|
|
 |
|
Holdings of the Fund as of 10/7/2026
Total Number of Holdings (excluding cash): 204
| Xometry, Inc. (Class A) |
XMTR |
98423F109 |
9,244 |
$996,503.20 |
1.92% |
| Twist Bioscience Corporation |
TWST |
90184D100 |
5,623 |
$875,219.95 |
1.68% |
| JFrog Ltd. |
FROG |
M6191J100 |
8,599 |
$843,991.85 |
1.62% |
| Zeta Global Holdings Corp. (Class A) |
ZETA |
98956A105 |
24,370 |
$822,243.80 |
1.58% |
| FirstCash Holdings, Inc. |
FCFS |
33768G107 |
3,446 |
$722,143.76 |
1.39% |
| Repligen Corporation |
RGEN |
759916109 |
4,246 |
$710,016.12 |
1.37% |
| Guardant Health, Inc. |
GH |
40131M109 |
4,210 |
$708,669.30 |
1.36% |
| Travere Therapeutics, Inc. |
TVTX |
89422G107 |
12,863 |
$687,398.72 |
1.32% |
| Varonis Systems, Inc. |
VRNS |
922280102 |
13,922 |
$681,621.12 |
1.31% |
| Protagonist Therapeutics, Inc. |
PTGX |
74366E102 |
4,393 |
$619,061.56 |
1.19% |
| Rubrik, Inc. (Class A) |
RBRK |
781154109 |
4,785 |
$592,048.05 |
1.14% |
| SailPoint, Inc. |
SAIL |
78781J109 |
30,200 |
$591,316.00 |
1.14% |
| Silicon Motion Technology Corporation (ADR) |
SIMO |
82706C108 |
2,027 |
$579,276.06 |
1.11% |
| Ligand Pharmaceuticals Inc. (Class B) |
LGND |
53220K504 |
1,813 |
$531,680.38 |
1.02% |
| Halozyme Therapeutics, Inc. |
HALO |
40637H109 |
4,690 |
$519,605.10 |
1.00% |
| Spyre Therapeutics, Inc. |
SYRE |
00773J202 |
6,093 |
$492,619.05 |
0.95% |
| EZCORP, Inc. |
EZPW |
302301106 |
15,050 |
$458,122.00 |
0.88% |
| Ollie's Bargain Outlet Holdings, Inc. |
OLLI |
681116109 |
5,190 |
$447,014.70 |
0.86% |
| VSE Corporation |
VSEC |
918284100 |
2,677 |
$447,969.18 |
0.86% |
| MaxLinear, Inc. |
MXL |
57776J100 |
4,074 |
$437,384.64 |
0.84% |
| Fastly, Inc. (Class A) |
FSLY |
31188V100 |
17,078 |
$431,731.84 |
0.83% |
| Praxis Precision Medicines, Inc. |
PRAX |
74006W207 |
1,548 |
$430,374.96 |
0.83% |
| Exelixis, Inc. |
EXEL |
30161Q104 |
7,337 |
$428,774.28 |
0.82% |
| MACOM Technology Solutions Holdings, Inc. |
MTSI |
55405Y100 |
1,230 |
$413,169.30 |
0.79% |
| Edgewise Therapeutics, Inc. |
EWTX |
28036F105 |
10,291 |
$407,214.87 |
0.78% |
| Manhattan Associates, Inc. |
MANH |
562750109 |
1,980 |
$400,177.80 |
0.77% |
| DigitalOcean Holdings, Inc. |
DOCN |
25402D102 |
3,088 |
$393,040.64 |
0.76% |
| Virtu Financial, Inc. (Class A) |
VIRT |
928254101 |
6,649 |
$391,027.69 |
0.75% |
| Definium Therapeutics Inc. |
DFTX |
24477V105 |
10,629 |
$372,971.61 |
0.72% |
| RBC Bearings Incorporated |
RBC |
75524B104 |
750 |
$375,547.50 |
0.72% |
| Acadian Asset Management Inc. |
AAMI |
10948W103 |
3,988 |
$369,089.40 |
0.71% |
| WisdomTree, Inc. |
WT |
97717P104 |
15,553 |
$363,473.61 |
0.70% |
| US Dollar |
$USD |
|
358,817 |
$358,816.82 |
0.69% |
| ICON Plc |
ICLR |
G4705A100 |
2,147 |
$352,279.76 |
0.68% |
| Bandwidth Inc. (Class A) |
BAND |
05988J103 |
5,864 |
$337,004.08 |
0.65% |
| Glaukos Corporation |
GKOS |
377322102 |
1,959 |
$337,300.62 |
0.65% |
| Life Time Group Holdings, Inc. |
LTH |
53190C102 |
8,410 |
$340,605.00 |
0.65% |
| The Chefs' Warehouse, Inc. |
CHEF |
163086101 |
3,019 |
$335,139.19 |
0.64% |
| Medpace Holdings, Inc. |
MEDP |
58506Q109 |
542 |
$327,503.50 |
0.63% |
| Encore Capital Group, Inc. |
ECPG |
292554102 |
3,273 |
$324,894.41 |
0.62% |
| Lattice Semiconductor Corporation |
LSCC |
518415104 |
2,460 |
$322,235.40 |
0.62% |
| Boot Barn Holdings, Inc. |
BOOT |
099406100 |
2,606 |
$318,818.04 |
0.61% |
| First Watch Restaurant Group, Inc. |
FWRG |
33748L101 |
30,016 |
$315,168.00 |
0.61% |
| Five9, Inc. |
FIVN |
338307101 |
9,394 |
$317,329.32 |
0.61% |
| Kymera Therapeutics, Inc. |
KYMR |
501575104 |
2,918 |
$316,165.30 |
0.61% |
| Leonardo DRS, Inc. |
DRS |
52661A108 |
8,901 |
$318,477.78 |
0.61% |
| Powell Industries, Inc. |
POWL |
739128106 |
1,605 |
$317,372.70 |
0.61% |
| Wingstop Inc. |
WING |
974155103 |
2,710 |
$316,202.80 |
0.61% |
| AeroVironment, Inc. |
AVAV |
008073108 |
2,251 |
$312,573.86 |
0.60% |
| HealthEquity, Inc. |
HQY |
42226A107 |
3,335 |
$306,486.50 |
0.59% |
| iRhythm Holdings, Inc. |
IRTC |
450056106 |
2,918 |
$306,360.82 |
0.59% |
| Magnolia Oil & Gas Corporation (Class A) |
MGY |
559663109 |
12,674 |
$308,358.42 |
0.59% |
| Piper Sandler Companies |
PIPR |
724078209 |
4,794 |
$305,809.26 |
0.59% |
| Semtech Corporation |
SMTC |
816850101 |
1,584 |
$306,947.52 |
0.59% |
| Five Below, Inc. |
FIVE |
33829M101 |
1,480 |
$302,267.85 |
0.58% |
| Netskope, Inc. (Class A) |
NTSK |
64119N608 |
15,633 |
$300,778.92 |
0.58% |
| Septerna, Inc. |
SEPN |
81734D104 |
8,235 |
$296,460.00 |
0.57% |
| Supernus Pharmaceuticals, Inc. |
SUPN |
868459108 |
6,587 |
$283,570.35 |
0.55% |
| The Descartes Systems Group Inc. |
DSGX |
249906108 |
3,544 |
$283,768.08 |
0.55% |
| IMAX Corporation |
IMAX |
45245E109 |
5,450 |
$280,402.50 |
0.54% |
| nLight, Inc. |
LASR |
65487K100 |
7,066 |
$281,792.08 |
0.54% |
| PTC Therapeutics, Inc. |
PTCT |
69366J200 |
4,419 |
$279,413.37 |
0.54% |
| Victoria's Secret & Co. |
VSXY |
926400102 |
3,300 |
$283,107.00 |
0.54% |
| Onto Innovation Inc. |
ONTO |
683344105 |
892 |
$271,524.80 |
0.52% |
| Genius Sports Limited |
GENI |
G3934V109 |
41,897 |
$265,626.98 |
0.51% |
| Rambus Inc. |
RMBS |
750917106 |
2,397 |
$267,217.56 |
0.51% |
| Viper Energy, Inc. (Class A) |
VNOM |
64361Q101 |
6,420 |
$263,669.40 |
0.51% |
| Xenon Pharmaceuticals Inc. |
XENE |
98420N105 |
7,333 |
$266,994.53 |
0.51% |
| Andersen Group Inc. (Class A) |
ANDG |
033853102 |
4,687 |
$259,378.58 |
0.50% |
| AXT, Inc. |
AXTI |
00246W103 |
3,250 |
$259,317.50 |
0.50% |
| e.l.f. Beauty, Inc. |
ELF |
26856L103 |
2,490 |
$261,524.70 |
0.50% |
| Guidewire Software, Inc. |
GWRE |
40171V100 |
1,584 |
$259,744.32 |
0.50% |
| Kratos Defense & Security Solutions, Inc. |
KTOS |
50077B207 |
6,212 |
$260,531.28 |
0.50% |
| Remitly Global, Inc. |
RELY |
75960P104 |
11,282 |
$258,696.26 |
0.50% |
| Karman Holdings Inc. |
KRMN |
485924104 |
8,109 |
$254,541.51 |
0.49% |
| Tidewater Inc. |
TDW |
88642R109 |
3,057 |
$254,953.80 |
0.49% |
| Agilysys, Inc. |
AGYS |
00847J105 |
2,439 |
$248,582.88 |
0.48% |
| CECO Environmental Corp. |
CECO |
125141101 |
3,492 |
$248,490.72 |
0.48% |
| Paymentus Holdings, Inc. (Class A) |
PAY |
70439P108 |
7,914 |
$247,866.48 |
0.48% |
| SentinelOne, Inc. (Class A) |
S |
81730H109 |
9,880 |
$250,062.80 |
0.48% |
| Sitime Corporation |
SITM |
82982T106 |
375 |
$249,435.00 |
0.48% |
| Viavi Solutions Inc. |
VIAV |
925550105 |
5,420 |
$250,783.40 |
0.48% |
| Moog Inc. |
MOG/A |
615394202 |
678 |
$244,344.42 |
0.47% |
| Adaptive Biotechnologies Corporation |
ADPT |
00650F109 |
9,035 |
$237,439.80 |
0.46% |
| Amylyx Pharmaceuticals, Inc. |
AMLX |
03237H101 |
8,658 |
$237,488.94 |
0.46% |
| Balchem Corporation |
BCPC |
057665200 |
1,438 |
$239,297.58 |
0.46% |
| Fabrinet |
FN |
G3323L100 |
479 |
$238,537.21 |
0.46% |
| Palomar Holdings, Inc. |
PLMR |
69753M105 |
1,876 |
$237,914.32 |
0.46% |
| BWX Technologies, Inc. |
BWXT |
05605H100 |
1,668 |
$236,088.72 |
0.45% |
| Flywire Corporation |
FLYW |
302492103 |
12,966 |
$235,332.90 |
0.45% |
| Natera, Inc. |
NTRA |
632307104 |
596 |
$235,753.76 |
0.45% |
| Scholar Rock Holding Corporation |
SRRK |
80706P103 |
5,606 |
$236,573.20 |
0.45% |
| TechnipFMC Plc |
FTI |
G87110105 |
3,439 |
$235,227.60 |
0.45% |
| Camtek Ltd. |
CAMT |
M20791105 |
1,501 |
$228,452.20 |
0.44% |
| Impinj, Inc. |
PI |
453204109 |
1,188 |
$226,955.52 |
0.44% |
| MAXIMUS, Inc. |
MMS |
577933104 |
4,086 |
$227,385.90 |
0.44% |
| MSC Industrial Direct Co., Inc. (Class A) |
MSM |
553530106 |
1,716 |
$223,732.08 |
0.43% |
| Sezzle Inc. |
SEZL |
78435P105 |
1,985 |
$225,992.25 |
0.43% |
| Axogen, Inc. |
AXGN |
05463X106 |
6,003 |
$216,348.12 |
0.42% |
| Solaris Energy Infrastructure, Inc. (Class A) |
SEI |
83418M103 |
2,827 |
$216,152.42 |
0.42% |
| The Cheesecake Factory Incorporated |
CAKE |
163072101 |
2,024 |
$216,547.76 |
0.42% |
| Cognex Corporation |
CGNX |
192422103 |
3,460 |
$211,786.60 |
0.41% |
| Dave Inc. (Class A) |
DAVE |
23834J201 |
617 |
$212,753.94 |
0.41% |
| ExlService Holdings, Inc. |
EXLS |
302081104 |
5,949 |
$211,248.99 |
0.41% |
| Globus Medical, Inc. (Class A) |
GMED |
379577208 |
2,897 |
$213,653.75 |
0.41% |
| Amprius Technologies, Inc. |
AMPX |
03214Q108 |
22,387 |
$208,870.71 |
0.40% |
| Archrock, Inc. |
AROC |
03957W106 |
6,879 |
$206,989.11 |
0.40% |
| FIGS, Inc. (Class A) |
FIGS |
30260D103 |
14,904 |
$209,550.24 |
0.40% |
| Elastic N.V. |
ESTC |
N14506104 |
2,182 |
$203,144.20 |
0.39% |
| Herc Holdings, Inc. |
HRI |
42704L104 |
1,647 |
$204,919.74 |
0.39% |
| AGCO Corporation |
AGCO |
001084102 |
1,787 |
$195,051.05 |
0.38% |
| Commvault Systems, Inc. |
CVLT |
204166102 |
1,314 |
$197,467.92 |
0.38% |
| Global-E Online Ltd. |
GLBE |
M5216V106 |
5,044 |
$196,514.24 |
0.38% |
| IAMGOLD Corporation |
IAG |
450913108 |
10,869 |
$195,968.07 |
0.38% |
| Ryan Specialty Holdings, Inc. (Class A) |
RYAN |
78351F107 |
5,211 |
$195,933.60 |
0.38% |
| Star Bulk Carriers Corp. |
SBLK |
Y8162K204 |
6,652 |
$197,497.88 |
0.38% |
| Steven Madden, Ltd. |
SHOO |
556269108 |
4,487 |
$200,120.20 |
0.38% |
| Ultra Clean Holdings, Inc. |
UCTT |
90385V107 |
2,731 |
$195,048.02 |
0.38% |
| Almonty Industries Inc. |
ALM |
020398707 |
15,893 |
$192,305.30 |
0.37% |
| Braze, Inc. (Class A) |
BRZE |
10576N102 |
6,754 |
$192,218.84 |
0.37% |
| Customers Bancorp, Inc. |
CUBI |
23204G100 |
2,572 |
$190,713.80 |
0.37% |
| Federal Signal Corporation |
FSS |
313855108 |
1,679 |
$192,094.39 |
0.37% |
| Neptune Insurance Holdings Inc. (Class A) |
NP |
64073B103 |
6,829 |
$190,255.94 |
0.37% |
| StoneX Group Inc. |
SNEX |
861896108 |
3,128 |
$192,246.88 |
0.37% |
| AAON, Inc. |
AAON |
000360206 |
2,126 |
$185,238.38 |
0.36% |
| Aehr Test Systems, Inc. |
AEHR |
00760J108 |
2,112 |
$188,749.44 |
0.36% |
| Garrett Motion Inc. |
GTX |
366505105 |
7,321 |
$189,394.27 |
0.36% |
| Ambarella, Inc. |
AMBA |
G037AX101 |
2,751 |
$179,722.83 |
0.35% |
| American Superconductor Corporation |
AMSC |
030111207 |
5,711 |
$181,267.14 |
0.35% |
| Generac Holdings Inc. |
GNRC |
368736104 |
834 |
$184,597.56 |
0.35% |
| Sportradar Group AG (Class A) |
SRAD |
H8088L103 |
15,154 |
$182,757.24 |
0.35% |
| Celldex Therapeutics Inc. |
CLDX |
15117B202 |
5,876 |
$178,806.68 |
0.34% |
| Enova International, Inc. |
ENVA |
29357K103 |
947 |
$174,361.64 |
0.34% |
| Immunome, Inc. |
IMNM |
45257U108 |
9,246 |
$176,552.38 |
0.34% |
| Kornit Digital Ltd. |
KRNT |
M6372Q113 |
9,839 |
$176,413.27 |
0.34% |
| Materion Corporation |
MTRN |
576690101 |
613 |
$178,211.36 |
0.34% |
| TAT Technologies Ltd. |
TATT |
M8740S227 |
5,503 |
$178,847.50 |
0.34% |
| InterDigital, Inc. |
IDCC |
45867G101 |
512 |
$169,369.60 |
0.33% |
| Oceaneering International, Inc. |
OII |
675232102 |
3,898 |
$170,342.60 |
0.33% |
| Power Integrations, Inc. |
POWI |
739276103 |
3,314 |
$170,339.60 |
0.33% |
| Robert Half Inc. |
RHI |
770323103 |
5,124 |
$173,959.80 |
0.33% |
| Lindsay Corporation |
LNN |
535555106 |
1,480 |
$167,728.40 |
0.32% |
| Sterling Infrastructure, Inc. |
STRL |
859241101 |
308 |
$164,512.04 |
0.32% |
| Freshpet, Inc. |
FRPT |
358039105 |
2,567 |
$162,362.75 |
0.31% |
| Madrigal Pharmaceuticals, Inc. |
MDGL |
558868105 |
326 |
$158,996.72 |
0.31% |
| Mirion Technologies, Inc. |
MIR |
60471A101 |
9,839 |
$161,851.55 |
0.31% |
| The Vita Coco Company, Inc. |
COCO |
92846Q107 |
3,233 |
$163,751.45 |
0.31% |
| Titan Machinery Inc. |
TITN |
88830R101 |
6,712 |
$161,356.48 |
0.31% |
| Antero Resources Corporation |
AR |
03674X106 |
4,357 |
$154,978.49 |
0.30% |
| Compass, Inc. (Class A) |
COMP |
20464U100 |
16,914 |
$155,439.66 |
0.30% |
| James Hardie Industries plc |
JHX |
G4253H101 |
6,253 |
$153,886.33 |
0.30% |
| SiteOne Landscape Supply, Inc. |
SITE |
82982L103 |
1,813 |
$156,570.68 |
0.30% |
| Webull Corporation (Class A) |
BULL |
G9572D103 |
26,440 |
$155,731.60 |
0.30% |
| Zurn Elkay Water Solutions Corp. |
ZWS |
98983L108 |
3,395 |
$157,799.60 |
0.30% |
| Bright Horizons Family Solutions Inc. |
BFAM |
109194100 |
2,251 |
$150,456.84 |
0.29% |
| DPC Holdings Plc |
DPC |
G2R11M108 |
3,682 |
$150,262.42 |
0.29% |
| Hut 8 Corp. |
HUT |
44812J104 |
1,673 |
$149,398.90 |
0.29% |
| Marriott Vacations Worldwide Corporation |
VAC |
57164Y107 |
1,444 |
$148,847.52 |
0.29% |
| Park Aerospace Corp. |
PKE |
70014A104 |
5,086 |
$148,816.36 |
0.29% |
| Bullish |
BLSH |
G16910120 |
4,544 |
$144,590.08 |
0.28% |
| Navan, Inc. (Class A) |
NAVN |
639193101 |
6,427 |
$143,193.56 |
0.28% |
| Veracyte, Inc. |
VCYT |
92337F107 |
3,337 |
$144,024.92 |
0.28% |
| Alkermes Plc |
ALKS |
G01767105 |
3,359 |
$139,213.80 |
0.27% |
| Gulfport Energy Corporation |
GPOR |
402635502 |
875 |
$141,785.00 |
0.27% |
| Innovex International, Inc. |
INVX |
457651107 |
5,234 |
$140,899.28 |
0.27% |
| Mercury Systems, Inc. |
MRCY |
589378108 |
1,783 |
$142,194.25 |
0.27% |
| Tarsus Pharmaceuticals, Inc. |
TARS |
87650L103 |
1,941 |
$142,877.01 |
0.27% |
| Cogent Biosciences, Inc. |
COGT |
19240Q201 |
4,470 |
$134,725.80 |
0.26% |
| Installed Building Products, Inc. |
IBP |
45780R101 |
730 |
$134,612.00 |
0.26% |
| Knight-Swift Transportation Holdings Inc. |
KNX |
499049104 |
2,134 |
$135,765.08 |
0.26% |
| OPENLANE Inc. |
OPLN |
48238T109 |
3,847 |
$133,837.13 |
0.26% |
| Scorpio Tankers Inc. |
STNG |
Y7542C130 |
1,591 |
$134,455.41 |
0.26% |
| Champion Homes Inc. |
SKY |
830830105 |
1,621 |
$131,349.63 |
0.25% |
| EnPro, Inc. |
NPO |
29355X107 |
409 |
$129,931.12 |
0.25% |
| Everpure, Inc. (Class A) |
P |
74624M102 |
855 |
$130,524.30 |
0.25% |
| Innodata, Inc. |
INOD |
457642205 |
2,067 |
$131,078.81 |
0.25% |
| Target Hospitality Corp. |
TH |
87615L107 |
7,142 |
$130,412.92 |
0.25% |
| CSW Industrials, Inc. |
CSW |
126402106 |
430 |
$123,281.00 |
0.24% |
| Rush Street Interactive, Inc. |
RSI |
782011100 |
6,120 |
$123,868.80 |
0.24% |
| Arrowhead Pharmaceuticals, Inc. |
ARWR |
04280A100 |
1,959 |
$120,439.32 |
0.23% |
| Construction Partners, Inc. (Class A) |
ROAD |
21044C107 |
1,329 |
$117,895.59 |
0.23% |
| ESCO Technologies Inc. |
ESE |
296315104 |
468 |
$120,229.20 |
0.23% |
| Harley-Davidson, Inc. |
HOG |
412822108 |
4,464 |
$120,304.80 |
0.23% |
| Heartflow, Inc. |
HTFL |
42238D107 |
2,390 |
$117,970.40 |
0.23% |
| Helmerich & Payne, Inc. |
HP |
423452101 |
3,083 |
$122,210.12 |
0.23% |
| Modine Manufacturing Company |
MOD |
607828100 |
643 |
$121,809.92 |
0.23% |
| Rush Enterprises, Inc. (Class A) |
RUSHA |
781846209 |
2,707 |
$122,166.91 |
0.23% |
| The Timken Company |
TKR |
887389104 |
1,033 |
$118,702.03 |
0.23% |
| Dianthus Therapeutics, Inc. |
DNTH |
252828108 |
1,231 |
$104,487.28 |
0.20% |
| First Advantage Corporation |
FA |
31846B108 |
5,544 |
$101,843.28 |
0.20% |
| Cactus, Inc. (Class A) |
WHD |
127203107 |
1,588 |
$100,202.80 |
0.19% |
| Figure Technology Solutions, Inc. (Class A) |
FIGR |
349381103 |
3,597 |
$99,564.96 |
0.19% |
| Axsome Therapeutics, Inc. |
AXSM |
05464T104 |
543 |
$93,922.71 |
0.18% |
| Vishay Precision Group, Inc. |
VPG |
92835K103 |
1,209 |
$91,086.06 |
0.18% |
| AtriCure, Inc. |
ATRC |
04963C209 |
1,643 |
$87,588.33 |
0.17% |
| Eos Energy Enterprises, Inc. |
EOSE |
29415C101 |
27,749 |
$86,021.90 |
0.17% |
| Red Violet, Inc. |
RDVT |
75704L104 |
1,167 |
$90,850.95 |
0.17% |
| Toast, Inc. (Class A) |
TOST |
888787108 |
2,918 |
$89,144.90 |
0.17% |
| Huron Consulting Group Inc. |
HURN |
447462102 |
494 |
$77,365.34 |
0.15% |
| Cardinal Infrastructure Group Inc. (Class A) |
CDNL |
14154A102 |
2,667 |
$69,528.69 |
0.13% |
| Uranium Energy Corp. |
UEC |
916896103 |
7,084 |
$67,085.48 |
0.13% |
| Lithia Motors, Inc. |
LAD |
536797103 |
180 |
$51,726.60 |
0.10% |
| Gentherm Incorporated |
THRM |
37253A103 |
287 |
$8,719.06 |
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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