|
|
 |
|
Holdings of the Fund as of 10/16/2026
Total Number of Holdings (excluding cash): 204
| Xometry, Inc. (Class A) |
XMTR |
98423F109 |
9,244 |
$840,372.04 |
1.70% |
| Zeta Global Holdings Corp. (Class A) |
ZETA |
98956A105 |
24,370 |
$775,209.70 |
1.57% |
| Repligen Corporation |
RGEN |
759916109 |
4,246 |
$744,833.29 |
1.51% |
| Twist Bioscience Corporation |
TWST |
90184D100 |
5,623 |
$746,453.25 |
1.51% |
| FirstCash Holdings, Inc. |
FCFS |
33768G107 |
3,446 |
$741,785.96 |
1.50% |
| JFrog Ltd. |
FROG |
M6191J100 |
8,599 |
$724,981.69 |
1.47% |
| Varonis Systems, Inc. |
VRNS |
922280102 |
13,922 |
$678,279.84 |
1.37% |
| Guardant Health, Inc. |
GH |
40131M109 |
4,210 |
$667,706.00 |
1.35% |
| Travere Therapeutics, Inc. |
TVTX |
89422G107 |
12,863 |
$638,004.80 |
1.29% |
| Halozyme Therapeutics, Inc. |
HALO |
40637H109 |
4,690 |
$571,429.60 |
1.16% |
| SailPoint, Inc. |
SAIL |
78781J109 |
30,200 |
$566,250.00 |
1.15% |
| Protagonist Therapeutics, Inc. |
PTGX |
74366E102 |
4,393 |
$565,598.75 |
1.14% |
| Rubrik, Inc. (Class A) |
RBRK |
781154109 |
4,785 |
$537,881.85 |
1.09% |
| Ligand Pharmaceuticals Inc. (Class B) |
LGND |
53220K504 |
1,813 |
$535,814.02 |
1.08% |
| EZCORP, Inc. |
EZPW |
302301106 |
15,050 |
$496,650.00 |
1.00% |
| Ollie's Bargain Outlet Holdings, Inc. |
OLLI |
681116109 |
5,190 |
$483,604.20 |
0.98% |
| Spyre Therapeutics, Inc. |
SYRE |
00773J202 |
6,093 |
$486,830.70 |
0.98% |
| Exelixis, Inc. |
EXEL |
30161Q104 |
7,337 |
$456,581.51 |
0.92% |
| Manhattan Associates, Inc. |
MANH |
562750109 |
1,980 |
$439,896.60 |
0.89% |
| VSE Corporation |
VSEC |
918284100 |
2,677 |
$439,242.16 |
0.89% |
| Silicon Motion Technology Corporation (ADR) |
SIMO |
82706C108 |
2,027 |
$428,305.10 |
0.87% |
| Fastly, Inc. (Class A) |
FSLY |
31188V100 |
17,078 |
$383,742.66 |
0.78% |
| Edgewise Therapeutics, Inc. |
EWTX |
28036F105 |
10,291 |
$382,722.29 |
0.77% |
| Praxis Precision Medicines, Inc. |
PRAX |
74006W207 |
1,548 |
$374,244.48 |
0.76% |
| RBC Bearings Incorporated |
RBC |
75524B104 |
750 |
$373,890.00 |
0.76% |
| Virtu Financial, Inc. (Class A) |
VIRT |
928254101 |
6,649 |
$377,929.16 |
0.76% |
| Acadian Asset Management Inc. |
AAMI |
10948W103 |
3,988 |
$367,534.08 |
0.74% |
| First Watch Restaurant Group, Inc. |
FWRG |
33748L101 |
30,016 |
$363,793.92 |
0.74% |
| ICON Plc |
ICLR |
G4705A100 |
2,147 |
$365,376.46 |
0.74% |
| Wingstop Inc. |
WING |
974155103 |
2,710 |
$356,961.20 |
0.72% |
| Definium Therapeutics Inc. |
DFTX |
24477V105 |
10,629 |
$341,190.90 |
0.69% |
| Life Time Group Holdings, Inc. |
LTH |
53190C102 |
8,410 |
$340,773.20 |
0.69% |
| The Chefs' Warehouse, Inc. |
CHEF |
163086101 |
3,019 |
$342,867.83 |
0.69% |
| Medpace Holdings, Inc. |
MEDP |
58506Q109 |
542 |
$335,210.74 |
0.68% |
| Encore Capital Group, Inc. |
ECPG |
292554102 |
3,273 |
$332,798.64 |
0.67% |
| Five Below, Inc. |
FIVE |
33829M101 |
1,480 |
$329,625.60 |
0.67% |
| WisdomTree, Inc. |
WT |
97717P104 |
15,553 |
$332,678.67 |
0.67% |
| Glaukos Corporation |
GKOS |
377322102 |
1,959 |
$322,921.56 |
0.65% |
| MACOM Technology Solutions Holdings, Inc. |
MTSI |
55405Y100 |
1,230 |
$322,555.20 |
0.65% |
| Magnolia Oil & Gas Corporation (Class A) |
MGY |
559663109 |
12,674 |
$321,285.90 |
0.65% |
| Boot Barn Holdings, Inc. |
BOOT |
099406100 |
2,606 |
$317,202.32 |
0.64% |
| iRhythm Holdings, Inc. |
IRTC |
450056106 |
2,918 |
$317,069.88 |
0.64% |
| Leonardo DRS, Inc. |
DRS |
52661A108 |
8,901 |
$315,273.42 |
0.64% |
| US Dollar |
$USD |
|
318,548 |
$318,547.63 |
0.64% |
| Piper Sandler Companies |
PIPR |
724078209 |
4,794 |
$309,788.28 |
0.63% |
| DigitalOcean Holdings, Inc. |
DOCN |
25402D102 |
3,088 |
$304,754.72 |
0.62% |
| HealthEquity, Inc. |
HQY |
42226A107 |
3,335 |
$306,920.05 |
0.62% |
| Kymera Therapeutics, Inc. |
KYMR |
501575104 |
2,918 |
$305,748.04 |
0.62% |
| The Descartes Systems Group Inc. |
DSGX |
249906108 |
3,544 |
$308,505.20 |
0.62% |
| Five9, Inc. |
FIVN |
338307101 |
9,394 |
$302,768.62 |
0.61% |
| Septerna, Inc. |
SEPN |
81734D104 |
8,235 |
$299,342.25 |
0.61% |
| Netskope, Inc. (Class A) |
NTSK |
64119N608 |
15,633 |
$297,027.00 |
0.60% |
| MaxLinear, Inc. |
MXL |
57776J100 |
4,074 |
$290,557.68 |
0.59% |
| FIGS, Inc. (Class A) |
FIGS |
30260D103 |
14,904 |
$284,964.48 |
0.58% |
| Victoria's Secret & Co. |
VSXY |
926400102 |
3,300 |
$288,222.00 |
0.58% |
| Viper Energy, Inc. (Class A) |
VNOM |
64361Q101 |
6,420 |
$289,028.40 |
0.58% |
| e.l.f. Beauty, Inc. |
ELF |
26856L103 |
2,490 |
$282,714.60 |
0.57% |
| Karman Holdings Inc. |
KRMN |
485924104 |
8,109 |
$281,220.12 |
0.57% |
| IMAX Corporation |
IMAX |
45245E109 |
5,450 |
$276,969.00 |
0.56% |
| AeroVironment, Inc. |
AVAV |
008073108 |
2,251 |
$274,149.29 |
0.55% |
| Andersen Group Inc. (Class A) |
ANDG |
033853102 |
4,687 |
$273,111.49 |
0.55% |
| Remitly Global, Inc. |
RELY |
75960P104 |
11,282 |
$272,573.12 |
0.55% |
| Agilysys, Inc. |
AGYS |
00847J105 |
2,439 |
$268,046.10 |
0.54% |
| Genius Sports Limited |
GENI |
G3934V109 |
41,897 |
$266,045.95 |
0.54% |
| Guidewire Software, Inc. |
GWRE |
40171V100 |
1,584 |
$267,474.24 |
0.54% |
| Powell Industries, Inc. |
POWL |
739128106 |
1,605 |
$265,049.70 |
0.54% |
| Palomar Holdings, Inc. |
PLMR |
69753M105 |
1,876 |
$261,870.84 |
0.53% |
| PTC Therapeutics, Inc. |
PTCT |
69366J200 |
4,419 |
$261,781.56 |
0.53% |
| Lattice Semiconductor Corporation |
LSCC |
518415104 |
2,460 |
$254,979.00 |
0.52% |
| Bandwidth Inc. (Class A) |
BAND |
05988J103 |
5,864 |
$254,145.76 |
0.51% |
| Kratos Defense & Security Solutions, Inc. |
KTOS |
50077B207 |
6,212 |
$251,089.04 |
0.51% |
| MAXIMUS, Inc. |
MMS |
577933104 |
4,086 |
$251,166.42 |
0.51% |
| Moog Inc. |
MOG/A |
615394202 |
678 |
$249,910.80 |
0.51% |
| Sezzle Inc. |
SEZL |
78435P105 |
1,985 |
$253,385.25 |
0.51% |
| Balchem Corporation |
BCPC |
057665200 |
1,438 |
$245,509.74 |
0.50% |
| Paymentus Holdings, Inc. (Class A) |
PAY |
70439P108 |
7,914 |
$249,607.56 |
0.50% |
| Supernus Pharmaceuticals, Inc. |
SUPN |
868459108 |
6,587 |
$249,515.56 |
0.50% |
| Xenon Pharmaceuticals Inc. |
XENE |
98420N105 |
7,333 |
$245,582.17 |
0.50% |
| Tidewater Inc. |
TDW |
88642R109 |
3,057 |
$243,031.50 |
0.49% |
| ExlService Holdings, Inc. |
EXLS |
302081104 |
5,949 |
$235,074.74 |
0.48% |
| Flywire Corporation |
FLYW |
302492103 |
12,966 |
$239,482.02 |
0.48% |
| nLight, Inc. |
LASR |
65487K100 |
7,066 |
$237,912.22 |
0.48% |
| TechnipFMC Plc |
FTI |
G87110105 |
3,439 |
$239,595.13 |
0.48% |
| Natera, Inc. |
NTRA |
632307104 |
596 |
$234,490.24 |
0.47% |
| The Cheesecake Factory Incorporated |
CAKE |
163072101 |
2,024 |
$232,598.08 |
0.47% |
| Amylyx Pharmaceuticals, Inc. |
AMLX |
03237H101 |
8,658 |
$228,051.72 |
0.46% |
| BWX Technologies, Inc. |
BWXT |
05605H100 |
1,668 |
$228,532.68 |
0.46% |
| Dave Inc. (Class A) |
DAVE |
23834J201 |
617 |
$226,685.80 |
0.46% |
| Globus Medical, Inc. (Class A) |
GMED |
379577208 |
2,897 |
$222,228.87 |
0.45% |
| MSC Industrial Direct Co., Inc. (Class A) |
MSM |
553530106 |
1,716 |
$223,732.08 |
0.45% |
| Scholar Rock Holding Corporation |
SRRK |
80706P103 |
5,606 |
$223,679.40 |
0.45% |
| Adaptive Biotechnologies Corporation |
ADPT |
00650F109 |
9,035 |
$217,020.70 |
0.44% |
| Semtech Corporation |
SMTC |
816850101 |
1,584 |
$216,580.32 |
0.44% |
| Ryan Specialty Holdings, Inc. (Class A) |
RYAN |
78351F107 |
5,211 |
$212,348.25 |
0.43% |
| SentinelOne, Inc. (Class A) |
S |
81730H109 |
9,880 |
$213,210.40 |
0.43% |
| Axogen, Inc. |
AXGN |
05463X106 |
6,003 |
$207,823.86 |
0.42% |
| Impinj, Inc. |
PI |
453204109 |
1,188 |
$208,339.56 |
0.42% |
| Rambus Inc. |
RMBS |
750917106 |
2,397 |
$209,138.25 |
0.42% |
| Archrock, Inc. |
AROC |
03957W106 |
6,879 |
$203,343.24 |
0.41% |
| Neptune Insurance Holdings Inc. (Class A) |
NP |
64073B103 |
6,829 |
$200,499.44 |
0.41% |
| Steven Madden, Ltd. |
SHOO |
556269108 |
4,487 |
$203,126.49 |
0.41% |
| Braze, Inc. (Class A) |
BRZE |
10576N102 |
6,754 |
$198,162.36 |
0.40% |
| CECO Environmental Corp. |
CECO |
125141101 |
3,492 |
$198,066.24 |
0.40% |
| Commvault Systems, Inc. |
CVLT |
204166102 |
1,314 |
$195,930.54 |
0.40% |
| Elastic N.V. |
ESTC |
N14506104 |
2,182 |
$200,176.68 |
0.40% |
| Global-E Online Ltd. |
GLBE |
M5216V106 |
5,044 |
$195,808.08 |
0.40% |
| Herc Holdings, Inc. |
HRI |
42704L104 |
1,647 |
$200,225.79 |
0.40% |
| IAMGOLD Corporation |
IAG |
450913108 |
10,869 |
$196,620.21 |
0.40% |
| Onto Innovation Inc. |
ONTO |
683344105 |
892 |
$196,864.40 |
0.40% |
| Camtek Ltd. |
CAMT |
M20791105 |
1,501 |
$194,334.47 |
0.39% |
| Customers Bancorp, Inc. |
CUBI |
23204G100 |
2,572 |
$192,334.16 |
0.39% |
| Cognex Corporation |
CGNX |
192422103 |
3,460 |
$186,805.40 |
0.38% |
| Federal Signal Corporation |
FSS |
313855108 |
1,679 |
$188,702.81 |
0.38% |
| The Vita Coco Company, Inc. |
COCO |
92846Q107 |
3,233 |
$189,744.77 |
0.38% |
| AGCO Corporation |
AGCO |
001084102 |
1,787 |
$185,347.64 |
0.37% |
| Star Bulk Carriers Corp. |
SBLK |
Y8162K204 |
6,652 |
$184,859.08 |
0.37% |
| TAT Technologies Ltd. |
TATT |
M8740S227 |
5,503 |
$180,718.52 |
0.37% |
| Viavi Solutions Inc. |
VIAV |
925550105 |
5,420 |
$180,919.60 |
0.37% |
| Garrett Motion Inc. |
GTX |
366505105 |
7,321 |
$178,925.24 |
0.36% |
| Sitime Corporation |
SITM |
82982T106 |
375 |
$177,052.50 |
0.36% |
| Solaris Energy Infrastructure, Inc. (Class A) |
SEI |
83418M103 |
2,827 |
$177,365.98 |
0.36% |
| Sportradar Group AG (Class A) |
SRAD |
H8088L103 |
15,154 |
$180,484.14 |
0.36% |
| StoneX Group Inc. |
SNEX |
861896108 |
3,128 |
$178,796.48 |
0.36% |
| Amprius Technologies, Inc. |
AMPX |
03214Q108 |
22,387 |
$172,603.77 |
0.35% |
| Fabrinet |
FN |
G3323L100 |
479 |
$174,121.29 |
0.35% |
| Freshpet, Inc. |
FRPT |
358039105 |
2,567 |
$171,039.21 |
0.35% |
| Oceaneering International, Inc. |
OII |
675232102 |
3,898 |
$170,693.42 |
0.35% |
| Robert Half Inc. |
RHI |
770323103 |
5,124 |
$170,680.44 |
0.35% |
| SiteOne Landscape Supply, Inc. |
SITE |
82982L103 |
1,813 |
$171,944.92 |
0.35% |
| Ambarella, Inc. |
AMBA |
G037AX101 |
2,751 |
$169,736.70 |
0.34% |
| Antero Resources Corporation |
AR |
03674X106 |
4,357 |
$168,398.05 |
0.34% |
| AXT, Inc. |
AXTI |
00246W103 |
3,250 |
$167,277.50 |
0.34% |
| Enova International, Inc. |
ENVA |
29357K103 |
947 |
$168,461.83 |
0.34% |
| Kornit Digital Ltd. |
KRNT |
M6372Q113 |
9,839 |
$166,869.44 |
0.34% |
| Celldex Therapeutics Inc. |
CLDX |
15117B202 |
5,876 |
$161,766.28 |
0.33% |
| InterDigital, Inc. |
IDCC |
45867G101 |
512 |
$163,481.60 |
0.33% |
| James Hardie Industries plc |
JHX |
G4253H101 |
6,253 |
$161,452.46 |
0.33% |
| Navan, Inc. (Class A) |
NAVN |
639193101 |
6,427 |
$163,117.26 |
0.33% |
| AAON, Inc. |
AAON |
000360206 |
2,126 |
$156,749.98 |
0.32% |
| Almonty Industries Inc. |
ALM |
020398707 |
15,893 |
$156,228.19 |
0.32% |
| Bright Horizons Family Solutions Inc. |
BFAM |
109194100 |
2,251 |
$160,158.65 |
0.32% |
| Generac Holdings Inc. |
GNRC |
368736104 |
834 |
$160,695.12 |
0.32% |
| Lindsay Corporation |
LNN |
535555106 |
1,480 |
$158,892.80 |
0.32% |
| Marriott Vacations Worldwide Corporation |
VAC |
57164Y107 |
1,444 |
$160,182.92 |
0.32% |
| Webull Corporation (Class A) |
BULL |
G9572D103 |
26,440 |
$160,490.80 |
0.32% |
| Zurn Elkay Water Solutions Corp. |
ZWS |
98983L108 |
3,395 |
$159,768.70 |
0.32% |
| Compass, Inc. (Class A) |
COMP |
20464U100 |
16,914 |
$154,424.82 |
0.31% |
| Immunome, Inc. |
IMNM |
45257U108 |
9,246 |
$152,281.62 |
0.31% |
| American Superconductor Corporation |
AMSC |
030111207 |
5,711 |
$146,601.37 |
0.30% |
| Innovex International, Inc. |
INVX |
457651107 |
5,234 |
$146,709.02 |
0.30% |
| Madrigal Pharmaceuticals, Inc. |
MDGL |
558868105 |
326 |
$146,615.24 |
0.30% |
| Materion Corporation |
MTRN |
576690101 |
613 |
$150,454.72 |
0.30% |
| Mirion Technologies, Inc. |
MIR |
60471A101 |
9,839 |
$149,060.85 |
0.30% |
| Power Integrations, Inc. |
POWI |
739276103 |
3,314 |
$147,473.00 |
0.30% |
| Titan Machinery Inc. |
TITN |
88830R101 |
6,712 |
$148,872.16 |
0.30% |
| Gulfport Energy Corporation |
GPOR |
402635502 |
875 |
$145,250.00 |
0.29% |
| OPENLANE Inc. |
OPLN |
48238T109 |
3,847 |
$142,454.41 |
0.29% |
| Veracyte, Inc. |
VCYT |
92337F107 |
3,337 |
$143,891.44 |
0.29% |
| Alkermes Plc |
ALKS |
G01767105 |
3,359 |
$138,457.98 |
0.28% |
| Knight-Swift Transportation Holdings Inc. |
KNX |
499049104 |
2,134 |
$138,304.54 |
0.28% |
| Ultra Clean Holdings, Inc. |
UCTT |
90385V107 |
2,731 |
$139,281.00 |
0.28% |
| Bullish |
BLSH |
G16910120 |
4,544 |
$134,002.56 |
0.27% |
| Cogent Biosciences, Inc. |
COGT |
19240Q201 |
4,470 |
$131,954.40 |
0.27% |
| Installed Building Products, Inc. |
IBP |
45780R101 |
730 |
$135,612.10 |
0.27% |
| Mercury Systems, Inc. |
MRCY |
589378108 |
1,783 |
$132,423.41 |
0.27% |
| Park Aerospace Corp. |
PKE |
70014A104 |
5,086 |
$133,812.66 |
0.27% |
| Tarsus Pharmaceuticals, Inc. |
TARS |
87650L103 |
1,941 |
$132,123.87 |
0.27% |
| Aehr Test Systems, Inc. |
AEHR |
00760J108 |
2,112 |
$127,987.20 |
0.26% |
| Scorpio Tankers Inc. |
STNG |
Y7542C130 |
1,591 |
$129,586.95 |
0.26% |
| Sterling Infrastructure, Inc. |
STRL |
859241101 |
308 |
$130,702.88 |
0.26% |
| Champion Homes Inc. |
SKY |
830830105 |
1,621 |
$126,016.54 |
0.25% |
| CSW Industrials, Inc. |
CSW |
126402106 |
430 |
$123,990.50 |
0.25% |
| Rush Enterprises, Inc. (Class A) |
RUSHA |
781846209 |
2,707 |
$122,789.52 |
0.25% |
| ESCO Technologies Inc. |
ESE |
296315104 |
468 |
$116,588.16 |
0.24% |
| Harley-Davidson, Inc. |
HOG |
412822108 |
4,464 |
$119,456.64 |
0.24% |
| DPC Holdings Plc |
DPC |
G2R11M108 |
3,682 |
$113,736.98 |
0.23% |
| EnPro, Inc. |
NPO |
29355X107 |
409 |
$114,957.63 |
0.23% |
| Heartflow, Inc. |
HTFL |
42238D107 |
2,390 |
$115,413.10 |
0.23% |
| Helmerich & Payne, Inc. |
HP |
423452101 |
3,083 |
$115,396.69 |
0.23% |
| Hut 8 Corp. |
HUT |
44812J104 |
1,673 |
$113,345.75 |
0.23% |
| Rush Street Interactive, Inc. |
RSI |
782011100 |
6,120 |
$113,342.40 |
0.23% |
| The Timken Company |
TKR |
887389104 |
1,033 |
$116,098.87 |
0.23% |
| Arrowhead Pharmaceuticals, Inc. |
ARWR |
04280A100 |
1,959 |
$109,508.10 |
0.22% |
| Construction Partners, Inc. (Class A) |
ROAD |
21044C107 |
1,329 |
$109,921.59 |
0.22% |
| First Advantage Corporation |
FA |
31846B108 |
5,544 |
$106,333.92 |
0.22% |
| Innodata, Inc. |
INOD |
457642205 |
2,067 |
$109,178.94 |
0.22% |
| Target Hospitality Corp. |
TH |
87615L107 |
7,142 |
$110,415.32 |
0.22% |
| Everpure, Inc. (Class A) |
P |
74624M102 |
855 |
$106,028.55 |
0.21% |
| Cactus, Inc. (Class A) |
WHD |
127203107 |
1,588 |
$97,995.48 |
0.20% |
| Figure Technology Solutions, Inc. (Class A) |
FIGR |
349381103 |
3,597 |
$97,586.61 |
0.20% |
| AtriCure, Inc. |
ATRC |
04963C209 |
1,643 |
$92,123.01 |
0.19% |
| Modine Manufacturing Company |
MOD |
607828100 |
643 |
$95,716.98 |
0.19% |
| Toast, Inc. (Class A) |
TOST |
888787108 |
2,918 |
$92,267.16 |
0.19% |
| Dianthus Therapeutics, Inc. |
DNTH |
252828108 |
1,231 |
$88,742.79 |
0.18% |
| Axsome Therapeutics, Inc. |
AXSM |
05464T104 |
543 |
$85,327.02 |
0.17% |
| Huron Consulting Group Inc. |
HURN |
447462102 |
494 |
$86,380.84 |
0.17% |
| Red Violet, Inc. |
RDVT |
75704L104 |
1,167 |
$86,358.00 |
0.17% |
| Vishay Precision Group, Inc. |
VPG |
92835K103 |
1,209 |
$73,023.60 |
0.15% |
| Lithia Motors, Inc. |
LAD |
536797103 |
180 |
$53,125.20 |
0.11% |
| Uranium Energy Corp. |
UEC |
916896103 |
7,084 |
$56,034.44 |
0.11% |
| Eos Energy Enterprises, Inc. |
EOSE |
29415C101 |
27,749 |
$50,503.18 |
0.10% |
| Cardinal Infrastructure Group Inc. (Class A) |
CDNL |
14154A102 |
2,667 |
$38,991.54 |
0.08% |
| Gentherm Incorporated |
THRM |
37253A103 |
287 |
$8,334.48 |
0.02% |
| 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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