|
|
 |
|
Holdings of the Fund as of 9/10/2026
Total Number of Holdings (excluding cash): 204
| Travere Therapeutics, Inc. |
TVTX |
89422G107 |
12,728 |
$859,267.28 |
1.68% |
| Xometry, Inc. (Class A) |
XMTR |
98423F109 |
9,524 |
$808,111.40 |
1.58% |
| JFrog Ltd. |
FROG |
M6191J100 |
8,961 |
$794,392.65 |
1.56% |
| Zeta Global Holdings Corp. (Class A) |
ZETA |
98956A105 |
25,919 |
$792,084.64 |
1.55% |
| FirstCash Holdings, Inc. |
FCFS |
33768G107 |
3,404 |
$774,001.52 |
1.52% |
| Twist Bioscience Corporation |
TWST |
90184D100 |
5,885 |
$746,512.25 |
1.46% |
| Guardant Health, Inc. |
GH |
40131M109 |
4,169 |
$662,996.07 |
1.30% |
| VSE Corporation |
VSEC |
918284100 |
3,083 |
$593,909.12 |
1.16% |
| Protagonist Therapeutics, Inc. |
PTGX |
74366E102 |
3,890 |
$564,672.40 |
1.11% |
| Varonis Systems, Inc. |
VRNS |
922280102 |
12,309 |
$560,059.50 |
1.10% |
| Praxis Precision Medicines, Inc. |
PRAX |
74006W207 |
1,647 |
$557,624.79 |
1.09% |
| Spyre Therapeutics, Inc. |
SYRE |
00773J202 |
6,033 |
$535,187.43 |
1.05% |
| Ligand Pharmaceuticals Inc. (Class B) |
LGND |
53220K504 |
1,830 |
$529,327.50 |
1.04% |
| Halozyme Therapeutics, Inc. |
HALO |
40637H109 |
4,564 |
$488,348.00 |
0.96% |
| EZCORP, Inc. |
EZPW |
302301106 |
14,842 |
$481,919.74 |
0.94% |
| Silicon Motion Technology Corporation (ADR) |
SIMO |
82706C108 |
1,798 |
$476,919.50 |
0.93% |
| Repligen Corporation |
RGEN |
759916109 |
2,796 |
$460,445.28 |
0.90% |
| Rubrik, Inc. (Class A) |
RBRK |
781154109 |
5,159 |
$458,686.69 |
0.90% |
| SailPoint, Inc. |
SAIL |
78781J109 |
25,856 |
$456,099.84 |
0.89% |
| Definium Therapeutics Inc. |
DFTX |
24477V105 |
11,617 |
$438,309.41 |
0.86% |
| Edgewise Therapeutics, Inc. |
EWTX |
28036F105 |
10,191 |
$437,193.90 |
0.86% |
| Xenon Pharmaceuticals Inc. |
XENE |
98420N105 |
7,262 |
$427,005.60 |
0.84% |
| Exelixis, Inc. |
EXEL |
30161Q104 |
7,174 |
$412,002.82 |
0.81% |
| Manhattan Associates, Inc. |
MANH |
562750109 |
1,994 |
$408,809.88 |
0.80% |
| Virtu Financial, Inc. (Class A) |
VIRT |
928254101 |
6,475 |
$398,665.75 |
0.78% |
| Herc Holdings, Inc. |
HRI |
42704L104 |
2,623 |
$372,570.92 |
0.73% |
| WisdomTree, Inc. |
WT |
97717P104 |
15,401 |
$373,628.26 |
0.73% |
| Five Below, Inc. |
FIVE |
33829M101 |
1,521 |
$366,986.88 |
0.72% |
| Acadian Asset Management Inc. |
AAMI |
10948W103 |
3,949 |
$363,505.45 |
0.71% |
| Ollie's Bargain Outlet Holdings, Inc. |
OLLI |
681116109 |
5,077 |
$365,137.84 |
0.71% |
| Scholar Rock Holding Corporation |
SRRK |
80706P103 |
6,528 |
$363,413.76 |
0.71% |
| Piper Sandler Companies |
PIPR |
724078209 |
4,666 |
$355,129.26 |
0.70% |
| RBC Bearings Incorporated |
RBC |
75524B104 |
740 |
$353,764.40 |
0.69% |
| Life Time Group Holdings, Inc. |
LTH |
53190C102 |
8,328 |
$345,445.44 |
0.68% |
| Rush Street Interactive, Inc. |
RSI |
782011100 |
13,162 |
$346,950.32 |
0.68% |
| ICON Plc |
ICLR |
G4705A100 |
2,056 |
$340,658.64 |
0.67% |
| Magnolia Oil & Gas Corporation (Class A) |
MGY |
559663109 |
12,396 |
$343,369.20 |
0.67% |
| BioLife Solutions, Inc. |
BLFS |
09062W204 |
9,662 |
$337,397.04 |
0.66% |
| Kymera Therapeutics, Inc. |
KYMR |
501575104 |
2,890 |
$338,130.00 |
0.66% |
| Boot Barn Holdings, Inc. |
BOOT |
099406100 |
2,364 |
$332,567.52 |
0.65% |
| Glaukos Corporation |
GKOS |
377322102 |
1,940 |
$330,537.20 |
0.65% |
| First Watch Restaurant Group, Inc. |
FWRG |
33748L101 |
29,293 |
$327,788.67 |
0.64% |
| Genius Sports Limited |
GENI |
G3934V109 |
48,698 |
$327,250.56 |
0.64% |
| MACOM Technology Solutions Holdings, Inc. |
MTSI |
55405Y100 |
1,192 |
$324,736.56 |
0.64% |
| AeroVironment, Inc. |
AVAV |
008073108 |
2,200 |
$323,543.04 |
0.63% |
| Encore Capital Group, Inc. |
ECPG |
292554102 |
3,227 |
$316,052.38 |
0.62% |
| Leonardo DRS, Inc. |
DRS |
52661A108 |
8,675 |
$314,989.25 |
0.62% |
| iRhythm Holdings, Inc. |
IRTC |
450056106 |
2,713 |
$306,243.44 |
0.60% |
| Septerna, Inc. |
SEPN |
81734D104 |
8,155 |
$307,851.25 |
0.60% |
| Bandwidth Inc. (Class A) |
BAND |
05988J103 |
5,807 |
$299,757.34 |
0.59% |
| Medpace Holdings, Inc. |
MEDP |
58506Q109 |
514 |
$299,744.24 |
0.59% |
| Dave Inc. (Class A) |
DAVE |
23834J201 |
827 |
$296,363.72 |
0.58% |
| PTC Therapeutics, Inc. |
PTCT |
69366J200 |
4,375 |
$294,743.75 |
0.58% |
| Arrowhead Pharmaceuticals, Inc. |
ARWR |
04280A100 |
3,501 |
$289,742.76 |
0.57% |
| Fastly, Inc. (Class A) |
FSLY |
31188V100 |
12,719 |
$288,848.49 |
0.57% |
| Knight-Swift Transportation Holdings Inc. |
KNX |
499049104 |
4,189 |
$289,166.67 |
0.57% |
| Kratos Defense & Security Solutions, Inc. |
KTOS |
50077B207 |
6,064 |
$284,886.72 |
0.56% |
| Paymentus Holdings, Inc. (Class A) |
PAY |
70439P108 |
7,837 |
$284,326.36 |
0.56% |
| Five9, Inc. |
FIVN |
338307101 |
9,302 |
$281,385.50 |
0.55% |
| Powell Industries, Inc. |
POWL |
739128106 |
1,583 |
$280,016.87 |
0.55% |
| The Chefs' Warehouse, Inc. |
CHEF |
163086101 |
2,578 |
$282,987.06 |
0.55% |
| Tidewater Inc. |
TDW |
88642R109 |
3,027 |
$278,453.73 |
0.55% |
| Viper Energy, Inc. (Class A) |
VNOM |
64361Q101 |
6,249 |
$280,205.16 |
0.55% |
| Wingstop Inc. |
WING |
974155103 |
2,549 |
$281,715.48 |
0.55% |
| Amylyx Pharmaceuticals, Inc. |
AMLX |
03237H101 |
8,574 |
$275,139.66 |
0.54% |
| Enova International, Inc. |
ENVA |
29357K103 |
1,236 |
$275,702.16 |
0.54% |
| HealthEquity, Inc. |
HQY |
42226A107 |
2,898 |
$274,005.90 |
0.54% |
| IMAX Corporation |
IMAX |
45245E109 |
5,396 |
$277,084.60 |
0.54% |
| Lattice Semiconductor Corporation |
LSCC |
518415104 |
2,405 |
$274,506.70 |
0.54% |
| Lithia Motors, Inc. |
LAD |
536797103 |
748 |
$273,880.20 |
0.54% |
| nLight, Inc. |
LASR |
65487K100 |
6,907 |
$271,376.03 |
0.53% |
| TechnipFMC Plc |
FTI |
G87110105 |
3,556 |
$268,762.48 |
0.53% |
| Supernus Pharmaceuticals, Inc. |
SUPN |
868459108 |
6,414 |
$267,399.66 |
0.52% |
| CECO Environmental Corp. |
CECO |
125141101 |
3,458 |
$260,698.62 |
0.51% |
| Agilysys, Inc. |
AGYS |
00847J105 |
2,385 |
$251,545.95 |
0.49% |
| Axsome Therapeutics, Inc. |
AXSM |
05464T104 |
1,196 |
$252,493.59 |
0.49% |
| Customers Bancorp, Inc. |
CUBI |
23204G100 |
3,150 |
$248,409.00 |
0.49% |
| Karman Holdings Inc. |
KRMN |
485924104 |
7,339 |
$252,388.21 |
0.49% |
| BWX Technologies, Inc. |
BWXT |
05605H100 |
1,603 |
$244,441.47 |
0.48% |
| Moog Inc. |
MOG/A |
615394202 |
672 |
$246,435.84 |
0.48% |
| Palomar Holdings, Inc. |
PLMR |
69753M105 |
1,830 |
$243,243.60 |
0.48% |
| Remitly Global, Inc. |
RELY |
75960P104 |
11,172 |
$245,001.96 |
0.48% |
| Robert Half Inc. |
RHI |
770323103 |
6,574 |
$245,999.08 |
0.48% |
| The Descartes Systems Group Inc. |
DSGX |
249906108 |
3,453 |
$246,267.96 |
0.48% |
| Webull Corporation (Class A) |
BULL |
G9572D103 |
26,182 |
$243,492.60 |
0.48% |
| Victoria's Secret & Co. |
VSXY |
926400102 |
3,268 |
$239,838.52 |
0.47% |
| Balchem Corporation |
BCPC |
057665200 |
1,398 |
$233,004.66 |
0.46% |
| Onto Innovation Inc. |
ONTO |
683344105 |
883 |
$237,456.36 |
0.46% |
| Sezzle Inc. |
SEZL |
78435P105 |
1,966 |
$232,794.06 |
0.46% |
| Compass, Inc. (Class A) |
COMP |
20464U100 |
22,866 |
$231,632.58 |
0.45% |
| Flywire Corporation |
FLYW |
302492103 |
12,839 |
$227,892.25 |
0.45% |
| Immunome, Inc. |
IMNM |
45257U108 |
9,155 |
$228,600.35 |
0.45% |
| Netskope, Inc. (Class A) |
NTSK |
64119N608 |
15,294 |
$230,939.40 |
0.45% |
| Tenable Holdings, Inc. |
TENB |
88025T102 |
7,247 |
$232,121.41 |
0.45% |
| MAXIMUS, Inc. |
MMS |
577933104 |
3,988 |
$225,441.64 |
0.44% |
| Sitime Corporation |
SITM |
82982T106 |
370 |
$222,839.90 |
0.44% |
| Archrock, Inc. |
AROC |
03957W106 |
6,722 |
$217,523.92 |
0.43% |
| Celldex Therapeutics Inc. |
CLDX |
15117B202 |
5,819 |
$221,703.90 |
0.43% |
| Terex Corporation |
TEX |
880779103 |
3,678 |
$219,355.92 |
0.43% |
| AGCO Corporation |
AGCO |
001084102 |
1,769 |
$215,694.17 |
0.42% |
| Camtek Ltd. |
CAMT |
M20791105 |
1,480 |
$213,490.00 |
0.42% |
| IAMGOLD Corporation |
IAG |
450913108 |
10,763 |
$216,228.67 |
0.42% |
| Steven Madden, Ltd. |
SHOO |
556269108 |
5,137 |
$213,493.72 |
0.42% |
| StoneX Group Inc. |
SNEX |
861896108 |
3,097 |
$216,077.69 |
0.42% |
| Almonty Industries Inc. |
ALM |
020398707 |
12,789 |
$211,913.73 |
0.41% |
| Amprius Technologies, Inc. |
AMPX |
03214Q108 |
21,831 |
$208,486.05 |
0.41% |
| Cognex Corporation |
CGNX |
192422103 |
3,371 |
$207,956.99 |
0.41% |
| Commvault Systems, Inc. |
CVLT |
204166102 |
1,591 |
$209,296.05 |
0.41% |
| Globus Medical, Inc. (Class A) |
GMED |
379577208 |
2,837 |
$208,689.72 |
0.41% |
| Guidewire Software, Inc. |
GWRE |
40171V100 |
1,501 |
$210,275.09 |
0.41% |
| Neptune Insurance Holdings Inc. (Class A) |
NP |
64073B103 |
6,762 |
$210,568.68 |
0.41% |
| Park Aerospace Corp. |
PKE |
70014A104 |
6,866 |
$210,854.86 |
0.41% |
| Star Bulk Carriers Corp. |
SBLK |
Y8162K204 |
6,587 |
$202,484.38 |
0.40% |
| TAT Technologies Ltd. |
TATT |
M8740S227 |
5,365 |
$203,065.25 |
0.40% |
| Ambarella, Inc. |
AMBA |
G037AX101 |
2,960 |
$200,895.20 |
0.39% |
| Garrett Motion Inc. |
GTX |
366505105 |
7,249 |
$197,100.31 |
0.39% |
| Impinj, Inc. |
PI |
453204109 |
1,151 |
$197,730.29 |
0.39% |
| Rambus Inc. |
RMBS |
750917106 |
2,343 |
$199,975.05 |
0.39% |
| Ryan Specialty Holdings, Inc. (Class A) |
RYAN |
78351F107 |
5,098 |
$197,139.66 |
0.39% |
| Natera, Inc. |
NTRA |
632307104 |
591 |
$192,748.74 |
0.38% |
| Ultra Clean Holdings, Inc. |
UCTT |
90385V107 |
2,705 |
$192,406.65 |
0.38% |
| Axogen, Inc. |
AXGN |
05463X106 |
4,522 |
$189,245.70 |
0.37% |
| Bullish |
BLSH |
G16910120 |
5,612 |
$190,134.56 |
0.37% |
| DigitalOcean Holdings, Inc. |
DOCN |
25402D102 |
1,439 |
$188,580.95 |
0.37% |
| Federal Signal Corporation |
FSS |
313855108 |
1,663 |
$188,683.98 |
0.37% |
| FIGS, Inc. (Class A) |
FIGS |
30260D103 |
14,759 |
$191,129.05 |
0.37% |
| SentinelOne, Inc. (Class A) |
S |
81730H109 |
9,662 |
$191,404.22 |
0.37% |
| Sportradar Group AG (Class A) |
SRAD |
H8088L103 |
14,801 |
$187,972.70 |
0.37% |
| Andersen Group Inc. (Class A) |
ANDG |
033853102 |
3,504 |
$186,377.76 |
0.36% |
| e.l.f. Beauty, Inc. |
ELF |
26856L103 |
1,937 |
$185,487.12 |
0.36% |
| Fabrinet |
FN |
G3323L100 |
452 |
$182,585.40 |
0.36% |
| Veracyte, Inc. |
VCYT |
92337F107 |
4,318 |
$181,485.54 |
0.36% |
| Cogent Biosciences, Inc. |
COGT |
19240Q201 |
5,213 |
$177,659.04 |
0.35% |
| Everpure, Inc. (Class A) |
P |
74624M102 |
1,912 |
$179,919.20 |
0.35% |
| InterDigital, Inc. |
IDCC |
45867G101 |
507 |
$175,645.08 |
0.34% |
| James Hardie Industries plc |
JHX |
G4253H101 |
6,105 |
$172,099.95 |
0.34% |
| Lindsay Corporation |
LNN |
535555106 |
1,460 |
$171,272.60 |
0.34% |
| Madrigal Pharmaceuticals, Inc. |
MDGL |
558868105 |
323 |
$172,197.76 |
0.34% |
| MaxLinear, Inc. |
MXL |
57776J100 |
2,461 |
$170,645.74 |
0.33% |
| Perimeter Solutions, Inc. |
PRM |
71385M107 |
5,506 |
$168,153.24 |
0.33% |
| SiteOne Landscape Supply, Inc. |
SITE |
82982L103 |
1,768 |
$167,571.04 |
0.33% |
| Viavi Solutions Inc. |
VIAV |
925550105 |
4,522 |
$169,122.80 |
0.33% |
| Adaptive Biotechnologies Corporation |
ADPT |
00650F109 |
6,840 |
$165,733.20 |
0.32% |
| Freshpet, Inc. |
FRPT |
358039105 |
2,542 |
$165,662.14 |
0.32% |
| Global-E Online Ltd. |
GLBE |
M5216V106 |
4,420 |
$161,330.00 |
0.32% |
| Power Integrations, Inc. |
POWI |
739276103 |
3,248 |
$161,393.12 |
0.32% |
| The Vita Coco Company, Inc. |
COCO |
92846Q107 |
3,202 |
$163,622.20 |
0.32% |
| AAON, Inc. |
AAON |
000360206 |
2,076 |
$158,855.52 |
0.31% |
| American Superconductor Corporation |
AMSC |
030111207 |
5,591 |
$160,238.06 |
0.31% |
| Antero Resources Corporation |
AR |
03674X106 |
4,091 |
$160,244.47 |
0.31% |
| Braze, Inc. (Class A) |
BRZE |
10576N102 |
6,578 |
$159,615.28 |
0.31% |
| Alkermes Plc |
ALKS |
G01767105 |
3,327 |
$153,407.97 |
0.30% |
| DPC Holdings Plc |
DPC |
G2R11M108 |
3,646 |
$154,663.32 |
0.30% |
| Innovex International, Inc. |
INVX |
457651107 |
5,183 |
$153,883.27 |
0.30% |
| Kodiak Gas Services, Inc. |
KGS |
50012A108 |
2,457 |
$153,562.50 |
0.30% |
| Kornit Digital Ltd. |
KRNT |
M6372Q113 |
9,703 |
$150,978.68 |
0.30% |
| Mirion Technologies, Inc. |
MIR |
60471A101 |
9,620 |
$152,380.80 |
0.30% |
| Titan Machinery Inc. |
TITN |
88830R101 |
6,537 |
$154,534.68 |
0.30% |
| Zurn Elkay Water Solutions Corp. |
ZWS |
98983L108 |
3,391 |
$154,358.32 |
0.30% |
| Harley-Davidson, Inc. |
HOG |
412822108 |
5,513 |
$148,630.48 |
0.29% |
| Sterling Infrastructure, Inc. |
STRL |
859241101 |
305 |
$147,882.30 |
0.29% |
| Generac Holdings Inc. |
GNRC |
368736104 |
781 |
$141,884.27 |
0.28% |
| Gulfport Energy Corporation |
GPOR |
402635502 |
822 |
$144,918.60 |
0.28% |
| Marriott Vacations Worldwide Corporation |
VAC |
57164Y107 |
1,430 |
$144,558.70 |
0.28% |
| Mercury Systems, Inc. |
MRCY |
589378108 |
1,766 |
$142,039.38 |
0.28% |
| AXT, Inc. |
AXTI |
00246W103 |
2,154 |
$139,363.80 |
0.27% |
| Bright Horizons Family Solutions Inc. |
BFAM |
109194100 |
2,179 |
$140,044.33 |
0.27% |
| Helmerich & Payne, Inc. |
HP |
423452101 |
3,052 |
$135,997.12 |
0.27% |
| Installed Building Products, Inc. |
IBP |
45780R101 |
678 |
$136,766.16 |
0.27% |
| Champion Homes Inc. |
SKY |
830830105 |
1,605 |
$131,208.75 |
0.26% |
| ExlService Holdings, Inc. |
EXLS |
302081104 |
3,868 |
$133,910.16 |
0.26% |
| Miami International Holdings, Inc. |
MIAX |
59356Q108 |
3,062 |
$130,257.48 |
0.26% |
| OPENLANE Inc. |
OPLN |
48238T109 |
3,810 |
$132,473.70 |
0.26% |
| ServiceTitan, Inc. (Class A) |
TTAN |
81764X103 |
2,378 |
$133,191.78 |
0.26% |
| Tarsus Pharmaceuticals, Inc. |
TARS |
87650L103 |
1,636 |
$132,712.32 |
0.26% |
| Construction Partners, Inc. (Class A) |
ROAD |
21044C107 |
1,316 |
$126,493.92 |
0.25% |
| Dianthus Therapeutics, Inc. |
DNTH |
252828108 |
1,219 |
$125,898.32 |
0.25% |
| Rush Enterprises, Inc. (Class A) |
RUSHA |
781846209 |
2,681 |
$129,197.39 |
0.25% |
| Universal Technical Institute, Inc. |
UTI |
913915104 |
6,256 |
$128,873.60 |
0.25% |
| CSW Industrials, Inc. |
CSW |
126402106 |
426 |
$124,264.20 |
0.24% |
| Elastic N.V. |
ESTC |
N14506104 |
1,498 |
$125,053.04 |
0.24% |
| ESCO Technologies Inc. |
ESE |
296315104 |
463 |
$123,741.38 |
0.24% |
| The Timken Company |
TKR |
887389104 |
1,023 |
$120,877.68 |
0.24% |
| Uranium Energy Corp. |
UEC |
916896103 |
11,009 |
$121,319.18 |
0.24% |
| First Advantage Corporation |
FA |
31846B108 |
5,490 |
$112,105.80 |
0.22% |
| Modine Manufacturing Company |
MOD |
607828100 |
637 |
$114,188.62 |
0.22% |
| Cactus, Inc. (Class A) |
WHD |
127203107 |
1,573 |
$107,593.20 |
0.21% |
| Eos Energy Enterprises, Inc. |
EOSE |
29415C101 |
27,477 |
$109,633.23 |
0.21% |
| Heartflow, Inc. |
HTFL |
42238D107 |
2,367 |
$107,674.83 |
0.21% |
| Oceaneering International, Inc. |
OII |
675232102 |
2,097 |
$106,045.29 |
0.21% |
| Structure Therapeutics Inc. |
GPCR |
86366E106 |
2,682 |
$106,073.10 |
0.21% |
| The Cheesecake Factory Incorporated |
CAKE |
163072101 |
1,053 |
$106,521.48 |
0.21% |
| YETI Holdings, Inc. |
YETI |
98585X104 |
2,770 |
$109,331.90 |
0.21% |
| Cardinal Infrastructure Group Inc. (Class A) |
CDNL |
14154A102 |
2,641 |
$90,084.51 |
0.18% |
| Semtech Corporation |
SMTC |
816850101 |
584 |
$92,931.92 |
0.18% |
| Toast, Inc. (Class A) |
TOST |
888787108 |
2,857 |
$91,252.58 |
0.18% |
| AtriCure, Inc. |
ATRC |
04963C209 |
1,627 |
$86,165.92 |
0.17% |
| Navan, Inc. (Class A) |
NAVN |
639193101 |
4,127 |
$83,613.02 |
0.16% |
| Crocs, Inc. |
CROX |
227046109 |
718 |
$78,139.94 |
0.15% |
| Vishay Precision Group, Inc. |
VPG |
92835K103 |
1,172 |
$72,335.84 |
0.14% |
| Red Violet, Inc. |
RDVT |
75704L104 |
904 |
$66,037.20 |
0.13% |
| Credo Technology Group Holding Ltd |
CRDO |
G25457105 |
144 |
$23,084.64 |
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% |
| US Dollar |
$USD |
|
-189,275 |
($189,275.27) |
-0.37% |
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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