |
NAVN |
639193101 |
4,168 |
$92,237.84 |
0.17% |
| Toast, Inc. (Class A) |
TOST |
888787108 |
2,890 |
$88,578.50 |
0.17% |
| Cardinal Infrastructure Group Inc. (Class A) |
CDNL |
14154A102 |
2,666 |
$84,645.50 |
0.16% |
| Vishay Precision Group, Inc. |
VPG |
92835K103 |
1,185 |
$73,541.10 |
0.14% |
| Red Violet, Inc. |
RDVT |
75704L104 |
915 |
$70,564.80 |
0.13% |
| Credo Technology Group Holding Ltd |
CRDO |
G25457105 |
146 |
$24,564.50 |
0.05% |
| OmniAb Inc. 12.50 Earnout |
2200963D |
68218J202 |
46 |
$0.00 |
0.00% |
| OmniAb Inc. 15.00 Earnout |
2200964D |
68218J301 |
46 |
$0.00 |
0.00% |
Holdings are subject to change.
The holdings information set forth above for the date indicated reflects creation and redemption transactions from the prior business day and may differ from the holdings information currently available from the Fund's custodian and accounting agent. With respect to the market value of the Fund's holdings set forth above, the pricing sources are generally third party vendors. The Fund ultimately relies on pricing information provided by the Fund's accounting agent.
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The information presented is not intended to constitute an investment recommendation for, or advice to, any specific person. By providing this information, First Trust is not undertaking to give advice in any fiduciary capacity within the meaning of ERISA, the Internal Revenue Code or any other regulatory framework. Financial professionals are responsible for evaluating investment risks independently and for exercising independent judgment in determining whether investments are appropriate for their clients.
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