|
|
 |
|
Holdings of the Fund as of 10/13/2026
Total Number of Holdings (excluding cash): 204
| Xometry, Inc. (Class A) |
XMTR |
98423F109 |
9,244 |
$997,427.60 |
1.94% |
| JFrog Ltd. |
FROG |
M6191J100 |
8,599 |
$853,708.72 |
1.66% |
| Twist Bioscience Corporation |
TWST |
90184D100 |
5,623 |
$850,928.59 |
1.65% |
| Zeta Global Holdings Corp. (Class A) |
ZETA |
98956A105 |
24,370 |
$823,706.00 |
1.60% |
| FirstCash Holdings, Inc. |
FCFS |
33768G107 |
3,446 |
$754,088.18 |
1.47% |
| Repligen Corporation |
RGEN |
759916109 |
4,246 |
$744,833.29 |
1.45% |
| Guardant Health, Inc. |
GH |
40131M109 |
4,210 |
$682,377.90 |
1.33% |
| Varonis Systems, Inc. |
VRNS |
922280102 |
13,922 |
$678,279.84 |
1.32% |
| Travere Therapeutics, Inc. |
TVTX |
89422G107 |
12,863 |
$666,303.40 |
1.29% |
| Protagonist Therapeutics, Inc. |
PTGX |
74366E102 |
4,393 |
$608,386.57 |
1.18% |
| SailPoint, Inc. |
SAIL |
78781J109 |
30,200 |
$584,974.00 |
1.14% |
| Rubrik, Inc. (Class A) |
RBRK |
781154109 |
4,785 |
$566,878.95 |
1.10% |
| Ligand Pharmaceuticals Inc. (Class B) |
LGND |
53220K504 |
1,813 |
$550,299.89 |
1.07% |
| Halozyme Therapeutics, Inc. |
HALO |
40637H109 |
4,690 |
$514,117.80 |
1.00% |
| EZCORP, Inc. |
EZPW |
302301106 |
15,050 |
$497,703.50 |
0.97% |
| Silicon Motion Technology Corporation (ADR) |
SIMO |
82706C108 |
2,027 |
$499,919.01 |
0.97% |
| Spyre Therapeutics, Inc. |
SYRE |
00773J202 |
6,093 |
$490,181.85 |
0.95% |
| Fastly, Inc. (Class A) |
FSLY |
31188V100 |
17,078 |
$462,643.02 |
0.90% |
| Ollie's Bargain Outlet Holdings, Inc. |
OLLI |
681116109 |
5,190 |
$458,432.70 |
0.89% |
| Manhattan Associates, Inc. |
MANH |
562750109 |
1,980 |
$440,965.80 |
0.86% |
| Exelixis, Inc. |
EXEL |
30161Q104 |
7,337 |
$436,624.87 |
0.85% |
| VSE Corporation |
VSEC |
918284100 |
2,677 |
$437,234.41 |
0.85% |
| DigitalOcean Holdings, Inc. |
DOCN |
25402D102 |
3,088 |
$395,912.48 |
0.77% |
| MACOM Technology Solutions Holdings, Inc. |
MTSI |
55405Y100 |
1,230 |
$379,762.50 |
0.74% |
| RBC Bearings Incorporated |
RBC |
75524B104 |
750 |
$382,507.50 |
0.74% |
| Edgewise Therapeutics, Inc. |
EWTX |
28036F105 |
10,291 |
$373,357.48 |
0.73% |
| Praxis Precision Medicines, Inc. |
PRAX |
74006W207 |
1,548 |
$376,690.32 |
0.73% |
| Virtu Financial, Inc. (Class A) |
VIRT |
928254101 |
6,649 |
$371,945.06 |
0.72% |
| Acadian Asset Management Inc. |
AAMI |
10948W103 |
3,988 |
$365,221.04 |
0.71% |
| Definium Therapeutics Inc. |
DFTX |
24477V105 |
10,629 |
$365,425.02 |
0.71% |
| First Watch Restaurant Group, Inc. |
FWRG |
33748L101 |
30,016 |
$361,392.64 |
0.70% |
| MaxLinear, Inc. |
MXL |
57776J100 |
4,074 |
$361,119.36 |
0.70% |
| ICON Plc |
ICLR |
G4705A100 |
2,147 |
$352,837.98 |
0.69% |
| Encore Capital Group, Inc. |
ECPG |
292554102 |
3,273 |
$345,628.80 |
0.67% |
| Wingstop Inc. |
WING |
974155103 |
2,710 |
$340,809.60 |
0.66% |
| Five9, Inc. |
FIVN |
338307101 |
9,394 |
$332,641.54 |
0.65% |
| Life Time Group Holdings, Inc. |
LTH |
53190C102 |
8,410 |
$333,540.60 |
0.65% |
| WisdomTree, Inc. |
WT |
97717P104 |
15,553 |
$336,100.33 |
0.65% |
| Medpace Holdings, Inc. |
MEDP |
58506Q109 |
542 |
$330,560.38 |
0.64% |
| Netskope, Inc. (Class A) |
NTSK |
64119N608 |
15,633 |
$330,637.95 |
0.64% |
| Glaukos Corporation |
GKOS |
377322102 |
1,959 |
$324,214.50 |
0.63% |
| The Chefs' Warehouse, Inc. |
CHEF |
163086101 |
3,019 |
$325,418.01 |
0.63% |
| Magnolia Oil & Gas Corporation (Class A) |
MGY |
559663109 |
12,674 |
$318,244.14 |
0.62% |
| US Dollar |
$USD |
|
317,896 |
$317,895.93 |
0.62% |
| Five Below, Inc. |
FIVE |
33829M101 |
1,480 |
$315,758.00 |
0.61% |
| iRhythm Holdings, Inc. |
IRTC |
450056106 |
2,918 |
$314,297.78 |
0.61% |
| Leonardo DRS, Inc. |
DRS |
52661A108 |
8,901 |
$312,959.16 |
0.61% |
| Bandwidth Inc. (Class A) |
BAND |
05988J103 |
5,864 |
$309,208.72 |
0.60% |
| Boot Barn Holdings, Inc. |
BOOT |
099406100 |
2,606 |
$306,387.42 |
0.60% |
| Kymera Therapeutics, Inc. |
KYMR |
501575104 |
2,918 |
$311,292.24 |
0.60% |
| Piper Sandler Companies |
PIPR |
724078209 |
4,794 |
$306,192.78 |
0.60% |
| HealthEquity, Inc. |
HQY |
42226A107 |
3,335 |
$300,783.65 |
0.58% |
| Lattice Semiconductor Corporation |
LSCC |
518415104 |
2,460 |
$298,029.00 |
0.58% |
| Septerna, Inc. |
SEPN |
81734D104 |
8,235 |
$299,877.60 |
0.58% |
| The Descartes Systems Group Inc. |
DSGX |
249906108 |
3,544 |
$300,814.72 |
0.58% |
| Powell Industries, Inc. |
POWL |
739128106 |
1,605 |
$293,377.95 |
0.57% |
| Victoria's Secret & Co. |
VSXY |
926400102 |
3,300 |
$293,106.00 |
0.57% |
| AeroVironment, Inc. |
AVAV |
008073108 |
2,251 |
$286,169.63 |
0.56% |
| IMAX Corporation |
IMAX |
45245E109 |
5,450 |
$281,547.00 |
0.55% |
| Viper Energy, Inc. (Class A) |
VNOM |
64361Q101 |
6,420 |
$284,791.20 |
0.55% |
| Supernus Pharmaceuticals, Inc. |
SUPN |
868459108 |
6,587 |
$276,719.87 |
0.54% |
| Andersen Group Inc. (Class A) |
ANDG |
033853102 |
4,687 |
$272,127.22 |
0.53% |
| Genius Sports Limited |
GENI |
G3934V109 |
41,897 |
$273,587.41 |
0.53% |
| nLight, Inc. |
LASR |
65487K100 |
7,066 |
$272,606.28 |
0.53% |
| Semtech Corporation |
SMTC |
816850101 |
1,584 |
$273,683.52 |
0.53% |
| Agilysys, Inc. |
AGYS |
00847J105 |
2,439 |
$266,485.14 |
0.52% |
| e.l.f. Beauty, Inc. |
ELF |
26856L103 |
2,490 |
$269,318.40 |
0.52% |
| FIGS, Inc. (Class A) |
FIGS |
30260D103 |
14,904 |
$268,272.00 |
0.52% |
| Remitly Global, Inc. |
RELY |
75960P104 |
11,282 |
$268,060.32 |
0.52% |
| Tidewater Inc. |
TDW |
88642R109 |
3,057 |
$265,867.29 |
0.52% |
| Guidewire Software, Inc. |
GWRE |
40171V100 |
1,584 |
$262,595.52 |
0.51% |
| PTC Therapeutics, Inc. |
PTCT |
69366J200 |
4,419 |
$264,786.48 |
0.51% |
| Sezzle Inc. |
SEZL |
78435P105 |
1,985 |
$258,149.25 |
0.50% |
| Kratos Defense & Security Solutions, Inc. |
KTOS |
50077B207 |
6,212 |
$250,654.20 |
0.49% |
| Moog Inc. |
MOG/A |
615394202 |
678 |
$253,273.68 |
0.49% |
| Palomar Holdings, Inc. |
PLMR |
69753M105 |
1,876 |
$250,314.68 |
0.49% |
| Paymentus Holdings, Inc. (Class A) |
PAY |
70439P108 |
7,914 |
$252,219.18 |
0.49% |
| Xenon Pharmaceuticals Inc. |
XENE |
98420N105 |
7,333 |
$252,401.86 |
0.49% |
| Karman Holdings Inc. |
KRMN |
485924104 |
8,109 |
$244,486.35 |
0.48% |
| Balchem Corporation |
BCPC |
057665200 |
1,438 |
$244,057.36 |
0.47% |
| TechnipFMC Plc |
FTI |
G87110105 |
3,439 |
$243,206.08 |
0.47% |
| CECO Environmental Corp. |
CECO |
125141101 |
3,492 |
$235,046.52 |
0.46% |
| Flywire Corporation |
FLYW |
302492103 |
12,966 |
$236,759.16 |
0.46% |
| MAXIMUS, Inc. |
MMS |
577933104 |
4,086 |
$237,314.88 |
0.46% |
| Natera, Inc. |
NTRA |
632307104 |
596 |
$235,810.37 |
0.46% |
| Onto Innovation Inc. |
ONTO |
683344105 |
892 |
$235,086.60 |
0.46% |
| Rambus Inc. |
RMBS |
750917106 |
2,397 |
$235,313.49 |
0.46% |
| SentinelOne, Inc. (Class A) |
S |
81730H109 |
9,880 |
$237,218.80 |
0.46% |
| Amylyx Pharmaceuticals, Inc. |
AMLX |
03237H101 |
8,658 |
$232,467.30 |
0.45% |
| BWX Technologies, Inc. |
BWXT |
05605H100 |
1,668 |
$231,618.48 |
0.45% |
| Adaptive Biotechnologies Corporation |
ADPT |
00650F109 |
9,035 |
$228,404.80 |
0.44% |
| Dave Inc. (Class A) |
DAVE |
23834J201 |
617 |
$223,890.79 |
0.44% |
| MSC Industrial Direct Co., Inc. (Class A) |
MSM |
553530106 |
1,716 |
$226,803.72 |
0.44% |
| Scholar Rock Holding Corporation |
SRRK |
80706P103 |
5,606 |
$227,155.12 |
0.44% |
| The Cheesecake Factory Incorporated |
CAKE |
163072101 |
2,024 |
$227,436.88 |
0.44% |
| ExlService Holdings, Inc. |
EXLS |
302081104 |
5,949 |
$221,302.80 |
0.43% |
| Globus Medical, Inc. (Class A) |
GMED |
379577208 |
2,897 |
$221,099.04 |
0.43% |
| Solaris Energy Infrastructure, Inc. (Class A) |
SEI |
83418M103 |
2,827 |
$220,025.41 |
0.43% |
| Viavi Solutions Inc. |
VIAV |
925550105 |
5,420 |
$223,737.60 |
0.43% |
| Axogen, Inc. |
AXGN |
05463X106 |
6,003 |
$217,128.51 |
0.42% |
| Camtek Ltd. |
CAMT |
M20791105 |
1,501 |
$214,312.78 |
0.42% |
| Impinj, Inc. |
PI |
453204109 |
1,188 |
$217,879.20 |
0.42% |
| Sitime Corporation |
SITM |
82982T106 |
375 |
$217,372.50 |
0.42% |
| Archrock, Inc. |
AROC |
03957W106 |
6,879 |
$211,047.72 |
0.41% |
| AXT, Inc. |
AXTI |
00246W103 |
3,250 |
$210,047.50 |
0.41% |
| Commvault Systems, Inc. |
CVLT |
204166102 |
1,314 |
$208,728.90 |
0.41% |
| Herc Holdings, Inc. |
HRI |
42704L104 |
1,647 |
$211,968.90 |
0.41% |
| Cognex Corporation |
CGNX |
192422103 |
3,460 |
$207,634.60 |
0.40% |
| Elastic N.V. |
ESTC |
N14506104 |
2,182 |
$205,806.24 |
0.40% |
| Fabrinet |
FN |
G3323L100 |
479 |
$204,925.78 |
0.40% |
| IAMGOLD Corporation |
IAG |
450913108 |
10,869 |
$198,576.63 |
0.39% |
| Neptune Insurance Holdings Inc. (Class A) |
NP |
64073B103 |
6,829 |
$199,201.93 |
0.39% |
| Star Bulk Carriers Corp. |
SBLK |
Y8162K204 |
6,652 |
$198,163.08 |
0.39% |
| Steven Madden, Ltd. |
SHOO |
556269108 |
4,487 |
$200,793.25 |
0.39% |
| Braze, Inc. (Class A) |
BRZE |
10576N102 |
6,754 |
$195,393.22 |
0.38% |
| Global-E Online Ltd. |
GLBE |
M5216V106 |
5,044 |
$196,716.00 |
0.38% |
| Ryan Specialty Holdings, Inc. (Class A) |
RYAN |
78351F107 |
5,211 |
$197,236.35 |
0.38% |
| AGCO Corporation |
AGCO |
001084102 |
1,787 |
$192,138.24 |
0.37% |
| Amprius Technologies, Inc. |
AMPX |
03214Q108 |
22,387 |
$191,632.72 |
0.37% |
| Customers Bancorp, Inc. |
CUBI |
23204G100 |
2,572 |
$191,974.08 |
0.37% |
| Federal Signal Corporation |
FSS |
313855108 |
1,679 |
$191,808.96 |
0.37% |
| Garrett Motion Inc. |
GTX |
366505105 |
7,321 |
$188,735.38 |
0.37% |
| Sportradar Group AG (Class A) |
SRAD |
H8088L103 |
15,154 |
$187,909.60 |
0.37% |
| StoneX Group Inc. |
SNEX |
861896108 |
3,128 |
$188,430.72 |
0.37% |
| AAON, Inc. |
AAON |
000360206 |
2,126 |
$183,239.94 |
0.36% |
| The Vita Coco Company, Inc. |
COCO |
92846Q107 |
3,233 |
$186,253.13 |
0.36% |
| Generac Holdings Inc. |
GNRC |
368736104 |
834 |
$178,717.86 |
0.35% |
| Robert Half Inc. |
RHI |
770323103 |
5,124 |
$178,571.40 |
0.35% |
| Almonty Industries Inc. |
ALM |
020398707 |
15,893 |
$174,505.14 |
0.34% |
| Ambarella, Inc. |
AMBA |
G037AX101 |
2,751 |
$176,889.30 |
0.34% |
| Kornit Digital Ltd. |
KRNT |
M6372Q113 |
9,839 |
$175,527.76 |
0.34% |
| Oceaneering International, Inc. |
OII |
675232102 |
3,898 |
$174,630.40 |
0.34% |
| TAT Technologies Ltd. |
TATT |
M8740S227 |
5,503 |
$175,105.46 |
0.34% |
| Freshpet, Inc. |
FRPT |
358039105 |
2,567 |
$169,832.72 |
0.33% |
| InterDigital, Inc. |
IDCC |
45867G101 |
512 |
$170,434.56 |
0.33% |
| Lindsay Corporation |
LNN |
535555106 |
1,480 |
$170,880.80 |
0.33% |
| Aehr Test Systems, Inc. |
AEHR |
00760J108 |
2,112 |
$163,701.12 |
0.32% |
| American Superconductor Corporation |
AMSC |
030111207 |
5,711 |
$163,962.81 |
0.32% |
| Antero Resources Corporation |
AR |
03674X106 |
4,357 |
$163,561.78 |
0.32% |
| Celldex Therapeutics Inc. |
CLDX |
15117B202 |
5,876 |
$165,997.00 |
0.32% |
| Enova International, Inc. |
ENVA |
29357K103 |
947 |
$165,715.53 |
0.32% |
| Immunome, Inc. |
IMNM |
45257U108 |
9,246 |
$162,544.68 |
0.32% |
| Materion Corporation |
MTRN |
576690101 |
613 |
$166,637.92 |
0.32% |
| SiteOne Landscape Supply, Inc. |
SITE |
82982L103 |
1,813 |
$163,804.55 |
0.32% |
| Ultra Clean Holdings, Inc. |
UCTT |
90385V107 |
2,731 |
$166,645.62 |
0.32% |
| Webull Corporation (Class A) |
BULL |
G9572D103 |
26,440 |
$166,836.40 |
0.32% |
| Mirion Technologies, Inc. |
MIR |
60471A101 |
9,839 |
$161,556.38 |
0.31% |
| Titan Machinery Inc. |
TITN |
88830R101 |
6,712 |
$158,134.72 |
0.31% |
| Zurn Elkay Water Solutions Corp. |
ZWS |
98983L108 |
3,395 |
$160,210.05 |
0.31% |
| Bright Horizons Family Solutions Inc. |
BFAM |
109194100 |
2,251 |
$153,450.67 |
0.30% |
| James Hardie Industries plc |
JHX |
G4253H101 |
6,253 |
$154,261.51 |
0.30% |
| Marriott Vacations Worldwide Corporation |
VAC |
57164Y107 |
1,444 |
$156,731.76 |
0.30% |
| Navan, Inc. (Class A) |
NAVN |
639193101 |
6,427 |
$153,605.30 |
0.30% |
| Power Integrations, Inc. |
POWI |
739276103 |
3,314 |
$154,763.80 |
0.30% |
| Sterling Infrastructure, Inc. |
STRL |
859241101 |
308 |
$153,571.88 |
0.30% |
| Compass, Inc. (Class A) |
COMP |
20464U100 |
16,914 |
$149,012.34 |
0.29% |
| Gulfport Energy Corporation |
GPOR |
402635502 |
875 |
$147,113.75 |
0.29% |
| Innovex International, Inc. |
INVX |
457651107 |
5,234 |
$150,215.80 |
0.29% |
| Madrigal Pharmaceuticals, Inc. |
MDGL |
558868105 |
326 |
$147,391.12 |
0.29% |
| Bullish |
BLSH |
G16910120 |
4,544 |
$144,362.88 |
0.28% |
| OPENLANE Inc. |
OPLN |
48238T109 |
3,847 |
$144,108.62 |
0.28% |
| Veracyte, Inc. |
VCYT |
92337F107 |
3,337 |
$143,858.07 |
0.28% |
| Hut 8 Corp. |
HUT |
44812J104 |
1,673 |
$139,879.53 |
0.27% |
| Installed Building Products, Inc. |
IBP |
45780R101 |
730 |
$137,429.80 |
0.27% |
| Mercury Systems, Inc. |
MRCY |
589378108 |
1,783 |
$136,773.93 |
0.27% |
| Park Aerospace Corp. |
PKE |
70014A104 |
5,086 |
$138,440.92 |
0.27% |
| Scorpio Tankers Inc. |
STNG |
Y7542C130 |
1,591 |
$141,201.25 |
0.27% |
| Tarsus Pharmaceuticals, Inc. |
TARS |
87650L103 |
1,941 |
$137,461.62 |
0.27% |
| Alkermes Plc |
ALKS |
G01767105 |
3,359 |
$133,453.07 |
0.26% |
| Everpure, Inc. (Class A) |
P |
74624M102 |
855 |
$134,209.35 |
0.26% |
| Knight-Swift Transportation Holdings Inc. |
KNX |
499049104 |
2,134 |
$134,463.34 |
0.26% |
| Target Hospitality Corp. |
TH |
87615L107 |
7,142 |
$133,698.24 |
0.26% |
| Champion Homes Inc. |
SKY |
830830105 |
1,621 |
$127,102.61 |
0.25% |
| CSW Industrials, Inc. |
CSW |
126402106 |
430 |
$126,480.20 |
0.25% |
| Cogent Biosciences, Inc. |
COGT |
19240Q201 |
4,470 |
$125,562.30 |
0.24% |
| DPC Holdings Plc |
DPC |
G2R11M108 |
3,682 |
$122,831.52 |
0.24% |
| EnPro, Inc. |
NPO |
29355X107 |
409 |
$125,113.10 |
0.24% |
| ESCO Technologies Inc. |
ESE |
296315104 |
468 |
$121,881.24 |
0.24% |
| Harley-Davidson, Inc. |
HOG |
412822108 |
4,464 |
$122,626.08 |
0.24% |
| Heartflow, Inc. |
HTFL |
42238D107 |
2,390 |
$120,264.80 |
0.23% |
| Helmerich & Payne, Inc. |
HP |
423452101 |
3,083 |
$120,483.64 |
0.23% |
| Innodata, Inc. |
INOD |
457642205 |
2,067 |
$120,671.46 |
0.23% |
| Rush Enterprises, Inc. (Class A) |
RUSHA |
781846209 |
2,707 |
$120,407.36 |
0.23% |
| Rush Street Interactive, Inc. |
RSI |
782011100 |
6,120 |
$116,708.40 |
0.23% |
| The Timken Company |
TKR |
887389104 |
1,033 |
$118,040.91 |
0.23% |
| Arrowhead Pharmaceuticals, Inc. |
ARWR |
04280A100 |
1,959 |
$113,876.67 |
0.22% |
| Construction Partners, Inc. (Class A) |
ROAD |
21044C107 |
1,329 |
$114,732.57 |
0.22% |
| Modine Manufacturing Company |
MOD |
607828100 |
643 |
$110,962.51 |
0.22% |
| First Advantage Corporation |
FA |
31846B108 |
5,544 |
$106,722.00 |
0.21% |
| Cactus, Inc. (Class A) |
WHD |
127203107 |
1,588 |
$101,743.16 |
0.20% |
| Dianthus Therapeutics, Inc. |
DNTH |
252828108 |
1,231 |
$95,500.98 |
0.19% |
| Figure Technology Solutions, Inc. (Class A) |
FIGR |
349381103 |
3,597 |
$98,018.25 |
0.19% |
| AtriCure, Inc. |
ATRC |
04963C209 |
1,643 |
$93,437.41 |
0.18% |
| Red Violet, Inc. |
RDVT |
75704L104 |
1,167 |
$91,679.52 |
0.18% |
| Toast, Inc. (Class A) |
TOST |
888787108 |
2,918 |
$90,137.02 |
0.18% |
| Huron Consulting Group Inc. |
HURN |
447462102 |
494 |
$87,107.02 |
0.17% |
| Axsome Therapeutics, Inc. |
AXSM |
05464T104 |
543 |
$84,881.76 |
0.16% |
| Vishay Precision Group, Inc. |
VPG |
92835K103 |
1,209 |
$81,583.32 |
0.16% |
| Eos Energy Enterprises, Inc. |
EOSE |
29415C101 |
27,749 |
$64,377.68 |
0.13% |
| Uranium Energy Corp. |
UEC |
916896103 |
7,084 |
$58,372.16 |
0.11% |
| Cardinal Infrastructure Group Inc. (Class A) |
CDNL |
14154A102 |
2,667 |
$49,659.54 |
0.10% |
| Lithia Motors, Inc. |
LAD |
536797103 |
180 |
$51,620.40 |
0.10% |
| Gentherm Incorporated |
THRM |
37253A103 |
287 |
$8,911.35 |
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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