|
|
 |
|
Holdings of the Fund as of 10/20/2026
Total Number of Holdings (excluding cash): 204
| Xometry, Inc. (Class A) |
XMTR |
98423F109 |
9,244 |
$865,608.16 |
1.70% |
| Zeta Global Holdings Corp. (Class A) |
ZETA |
98956A105 |
24,370 |
$817,613.50 |
1.61% |
| Twist Bioscience Corporation |
TWST |
90184D100 |
5,623 |
$802,402.10 |
1.58% |
| JFrog Ltd. |
FROG |
M6191J100 |
8,599 |
$794,289.63 |
1.56% |
| Repligen Corporation |
RGEN |
759916109 |
4,246 |
$759,524.48 |
1.50% |
| FirstCash Holdings, Inc. |
FCFS |
33768G107 |
3,446 |
$740,131.88 |
1.46% |
| Guardant Health, Inc. |
GH |
40131M109 |
4,210 |
$684,503.90 |
1.35% |
| Varonis Systems, Inc. |
VRNS |
922280102 |
13,922 |
$677,722.96 |
1.33% |
| Travere Therapeutics, Inc. |
TVTX |
89422G107 |
12,863 |
$672,734.90 |
1.32% |
| Protagonist Therapeutics, Inc. |
PTGX |
74366E102 |
4,393 |
$606,190.07 |
1.19% |
| Halozyme Therapeutics, Inc. |
HALO |
40637H109 |
4,690 |
$583,295.30 |
1.15% |
| SailPoint, Inc. |
SAIL |
78781J109 |
30,200 |
$580,746.00 |
1.14% |
| Spyre Therapeutics, Inc. |
SYRE |
00773J202 |
6,093 |
$556,900.20 |
1.10% |
| Ligand Pharmaceuticals Inc. (Class B) |
LGND |
53220K504 |
1,813 |
$555,503.20 |
1.09% |
| Rubrik, Inc. (Class A) |
RBRK |
781154109 |
4,785 |
$548,313.15 |
1.08% |
| EZCORP, Inc. |
EZPW |
302301106 |
15,050 |
$497,402.50 |
0.98% |
| Ollie's Bargain Outlet Holdings, Inc. |
OLLI |
681116109 |
5,190 |
$480,957.30 |
0.95% |
| Exelixis, Inc. |
EXEL |
30161Q104 |
7,337 |
$472,429.43 |
0.93% |
| Manhattan Associates, Inc. |
MANH |
562750109 |
1,980 |
$461,062.80 |
0.91% |
| Silicon Motion Technology Corporation (ADR) |
SIMO |
82706C108 |
2,027 |
$433,169.90 |
0.85% |
| VSE Corporation |
VSEC |
918284100 |
2,677 |
$419,004.04 |
0.83% |
| Edgewise Therapeutics, Inc. |
EWTX |
28036F105 |
10,291 |
$409,067.25 |
0.81% |
| Praxis Precision Medicines, Inc. |
PRAX |
74006W207 |
1,548 |
$409,430.52 |
0.81% |
| Virtu Financial, Inc. (Class A) |
VIRT |
928254101 |
6,649 |
$379,325.45 |
0.75% |
| Acadian Asset Management Inc. |
AAMI |
10948W103 |
3,988 |
$376,307.68 |
0.74% |
| Fastly, Inc. (Class A) |
FSLY |
31188V100 |
17,078 |
$376,911.46 |
0.74% |
| ICON Plc |
ICLR |
G4705A100 |
2,147 |
$373,985.93 |
0.74% |
| Definium Therapeutics Inc. |
DFTX |
24477V105 |
10,629 |
$372,971.61 |
0.73% |
| RBC Bearings Incorporated |
RBC |
75524B104 |
750 |
$371,542.50 |
0.73% |
| First Watch Restaurant Group, Inc. |
FWRG |
33748L101 |
30,016 |
$359,291.52 |
0.71% |
| US Dollar |
$USD |
|
359,476 |
$359,475.57 |
0.71% |
| Wingstop Inc. |
WING |
974155103 |
2,710 |
$353,140.10 |
0.70% |
| Life Time Group Holdings, Inc. |
LTH |
53190C102 |
8,410 |
$346,239.70 |
0.68% |
| Glaukos Corporation |
GKOS |
377322102 |
1,959 |
$339,749.37 |
0.67% |
| Encore Capital Group, Inc. |
ECPG |
292554102 |
3,273 |
$337,642.68 |
0.66% |
| Medpace Holdings, Inc. |
MEDP |
58506Q109 |
542 |
$337,357.06 |
0.66% |
| The Chefs' Warehouse, Inc. |
CHEF |
163086101 |
3,019 |
$334,746.72 |
0.66% |
| WisdomTree, Inc. |
WT |
97717P104 |
15,553 |
$336,100.33 |
0.66% |
| Five Below, Inc. |
FIVE |
33829M101 |
1,480 |
$331,224.00 |
0.65% |
| iRhythm Holdings, Inc. |
IRTC |
450056106 |
2,918 |
$332,214.30 |
0.65% |
| Kymera Therapeutics, Inc. |
KYMR |
501575104 |
2,918 |
$331,076.28 |
0.65% |
| MACOM Technology Solutions Holdings, Inc. |
MTSI |
55405Y100 |
1,230 |
$323,403.90 |
0.64% |
| Magnolia Oil & Gas Corporation (Class A) |
MGY |
559663109 |
12,674 |
$322,680.04 |
0.64% |
| Septerna, Inc. |
SEPN |
81734D104 |
8,235 |
$324,047.25 |
0.64% |
| Five9, Inc. |
FIVN |
338307101 |
9,394 |
$322,308.14 |
0.63% |
| HealthEquity, Inc. |
HQY |
42226A107 |
3,335 |
$322,161.00 |
0.63% |
| The Descartes Systems Group Inc. |
DSGX |
249906108 |
3,544 |
$319,775.12 |
0.63% |
| Braze, Inc. (Class A) |
BRZE |
10576N102 |
6,754 |
$307,779.78 |
0.61% |
| Netskope, Inc. (Class A) |
NTSK |
64119N608 |
15,633 |
$309,846.06 |
0.61% |
| Piper Sandler Companies |
PIPR |
724078209 |
4,794 |
$307,535.10 |
0.61% |
| DigitalOcean Holdings, Inc. |
DOCN |
25402D102 |
3,088 |
$307,194.24 |
0.60% |
| Boot Barn Holdings, Inc. |
BOOT |
099406100 |
2,606 |
$300,602.10 |
0.59% |
| Leonardo DRS, Inc. |
DRS |
52661A108 |
8,901 |
$302,099.94 |
0.59% |
| MaxLinear, Inc. |
MXL |
57776J100 |
4,074 |
$299,479.74 |
0.59% |
| FIGS, Inc. (Class A) |
FIGS |
30260D103 |
14,904 |
$295,993.44 |
0.58% |
| Viper Energy, Inc. (Class A) |
VNOM |
64361Q101 |
6,420 |
$294,357.00 |
0.58% |
| Guidewire Software, Inc. |
GWRE |
40171V100 |
1,584 |
$290,790.72 |
0.57% |
| Victoria's Secret & Co. |
VSXY |
926400102 |
3,300 |
$290,433.00 |
0.57% |
| Agilysys, Inc. |
AGYS |
00847J105 |
2,439 |
$283,899.60 |
0.56% |
| Andersen Group Inc. (Class A) |
ANDG |
033853102 |
4,687 |
$284,266.55 |
0.56% |
| e.l.f. Beauty, Inc. |
ELF |
26856L103 |
2,490 |
$285,702.60 |
0.56% |
| IMAX Corporation |
IMAX |
45245E109 |
5,450 |
$285,798.00 |
0.56% |
| Karman Holdings Inc. |
KRMN |
485924104 |
8,109 |
$284,058.27 |
0.56% |
| Genius Sports Limited |
GENI |
G3934V109 |
41,897 |
$279,871.96 |
0.55% |
| PTC Therapeutics, Inc. |
PTCT |
69366J200 |
4,419 |
$278,043.48 |
0.55% |
| Remitly Global, Inc. |
RELY |
75960P104 |
11,282 |
$276,521.82 |
0.54% |
| Supernus Pharmaceuticals, Inc. |
SUPN |
868459108 |
6,587 |
$271,582.01 |
0.53% |
| AeroVironment, Inc. |
AVAV |
008073108 |
2,251 |
$264,785.13 |
0.52% |
| Bandwidth Inc. (Class A) |
BAND |
05988J103 |
5,864 |
$262,179.44 |
0.52% |
| Lattice Semiconductor Corporation |
LSCC |
518415104 |
2,460 |
$264,228.60 |
0.52% |
| Palomar Holdings, Inc. |
PLMR |
69753M105 |
1,876 |
$263,634.28 |
0.52% |
| Powell Industries, Inc. |
POWL |
739128106 |
1,605 |
$264,728.70 |
0.52% |
| Xenon Pharmaceuticals Inc. |
XENE |
98420N105 |
7,333 |
$265,967.91 |
0.52% |
| Paymentus Holdings, Inc. (Class A) |
PAY |
70439P108 |
7,914 |
$260,845.44 |
0.51% |
| Sezzle Inc. |
SEZL |
78435P105 |
1,985 |
$258,427.15 |
0.51% |
| nLight, Inc. |
LASR |
65487K100 |
7,066 |
$255,930.52 |
0.50% |
| Amylyx Pharmaceuticals, Inc. |
AMLX |
03237H101 |
8,658 |
$249,090.66 |
0.49% |
| Balchem Corporation |
BCPC |
057665200 |
1,438 |
$246,789.56 |
0.49% |
| MAXIMUS, Inc. |
MMS |
577933104 |
4,086 |
$249,613.74 |
0.49% |
| Moog Inc. |
MOG/A |
615394202 |
678 |
$247,083.54 |
0.49% |
| Tidewater Inc. |
TDW |
88642R109 |
3,057 |
$246,394.20 |
0.49% |
| ExlService Holdings, Inc. |
EXLS |
302081104 |
5,949 |
$243,076.14 |
0.48% |
| Flywire Corporation |
FLYW |
302492103 |
12,966 |
$241,686.24 |
0.48% |
| Kratos Defense & Security Solutions, Inc. |
KTOS |
50077B207 |
6,212 |
$242,019.52 |
0.48% |
| Natera, Inc. |
NTRA |
632307104 |
596 |
$241,928.32 |
0.48% |
| TechnipFMC Plc |
FTI |
G87110105 |
3,439 |
$237,050.27 |
0.47% |
| Scholar Rock Holding Corporation |
SRRK |
80706P103 |
5,606 |
$231,864.16 |
0.46% |
| The Cheesecake Factory Incorporated |
CAKE |
163072101 |
2,024 |
$235,654.32 |
0.46% |
| Globus Medical, Inc. (Class A) |
GMED |
379577208 |
2,897 |
$228,747.12 |
0.45% |
| BWX Technologies, Inc. |
BWXT |
05605H100 |
1,668 |
$223,912.32 |
0.44% |
| Dave Inc. (Class A) |
DAVE |
23834J201 |
617 |
$224,384.39 |
0.44% |
| MSC Industrial Direct Co., Inc. (Class A) |
MSM |
553530106 |
1,716 |
$222,273.48 |
0.44% |
| Rambus Inc. |
RMBS |
750917106 |
2,397 |
$221,530.74 |
0.44% |
| Ryan Specialty Holdings, Inc. (Class A) |
RYAN |
78351F107 |
5,211 |
$223,499.79 |
0.44% |
| Adaptive Biotechnologies Corporation |
ADPT |
00650F109 |
9,035 |
$220,634.70 |
0.43% |
| Axogen, Inc. |
AXGN |
05463X106 |
6,003 |
$217,128.51 |
0.43% |
| SentinelOne, Inc. (Class A) |
S |
81730H109 |
9,880 |
$217,360.00 |
0.43% |
| Global-E Online Ltd. |
GLBE |
M5216V106 |
5,044 |
$210,738.32 |
0.42% |
| Impinj, Inc. |
PI |
453204109 |
1,188 |
$211,273.92 |
0.42% |
| Semtech Corporation |
SMTC |
816850101 |
1,584 |
$215,740.80 |
0.42% |
| Elastic N.V. |
ESTC |
N14506104 |
2,182 |
$208,664.66 |
0.41% |
| Herc Holdings, Inc. |
HRI |
42704L104 |
1,647 |
$206,500.86 |
0.41% |
| Archrock, Inc. |
AROC |
03957W106 |
6,879 |
$200,935.59 |
0.40% |
| CECO Environmental Corp. |
CECO |
125141101 |
3,492 |
$204,945.48 |
0.40% |
| Commvault Systems, Inc. |
CVLT |
204166102 |
1,314 |
$204,786.90 |
0.40% |
| Neptune Insurance Holdings Inc. (Class A) |
NP |
64073B103 |
6,829 |
$201,387.21 |
0.40% |
| Steven Madden, Ltd. |
SHOO |
556269108 |
4,487 |
$202,184.22 |
0.40% |
| Cognex Corporation |
CGNX |
192422103 |
3,460 |
$196,424.20 |
0.39% |
| Customers Bancorp, Inc. |
CUBI |
23204G100 |
2,572 |
$195,523.44 |
0.39% |
| Onto Innovation Inc. |
ONTO |
683344105 |
892 |
$195,901.04 |
0.39% |
| The Vita Coco Company, Inc. |
COCO |
92846Q107 |
3,233 |
$199,702.41 |
0.39% |
| Camtek Ltd. |
CAMT |
M20791105 |
1,501 |
$191,977.90 |
0.38% |
| Federal Signal Corporation |
FSS |
313855108 |
1,679 |
$192,514.14 |
0.38% |
| IAMGOLD Corporation |
IAG |
450913108 |
10,869 |
$193,033.44 |
0.38% |
| AGCO Corporation |
AGCO |
001084102 |
1,787 |
$187,009.55 |
0.37% |
| AXT, Inc. |
AXTI |
00246W103 |
3,250 |
$185,542.50 |
0.37% |
| Sitime Corporation |
SITM |
82982T106 |
375 |
$186,416.25 |
0.37% |
| Star Bulk Carriers Corp. |
SBLK |
Y8162K204 |
6,652 |
$186,854.68 |
0.37% |
| Viavi Solutions Inc. |
VIAV |
925550105 |
5,420 |
$188,236.60 |
0.37% |
| Sportradar Group AG (Class A) |
SRAD |
H8088L103 |
15,154 |
$181,696.46 |
0.36% |
| TAT Technologies Ltd. |
TATT |
M8740S227 |
5,503 |
$180,388.34 |
0.36% |
| Celldex Therapeutics Inc. |
CLDX |
15117B202 |
5,876 |
$177,984.04 |
0.35% |
| Solaris Energy Infrastructure, Inc. (Class A) |
SEI |
83418M103 |
2,827 |
$179,062.18 |
0.35% |
| StoneX Group Inc. |
SNEX |
861896108 |
3,128 |
$178,640.08 |
0.35% |
| Ambarella, Inc. |
AMBA |
G037AX101 |
2,751 |
$173,918.22 |
0.34% |
| Fabrinet |
FN |
G3323L100 |
479 |
$170,274.92 |
0.34% |
| Garrett Motion Inc. |
GTX |
366505105 |
7,321 |
$173,288.07 |
0.34% |
| Kornit Digital Ltd. |
KRNT |
M6372Q113 |
9,839 |
$172,674.45 |
0.34% |
| Oceaneering International, Inc. |
OII |
675232102 |
3,898 |
$171,784.86 |
0.34% |
| Robert Half Inc. |
RHI |
770323103 |
5,124 |
$173,447.40 |
0.34% |
| SiteOne Landscape Supply, Inc. |
SITE |
82982L103 |
1,813 |
$175,099.54 |
0.34% |
| Amprius Technologies, Inc. |
AMPX |
03214Q108 |
22,387 |
$169,693.46 |
0.33% |
| Antero Resources Corporation |
AR |
03674X106 |
4,357 |
$169,182.31 |
0.33% |
| Enova International, Inc. |
ENVA |
29357K103 |
947 |
$169,939.15 |
0.33% |
| Freshpet, Inc. |
FRPT |
358039105 |
2,567 |
$169,550.35 |
0.33% |
| Immunome, Inc. |
IMNM |
45257U108 |
9,246 |
$165,688.32 |
0.33% |
| InterDigital, Inc. |
IDCC |
45867G101 |
512 |
$167,311.36 |
0.33% |
| James Hardie Industries plc |
JHX |
G4253H101 |
6,253 |
$165,391.85 |
0.33% |
| Navan, Inc. (Class A) |
NAVN |
639193101 |
6,427 |
$168,901.56 |
0.33% |
| Compass, Inc. (Class A) |
COMP |
20464U100 |
16,914 |
$161,021.28 |
0.32% |
| Generac Holdings Inc. |
GNRC |
368736104 |
834 |
$162,296.40 |
0.32% |
| Marriott Vacations Worldwide Corporation |
VAC |
57164Y107 |
1,444 |
$163,590.76 |
0.32% |
| Zurn Elkay Water Solutions Corp. |
ZWS |
98983L108 |
3,395 |
$161,975.45 |
0.32% |
| AAON, Inc. |
AAON |
000360206 |
2,126 |
$157,153.92 |
0.31% |
| Bright Horizons Family Solutions Inc. |
BFAM |
109194100 |
2,251 |
$155,341.51 |
0.31% |
| Lindsay Corporation |
LNN |
535555106 |
1,480 |
$158,078.80 |
0.31% |
| Power Integrations, Inc. |
POWI |
739276103 |
3,314 |
$155,658.58 |
0.31% |
| Webull Corporation (Class A) |
BULL |
G9572D103 |
26,440 |
$159,433.20 |
0.31% |
| Madrigal Pharmaceuticals, Inc. |
MDGL |
558868105 |
326 |
$152,418.04 |
0.30% |
| Mirion Technologies, Inc. |
MIR |
60471A101 |
9,839 |
$149,946.36 |
0.30% |
| Alkermes Plc |
ALKS |
G01767105 |
3,359 |
$148,165.49 |
0.29% |
| American Superconductor Corporation |
AMSC |
030111207 |
5,711 |
$146,772.70 |
0.29% |
| Innovex International, Inc. |
INVX |
457651107 |
5,234 |
$148,959.64 |
0.29% |
| Materion Corporation |
MTRN |
576690101 |
613 |
$146,948.36 |
0.29% |
| OPENLANE Inc. |
OPLN |
48238T109 |
3,847 |
$145,070.37 |
0.29% |
| Titan Machinery Inc. |
TITN |
88830R101 |
6,712 |
$148,670.80 |
0.29% |
| Veracyte, Inc. |
VCYT |
92337F107 |
3,337 |
$149,464.23 |
0.29% |
| Almonty Industries Inc. |
ALM |
020398707 |
15,893 |
$141,447.70 |
0.28% |
| Gulfport Energy Corporation |
GPOR |
402635502 |
875 |
$141,478.75 |
0.28% |
| Ultra Clean Holdings, Inc. |
UCTT |
90385V107 |
2,731 |
$140,837.67 |
0.28% |
| Cogent Biosciences, Inc. |
COGT |
19240Q201 |
4,470 |
$139,642.80 |
0.27% |
| Installed Building Products, Inc. |
IBP |
45780R101 |
730 |
$138,240.10 |
0.27% |
| Knight-Swift Transportation Holdings Inc. |
KNX |
499049104 |
2,134 |
$134,975.50 |
0.27% |
| Tarsus Pharmaceuticals, Inc. |
TARS |
87650L103 |
1,941 |
$137,869.23 |
0.27% |
| Aehr Test Systems, Inc. |
AEHR |
00760J108 |
2,112 |
$130,922.88 |
0.26% |
| Bullish |
BLSH |
G16910120 |
4,544 |
$130,458.24 |
0.26% |
| Heartflow, Inc. |
HTFL |
42238D107 |
2,390 |
$132,860.10 |
0.26% |
| Mercury Systems, Inc. |
MRCY |
589378108 |
1,783 |
$132,886.99 |
0.26% |
| Park Aerospace Corp. |
PKE |
70014A104 |
5,086 |
$130,557.62 |
0.26% |
| CSW Industrials, Inc. |
CSW |
126402106 |
430 |
$124,601.10 |
0.25% |
| Scorpio Tankers Inc. |
STNG |
Y7542C130 |
1,591 |
$128,536.89 |
0.25% |
| Sterling Infrastructure, Inc. |
STRL |
859241101 |
308 |
$126,973.00 |
0.25% |
| Champion Homes Inc. |
SKY |
830830105 |
1,621 |
$123,779.56 |
0.24% |
| Harley-Davidson, Inc. |
HOG |
412822108 |
4,464 |
$121,376.16 |
0.24% |
| Rush Enterprises, Inc. (Class A) |
RUSHA |
781846209 |
2,707 |
$124,143.02 |
0.24% |
| Arrowhead Pharmaceuticals, Inc. |
ARWR |
04280A100 |
1,959 |
$115,424.28 |
0.23% |
| EnPro, Inc. |
NPO |
29355X107 |
409 |
$118,421.86 |
0.23% |
| ESCO Technologies Inc. |
ESE |
296315104 |
468 |
$115,895.52 |
0.23% |
| Helmerich & Payne, Inc. |
HP |
423452101 |
3,083 |
$117,708.94 |
0.23% |
| Hut 8 Corp. |
HUT |
44812J104 |
1,673 |
$115,503.92 |
0.23% |
| The Timken Company |
TKR |
887389104 |
1,033 |
$117,038.90 |
0.23% |
| Construction Partners, Inc. (Class A) |
ROAD |
21044C107 |
1,329 |
$112,141.02 |
0.22% |
| Innodata, Inc. |
INOD |
457642205 |
2,067 |
$113,778.02 |
0.22% |
| Rush Street Interactive, Inc. |
RSI |
782011100 |
6,120 |
$109,180.80 |
0.22% |
| Target Hospitality Corp. |
TH |
87615L107 |
7,142 |
$110,486.74 |
0.22% |
| DPC Holdings Plc |
DPC |
G2R11M108 |
3,682 |
$107,219.84 |
0.21% |
| Everpure, Inc. (Class A) |
P |
74624M102 |
855 |
$108,174.60 |
0.21% |
| First Advantage Corporation |
FA |
31846B108 |
5,544 |
$108,440.64 |
0.21% |
| Cactus, Inc. (Class A) |
WHD |
127203107 |
1,588 |
$99,170.60 |
0.20% |
| AtriCure, Inc. |
ATRC |
04963C209 |
1,643 |
$94,751.81 |
0.19% |
| Dianthus Therapeutics, Inc. |
DNTH |
252828108 |
1,231 |
$96,941.25 |
0.19% |
| Modine Manufacturing Company |
MOD |
607828100 |
643 |
$94,334.53 |
0.19% |
| Toast, Inc. (Class A) |
TOST |
888787108 |
2,918 |
$95,272.70 |
0.19% |
| Figure Technology Solutions, Inc. (Class A) |
FIGR |
349381103 |
3,597 |
$92,514.84 |
0.18% |
| Huron Consulting Group Inc. |
HURN |
447462102 |
494 |
$89,320.14 |
0.18% |
| Red Violet, Inc. |
RDVT |
75704L104 |
1,167 |
$88,989.60 |
0.18% |
| Axsome Therapeutics, Inc. |
AXSM |
05464T104 |
543 |
$86,651.94 |
0.17% |
| Vishay Precision Group, Inc. |
VPG |
92835K103 |
1,209 |
$74,365.59 |
0.15% |
| Lithia Motors, Inc. |
LAD |
536797103 |
180 |
$53,915.40 |
0.11% |
| Uranium Energy Corp. |
UEC |
916896103 |
7,084 |
$55,467.72 |
0.11% |
| Eos Energy Enterprises, Inc. |
EOSE |
29415C101 |
27,749 |
$46,618.32 |
0.09% |
| Cardinal Infrastructure Group Inc. (Class A) |
CDNL |
14154A102 |
2,667 |
$40,538.40 |
0.08% |
| Gentherm Incorporated |
THRM |
37253A103 |
287 |
$8,400.49 |
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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