|
|
 |
|
Holdings of the Fund as of 10/8/2026
Total Number of Holdings (excluding cash): 204
| Xometry, Inc. (Class A) |
XMTR |
98423F109 |
9,244 |
$984,301.12 |
1.91% |
| Twist Bioscience Corporation |
TWST |
90184D100 |
5,623 |
$854,977.15 |
1.66% |
| JFrog Ltd. |
FROG |
M6191J100 |
8,599 |
$836,252.75 |
1.62% |
| Zeta Global Holdings Corp. (Class A) |
ZETA |
98956A105 |
24,370 |
$804,941.10 |
1.56% |
| FirstCash Holdings, Inc. |
FCFS |
33768G107 |
3,446 |
$728,794.54 |
1.41% |
| Guardant Health, Inc. |
GH |
40131M109 |
4,210 |
$697,007.60 |
1.35% |
| Repligen Corporation |
RGEN |
759916109 |
4,246 |
$695,664.69 |
1.35% |
| Varonis Systems, Inc. |
VRNS |
922280102 |
13,922 |
$680,507.36 |
1.32% |
| Travere Therapeutics, Inc. |
TVTX |
89422G107 |
12,863 |
$669,390.52 |
1.30% |
| Protagonist Therapeutics, Inc. |
PTGX |
74366E102 |
4,393 |
$614,624.63 |
1.19% |
| SailPoint, Inc. |
SAIL |
78781J109 |
30,200 |
$604,604.00 |
1.17% |
| Rubrik, Inc. (Class A) |
RBRK |
781154109 |
4,785 |
$578,458.65 |
1.12% |
| Ligand Pharmaceuticals Inc. (Class B) |
LGND |
53220K504 |
1,813 |
$534,835.00 |
1.04% |
| Silicon Motion Technology Corporation (ADR) |
SIMO |
82706C108 |
2,027 |
$530,851.03 |
1.03% |
| Halozyme Therapeutics, Inc. |
HALO |
40637H109 |
4,690 |
$515,149.60 |
1.00% |
| Spyre Therapeutics, Inc. |
SYRE |
00773J202 |
6,093 |
$486,830.70 |
0.94% |
| EZCORP, Inc. |
EZPW |
302301106 |
15,050 |
$469,108.50 |
0.91% |
| VSE Corporation |
VSEC |
918284100 |
2,677 |
$455,009.69 |
0.88% |
| Ollie's Bargain Outlet Holdings, Inc. |
OLLI |
681116109 |
5,190 |
$450,024.90 |
0.87% |
| Exelixis, Inc. |
EXEL |
30161Q104 |
7,337 |
$433,029.74 |
0.84% |
| Fastly, Inc. (Class A) |
FSLY |
31188V100 |
17,078 |
$431,902.62 |
0.84% |
| Manhattan Associates, Inc. |
MANH |
562750109 |
1,980 |
$409,424.40 |
0.79% |
| Praxis Precision Medicines, Inc. |
PRAX |
74006W207 |
1,548 |
$407,975.40 |
0.79% |
| Edgewise Therapeutics, Inc. |
EWTX |
28036F105 |
10,291 |
$403,715.93 |
0.78% |
| MACOM Technology Solutions Holdings, Inc. |
MTSI |
55405Y100 |
1,230 |
$396,318.30 |
0.77% |
| DigitalOcean Holdings, Inc. |
DOCN |
25402D102 |
3,088 |
$382,603.20 |
0.74% |
| MaxLinear, Inc. |
MXL |
57776J100 |
4,074 |
$381,733.80 |
0.74% |
| Virtu Financial, Inc. (Class A) |
VIRT |
928254101 |
6,649 |
$384,378.69 |
0.74% |
| Acadian Asset Management Inc. |
AAMI |
10948W103 |
3,988 |
$372,080.40 |
0.72% |
| RBC Bearings Incorporated |
RBC |
75524B104 |
750 |
$368,242.50 |
0.71% |
| Definium Therapeutics Inc. |
DFTX |
24477V105 |
10,629 |
$363,299.22 |
0.70% |
| ICON Plc |
ICLR |
G4705A100 |
2,147 |
$353,181.50 |
0.68% |
| WisdomTree, Inc. |
WT |
97717P104 |
15,553 |
$352,742.04 |
0.68% |
| Life Time Group Holdings, Inc. |
LTH |
53190C102 |
8,410 |
$338,754.80 |
0.66% |
| The Chefs' Warehouse, Inc. |
CHEF |
163086101 |
3,019 |
$336,316.60 |
0.65% |
| First Watch Restaurant Group, Inc. |
FWRG |
33748L101 |
30,016 |
$328,975.36 |
0.64% |
| Five9, Inc. |
FIVN |
338307101 |
9,394 |
$330,199.10 |
0.64% |
| Encore Capital Group, Inc. |
ECPG |
292554102 |
3,273 |
$327,496.38 |
0.63% |
| Medpace Holdings, Inc. |
MEDP |
58506Q109 |
542 |
$326,663.40 |
0.63% |
| Kymera Therapeutics, Inc. |
KYMR |
501575104 |
2,918 |
$318,937.40 |
0.62% |
| Leonardo DRS, Inc. |
DRS |
52661A108 |
8,901 |
$319,278.87 |
0.62% |
| US Dollar |
$USD |
|
317,889 |
$317,888.88 |
0.62% |
| Wingstop Inc. |
WING |
974155103 |
2,710 |
$321,135.00 |
0.62% |
| Boot Barn Holdings, Inc. |
BOOT |
099406100 |
2,606 |
$316,889.60 |
0.61% |
| Glaukos Corporation |
GKOS |
377322102 |
1,959 |
$315,967.11 |
0.61% |
| AeroVironment, Inc. |
AVAV |
008073108 |
2,251 |
$309,737.60 |
0.60% |
| Five Below, Inc. |
FIVE |
33829M101 |
1,480 |
$310,400.40 |
0.60% |
| HealthEquity, Inc. |
HQY |
42226A107 |
3,335 |
$310,321.75 |
0.60% |
| Lattice Semiconductor Corporation |
LSCC |
518415104 |
2,460 |
$307,450.80 |
0.60% |
| Magnolia Oil & Gas Corporation (Class A) |
MGY |
559663109 |
12,674 |
$310,259.52 |
0.60% |
| Piper Sandler Companies |
PIPR |
724078209 |
4,794 |
$308,637.72 |
0.60% |
| Bandwidth Inc. (Class A) |
BAND |
05988J103 |
5,864 |
$304,634.80 |
0.59% |
| Netskope, Inc. (Class A) |
NTSK |
64119N608 |
15,633 |
$306,563.13 |
0.59% |
| Powell Industries, Inc. |
POWL |
739128106 |
1,605 |
$303,778.35 |
0.59% |
| Septerna, Inc. |
SEPN |
81734D104 |
8,235 |
$303,871.50 |
0.59% |
| iRhythm Holdings, Inc. |
IRTC |
450056106 |
2,918 |
$299,386.80 |
0.58% |
| Semtech Corporation |
SMTC |
816850101 |
1,584 |
$296,984.16 |
0.58% |
| The Descartes Systems Group Inc. |
DSGX |
249906108 |
3,544 |
$288,304.40 |
0.56% |
| Victoria's Secret & Co. |
VSXY |
926400102 |
3,300 |
$285,813.00 |
0.55% |
| Genius Sports Limited |
GENI |
G3934V109 |
41,897 |
$277,777.11 |
0.54% |
| IMAX Corporation |
IMAX |
45245E109 |
5,450 |
$279,639.50 |
0.54% |
| PTC Therapeutics, Inc. |
PTCT |
69366J200 |
4,419 |
$276,452.64 |
0.54% |
| Supernus Pharmaceuticals, Inc. |
SUPN |
868459108 |
6,587 |
$277,576.18 |
0.54% |
| Viper Energy, Inc. (Class A) |
VNOM |
64361Q101 |
6,420 |
$273,684.60 |
0.53% |
| nLight, Inc. |
LASR |
65487K100 |
7,066 |
$270,698.46 |
0.52% |
| Andersen Group Inc. (Class A) |
ANDG |
033853102 |
4,687 |
$263,596.88 |
0.51% |
| e.l.f. Beauty, Inc. |
ELF |
26856L103 |
2,490 |
$263,840.40 |
0.51% |
| Guidewire Software, Inc. |
GWRE |
40171V100 |
1,584 |
$261,011.52 |
0.51% |
| Onto Innovation Inc. |
ONTO |
683344105 |
892 |
$261,061.64 |
0.51% |
| Remitly Global, Inc. |
RELY |
75960P104 |
11,282 |
$265,352.64 |
0.51% |
| Xenon Pharmaceuticals Inc. |
XENE |
98420N105 |
7,333 |
$265,161.28 |
0.51% |
| Karman Holdings Inc. |
KRMN |
485924104 |
8,109 |
$256,974.21 |
0.50% |
| Kratos Defense & Security Solutions, Inc. |
KTOS |
50077B207 |
6,212 |
$260,469.16 |
0.50% |
| Rambus Inc. |
RMBS |
750917106 |
2,397 |
$260,002.59 |
0.50% |
| Tidewater Inc. |
TDW |
88642R109 |
3,057 |
$258,927.90 |
0.50% |
| Paymentus Holdings, Inc. (Class A) |
PAY |
70439P108 |
7,914 |
$252,614.88 |
0.49% |
| SentinelOne, Inc. (Class A) |
S |
81730H109 |
9,880 |
$250,952.00 |
0.49% |
| Agilysys, Inc. |
AGYS |
00847J105 |
2,439 |
$250,217.01 |
0.48% |
| Moog Inc. |
MOG/A |
615394202 |
678 |
$246,059.76 |
0.48% |
| Palomar Holdings, Inc. |
PLMR |
69753M105 |
1,876 |
$246,581.44 |
0.48% |
| Balchem Corporation |
BCPC |
057665200 |
1,438 |
$242,489.94 |
0.47% |
| MAXIMUS, Inc. |
MMS |
577933104 |
4,086 |
$240,134.22 |
0.47% |
| Sitime Corporation |
SITM |
82982T106 |
375 |
$241,897.50 |
0.47% |
| Adaptive Biotechnologies Corporation |
ADPT |
00650F109 |
9,035 |
$235,723.15 |
0.46% |
| Amylyx Pharmaceuticals, Inc. |
AMLX |
03237H101 |
8,658 |
$235,497.60 |
0.46% |
| BWX Technologies, Inc. |
BWXT |
05605H100 |
1,668 |
$237,222.96 |
0.46% |
| Flywire Corporation |
FLYW |
302492103 |
12,966 |
$238,963.38 |
0.46% |
| Scholar Rock Holding Corporation |
SRRK |
80706P103 |
5,606 |
$236,573.20 |
0.46% |
| TechnipFMC Plc |
FTI |
G87110105 |
3,439 |
$239,457.57 |
0.46% |
| Viavi Solutions Inc. |
VIAV |
925550105 |
5,420 |
$238,967.80 |
0.46% |
| AXT, Inc. |
AXTI |
00246W103 |
3,250 |
$232,895.00 |
0.45% |
| Fabrinet |
FN |
G3323L100 |
479 |
$233,431.07 |
0.45% |
| Natera, Inc. |
NTRA |
632307104 |
596 |
$232,910.84 |
0.45% |
| Sezzle Inc. |
SEZL |
78435P105 |
1,985 |
$232,681.70 |
0.45% |
| Camtek Ltd. |
CAMT |
M20791105 |
1,501 |
$225,900.50 |
0.44% |
| CECO Environmental Corp. |
CECO |
125141101 |
3,492 |
$228,900.60 |
0.44% |
| FIGS, Inc. (Class A) |
FIGS |
30260D103 |
14,904 |
$223,261.92 |
0.43% |
| MSC Industrial Direct Co., Inc. (Class A) |
MSM |
553530106 |
1,716 |
$221,226.72 |
0.43% |
| Axogen, Inc. |
AXGN |
05463X106 |
6,003 |
$217,188.54 |
0.42% |
| Dave Inc. (Class A) |
DAVE |
23834J201 |
617 |
$218,047.80 |
0.42% |
| ExlService Holdings, Inc. |
EXLS |
302081104 |
5,949 |
$219,339.63 |
0.42% |
| Impinj, Inc. |
PI |
453204109 |
1,188 |
$217,938.60 |
0.42% |
| The Cheesecake Factory Incorporated |
CAKE |
163072101 |
2,024 |
$216,385.84 |
0.42% |
| Amprius Technologies, Inc. |
AMPX |
03214Q108 |
22,387 |
$210,213.93 |
0.41% |
| Cognex Corporation |
CGNX |
192422103 |
3,460 |
$210,748.60 |
0.41% |
| Globus Medical, Inc. (Class A) |
GMED |
379577208 |
2,897 |
$212,437.01 |
0.41% |
| Archrock, Inc. |
AROC |
03957W106 |
6,879 |
$208,708.86 |
0.40% |
| Elastic N.V. |
ESTC |
N14506104 |
2,182 |
$207,857.32 |
0.40% |
| Herc Holdings, Inc. |
HRI |
42704L104 |
1,647 |
$203,997.42 |
0.40% |
| Solaris Energy Infrastructure, Inc. (Class A) |
SEI |
83418M103 |
2,827 |
$206,597.16 |
0.40% |
| Global-E Online Ltd. |
GLBE |
M5216V106 |
5,044 |
$202,516.60 |
0.39% |
| IAMGOLD Corporation |
IAG |
450913108 |
10,869 |
$199,989.60 |
0.39% |
| Star Bulk Carriers Corp. |
SBLK |
Y8162K204 |
6,652 |
$202,686.44 |
0.39% |
| Commvault Systems, Inc. |
CVLT |
204166102 |
1,314 |
$198,414.00 |
0.38% |
| Neptune Insurance Holdings Inc. (Class A) |
NP |
64073B103 |
6,829 |
$194,216.76 |
0.38% |
| Ryan Specialty Holdings, Inc. (Class A) |
RYAN |
78351F107 |
5,211 |
$196,923.69 |
0.38% |
| Steven Madden, Ltd. |
SHOO |
556269108 |
4,487 |
$198,325.40 |
0.38% |
| AGCO Corporation |
AGCO |
001084102 |
1,787 |
$193,228.31 |
0.37% |
| Braze, Inc. (Class A) |
BRZE |
10576N102 |
6,754 |
$192,218.84 |
0.37% |
| Customers Bancorp, Inc. |
CUBI |
23204G100 |
2,572 |
$191,871.20 |
0.37% |
| Federal Signal Corporation |
FSS |
313855108 |
1,679 |
$189,072.19 |
0.37% |
| Garrett Motion Inc. |
GTX |
366505105 |
7,321 |
$188,515.75 |
0.37% |
| Sportradar Group AG (Class A) |
SRAD |
H8088L103 |
15,154 |
$188,515.76 |
0.37% |
| Aehr Test Systems, Inc. |
AEHR |
00760J108 |
2,112 |
$184,187.52 |
0.36% |
| Almonty Industries Inc. |
ALM |
020398707 |
15,893 |
$183,882.01 |
0.36% |
| Generac Holdings Inc. |
GNRC |
368736104 |
834 |
$187,149.60 |
0.36% |
| StoneX Group Inc. |
SNEX |
861896108 |
3,128 |
$187,992.80 |
0.36% |
| Ultra Clean Holdings, Inc. |
UCTT |
90385V107 |
2,731 |
$184,560.98 |
0.36% |
| AAON, Inc. |
AAON |
000360206 |
2,126 |
$182,729.70 |
0.35% |
| Immunome, Inc. |
IMNM |
45257U108 |
9,246 |
$178,540.26 |
0.35% |
| Kornit Digital Ltd. |
KRNT |
M6372Q113 |
9,839 |
$178,627.27 |
0.35% |
| TAT Technologies Ltd. |
TATT |
M8740S227 |
5,503 |
$181,433.91 |
0.35% |
| The Vita Coco Company, Inc. |
COCO |
92846Q107 |
3,233 |
$180,983.34 |
0.35% |
| Ambarella, Inc. |
AMBA |
G037AX101 |
2,751 |
$173,010.39 |
0.34% |
| American Superconductor Corporation |
AMSC |
030111207 |
5,711 |
$176,755.45 |
0.34% |
| Oceaneering International, Inc. |
OII |
675232102 |
3,898 |
$173,772.84 |
0.34% |
| Robert Half Inc. |
RHI |
770323103 |
5,124 |
$174,728.40 |
0.34% |
| Celldex Therapeutics Inc. |
CLDX |
15117B202 |
5,876 |
$172,166.80 |
0.33% |
| Enova International, Inc. |
ENVA |
29357K103 |
947 |
$172,912.73 |
0.33% |
| InterDigital, Inc. |
IDCC |
45867G101 |
512 |
$168,089.60 |
0.33% |
| Lindsay Corporation |
LNN |
535555106 |
1,480 |
$169,608.00 |
0.33% |
| Materion Corporation |
MTRN |
576690101 |
613 |
$169,868.43 |
0.33% |
| Freshpet, Inc. |
FRPT |
358039105 |
2,567 |
$167,317.06 |
0.32% |
| Power Integrations, Inc. |
POWI |
739276103 |
3,314 |
$165,335.46 |
0.32% |
| Compass, Inc. (Class A) |
COMP |
20464U100 |
16,914 |
$161,021.28 |
0.31% |
| Mirion Technologies, Inc. |
MIR |
60471A101 |
9,839 |
$159,588.58 |
0.31% |
| SiteOne Landscape Supply, Inc. |
SITE |
82982L103 |
1,813 |
$159,072.62 |
0.31% |
| Sterling Infrastructure, Inc. |
STRL |
859241101 |
308 |
$159,670.28 |
0.31% |
| Titan Machinery Inc. |
TITN |
88830R101 |
6,712 |
$158,805.92 |
0.31% |
| Antero Resources Corporation |
AR |
03674X106 |
4,357 |
$157,113.42 |
0.30% |
| Bright Horizons Family Solutions Inc. |
BFAM |
109194100 |
2,251 |
$155,071.39 |
0.30% |
| James Hardie Industries plc |
JHX |
G4253H101 |
6,253 |
$157,262.95 |
0.30% |
| Madrigal Pharmaceuticals, Inc. |
MDGL |
558868105 |
326 |
$155,472.66 |
0.30% |
| Webull Corporation (Class A) |
BULL |
G9572D103 |
26,440 |
$157,318.00 |
0.30% |
| Zurn Elkay Water Solutions Corp. |
ZWS |
98983L108 |
3,395 |
$156,984.80 |
0.30% |
| Marriott Vacations Worldwide Corporation |
VAC |
57164Y107 |
1,444 |
$150,479.24 |
0.29% |
| Navan, Inc. (Class A) |
NAVN |
639193101 |
6,427 |
$148,335.16 |
0.29% |
| Park Aerospace Corp. |
PKE |
70014A104 |
5,086 |
$150,850.76 |
0.29% |
| Bullish |
BLSH |
G16910120 |
4,544 |
$142,727.04 |
0.28% |
| DPC Holdings Plc |
DPC |
G2R11M108 |
3,682 |
$143,008.88 |
0.28% |
| Gulfport Energy Corporation |
GPOR |
402635502 |
875 |
$144,060.00 |
0.28% |
| Innovex International, Inc. |
INVX |
457651107 |
5,234 |
$144,353.72 |
0.28% |
| Veracyte, Inc. |
VCYT |
92337F107 |
3,337 |
$145,493.20 |
0.28% |
| Installed Building Products, Inc. |
IBP |
45780R101 |
730 |
$137,115.90 |
0.27% |
| Knight-Swift Transportation Holdings Inc. |
KNX |
499049104 |
2,134 |
$138,816.70 |
0.27% |
| Mercury Systems, Inc. |
MRCY |
589378108 |
1,783 |
$140,001.16 |
0.27% |
| OPENLANE Inc. |
OPLN |
48238T109 |
3,847 |
$137,260.96 |
0.27% |
| Scorpio Tankers Inc. |
STNG |
Y7542C130 |
1,591 |
$140,246.65 |
0.27% |
| Tarsus Pharmaceuticals, Inc. |
TARS |
87650L103 |
1,941 |
$140,179.02 |
0.27% |
| Alkermes Plc |
ALKS |
G01767105 |
3,359 |
$134,729.49 |
0.26% |
| Champion Homes Inc. |
SKY |
830830105 |
1,621 |
$132,062.87 |
0.26% |
| Cogent Biosciences, Inc. |
COGT |
19240Q201 |
4,470 |
$134,457.60 |
0.26% |
| Hut 8 Corp. |
HUT |
44812J104 |
1,673 |
$133,154.07 |
0.26% |
| Everpure, Inc. (Class A) |
P |
74624M102 |
855 |
$128,737.35 |
0.25% |
| Innodata, Inc. |
INOD |
457642205 |
2,067 |
$126,500.40 |
0.25% |
| Target Hospitality Corp. |
TH |
87615L107 |
7,142 |
$130,912.86 |
0.25% |
| CSW Industrials, Inc. |
CSW |
126402106 |
430 |
$123,246.60 |
0.24% |
| EnPro, Inc. |
NPO |
29355X107 |
409 |
$125,841.12 |
0.24% |
| Helmerich & Payne, Inc. |
HP |
423452101 |
3,083 |
$123,905.77 |
0.24% |
| Rush Enterprises, Inc. (Class A) |
RUSHA |
781846209 |
2,707 |
$122,248.12 |
0.24% |
| Rush Street Interactive, Inc. |
RSI |
782011100 |
6,120 |
$124,358.40 |
0.24% |
| Arrowhead Pharmaceuticals, Inc. |
ARWR |
04280A100 |
1,959 |
$118,989.66 |
0.23% |
| Construction Partners, Inc. (Class A) |
ROAD |
21044C107 |
1,329 |
$117,390.57 |
0.23% |
| ESCO Technologies Inc. |
ESE |
296315104 |
468 |
$118,900.08 |
0.23% |
| Harley-Davidson, Inc. |
HOG |
412822108 |
4,464 |
$119,412.00 |
0.23% |
| Modine Manufacturing Company |
MOD |
607828100 |
643 |
$116,955.27 |
0.23% |
| The Timken Company |
TKR |
887389104 |
1,033 |
$118,113.22 |
0.23% |
| Heartflow, Inc. |
HTFL |
42238D107 |
2,390 |
$113,835.70 |
0.22% |
| Dianthus Therapeutics, Inc. |
DNTH |
252828108 |
1,231 |
$101,471.33 |
0.20% |
| First Advantage Corporation |
FA |
31846B108 |
5,544 |
$103,839.12 |
0.20% |
| Cactus, Inc. (Class A) |
WHD |
127203107 |
1,588 |
$100,393.36 |
0.19% |
| Figure Technology Solutions, Inc. (Class A) |
FIGR |
349381103 |
3,597 |
$99,277.20 |
0.19% |
| Axsome Therapeutics, Inc. |
AXSM |
05464T104 |
543 |
$92,353.44 |
0.18% |
| Red Violet, Inc. |
RDVT |
75704L104 |
1,167 |
$93,196.62 |
0.18% |
| AtriCure, Inc. |
ATRC |
04963C209 |
1,643 |
$86,816.12 |
0.17% |
| Toast, Inc. (Class A) |
TOST |
888787108 |
2,918 |
$89,086.54 |
0.17% |
| Vishay Precision Group, Inc. |
VPG |
92835K103 |
1,209 |
$87,350.25 |
0.17% |
| Huron Consulting Group Inc. |
HURN |
447462102 |
494 |
$81,663.14 |
0.16% |
| Eos Energy Enterprises, Inc. |
EOSE |
29415C101 |
27,749 |
$76,726.05 |
0.15% |
| Cardinal Infrastructure Group Inc. (Class A) |
CDNL |
14154A102 |
2,667 |
$66,835.02 |
0.13% |
| Uranium Energy Corp. |
UEC |
916896103 |
7,084 |
$64,747.76 |
0.13% |
| Lithia Motors, Inc. |
LAD |
536797103 |
180 |
$51,996.60 |
0.10% |
| Gentherm Incorporated |
THRM |
37253A103 |
287 |
$8,589.91 |
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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