|
|
 |
|
Holdings of the Fund as of 10/12/2026
Total Number of Holdings (excluding cash): 204
| Xometry, Inc. (Class A) |
XMTR |
98423F109 |
9,244 |
$997,982.24 |
1.93% |
| JFrog Ltd. |
FROG |
M6191J100 |
8,599 |
$851,472.98 |
1.65% |
| Twist Bioscience Corporation |
TWST |
90184D100 |
5,623 |
$853,908.78 |
1.65% |
| Zeta Global Holdings Corp. (Class A) |
ZETA |
98956A105 |
24,370 |
$816,638.70 |
1.58% |
| FirstCash Holdings, Inc. |
FCFS |
33768G107 |
3,446 |
$745,025.20 |
1.44% |
| Repligen Corporation |
RGEN |
759916109 |
4,246 |
$732,477.44 |
1.42% |
| Guardant Health, Inc. |
GH |
40131M109 |
4,210 |
$685,345.90 |
1.32% |
| Travere Therapeutics, Inc. |
TVTX |
89422G107 |
12,863 |
$669,133.26 |
1.29% |
| Varonis Systems, Inc. |
VRNS |
922280102 |
13,922 |
$645,563.14 |
1.25% |
| Protagonist Therapeutics, Inc. |
PTGX |
74366E102 |
4,393 |
$636,457.84 |
1.23% |
| SailPoint, Inc. |
SAIL |
78781J109 |
30,200 |
$591,014.00 |
1.14% |
| Rubrik, Inc. (Class A) |
RBRK |
781154109 |
4,785 |
$574,247.85 |
1.11% |
| Ligand Pharmaceuticals Inc. (Class B) |
LGND |
53220K504 |
1,813 |
$564,078.69 |
1.09% |
| Halozyme Therapeutics, Inc. |
HALO |
40637H109 |
4,690 |
$520,965.20 |
1.01% |
| Spyre Therapeutics, Inc. |
SYRE |
00773J202 |
6,093 |
$523,388.70 |
1.01% |
| Silicon Motion Technology Corporation (ADR) |
SIMO |
82706C108 |
2,027 |
$500,567.65 |
0.97% |
| EZCORP, Inc. |
EZPW |
302301106 |
15,050 |
$491,232.00 |
0.95% |
| Fastly, Inc. (Class A) |
FSLY |
31188V100 |
17,078 |
$451,371.54 |
0.87% |
| Ollie's Bargain Outlet Holdings, Inc. |
OLLI |
681116109 |
5,190 |
$448,623.60 |
0.87% |
| VSE Corporation |
VSEC |
918284100 |
2,677 |
$448,236.88 |
0.87% |
| Exelixis, Inc. |
EXEL |
30161Q104 |
7,337 |
$438,899.34 |
0.85% |
| Manhattan Associates, Inc. |
MANH |
562750109 |
1,980 |
$431,422.20 |
0.83% |
| DigitalOcean Holdings, Inc. |
DOCN |
25402D102 |
3,088 |
$405,794.08 |
0.78% |
| Edgewise Therapeutics, Inc. |
EWTX |
28036F105 |
10,291 |
$395,688.95 |
0.76% |
| Praxis Precision Medicines, Inc. |
PRAX |
74006W207 |
1,548 |
$389,136.24 |
0.75% |
| RBC Bearings Incorporated |
RBC |
75524B104 |
750 |
$382,500.00 |
0.74% |
| MACOM Technology Solutions Holdings, Inc. |
MTSI |
55405Y100 |
1,230 |
$376,822.80 |
0.73% |
| Virtu Financial, Inc. (Class A) |
VIRT |
928254101 |
6,649 |
$377,463.73 |
0.73% |
| Definium Therapeutics Inc. |
DFTX |
24477V105 |
10,629 |
$374,140.80 |
0.72% |
| Acadian Asset Management Inc. |
AAMI |
10948W103 |
3,988 |
$369,408.44 |
0.71% |
| MaxLinear, Inc. |
MXL |
57776J100 |
4,074 |
$362,545.26 |
0.70% |
| ICON Plc |
ICLR |
G4705A100 |
2,147 |
$352,966.80 |
0.68% |
| WisdomTree, Inc. |
WT |
97717P104 |
15,553 |
$345,898.72 |
0.67% |
| Life Time Group Holdings, Inc. |
LTH |
53190C102 |
8,410 |
$339,511.70 |
0.66% |
| Wingstop Inc. |
WING |
974155103 |
2,710 |
$341,514.20 |
0.66% |
| First Watch Restaurant Group, Inc. |
FWRG |
33748L101 |
30,016 |
$337,980.16 |
0.65% |
| Five9, Inc. |
FIVN |
338307101 |
9,394 |
$335,083.98 |
0.65% |
| Medpace Holdings, Inc. |
MEDP |
58506Q109 |
542 |
$336,067.10 |
0.65% |
| Encore Capital Group, Inc. |
ECPG |
292554102 |
3,273 |
$330,082.05 |
0.64% |
| Glaukos Corporation |
GKOS |
377322102 |
1,959 |
$329,151.18 |
0.64% |
| The Chefs' Warehouse, Inc. |
CHEF |
163086101 |
3,019 |
$331,425.82 |
0.64% |
| Kymera Therapeutics, Inc. |
KYMR |
501575104 |
2,918 |
$327,049.44 |
0.63% |
| Netskope, Inc. (Class A) |
NTSK |
64119N608 |
15,633 |
$322,665.12 |
0.62% |
| Five Below, Inc. |
FIVE |
33829M101 |
1,480 |
$316,098.40 |
0.61% |
| Leonardo DRS, Inc. |
DRS |
52661A108 |
8,901 |
$317,053.62 |
0.61% |
| US Dollar |
$USD |
|
317,889 |
$317,888.88 |
0.61% |
| Bandwidth Inc. (Class A) |
BAND |
05988J103 |
5,864 |
$309,443.28 |
0.60% |
| Boot Barn Holdings, Inc. |
BOOT |
099406100 |
2,606 |
$312,641.82 |
0.60% |
| iRhythm Holdings, Inc. |
IRTC |
450056106 |
2,918 |
$311,292.24 |
0.60% |
| Magnolia Oil & Gas Corporation (Class A) |
MGY |
559663109 |
12,674 |
$310,006.04 |
0.60% |
| Piper Sandler Companies |
PIPR |
724078209 |
4,794 |
$311,130.60 |
0.60% |
| Septerna, Inc. |
SEPN |
81734D104 |
8,235 |
$309,306.60 |
0.60% |
| HealthEquity, Inc. |
HQY |
42226A107 |
3,335 |
$306,920.05 |
0.59% |
| Lattice Semiconductor Corporation |
LSCC |
518415104 |
2,460 |
$302,186.40 |
0.58% |
| Powell Industries, Inc. |
POWL |
739128106 |
1,605 |
$297,534.90 |
0.58% |
| AeroVironment, Inc. |
AVAV |
008073108 |
2,251 |
$296,029.01 |
0.57% |
| The Descartes Systems Group Inc. |
DSGX |
249906108 |
3,544 |
$296,526.48 |
0.57% |
| Victoria's Secret & Co. |
VSXY |
926400102 |
3,300 |
$292,347.00 |
0.57% |
| Supernus Pharmaceuticals, Inc. |
SUPN |
868459108 |
6,587 |
$281,989.47 |
0.55% |
| Genius Sports Limited |
GENI |
G3934V109 |
41,897 |
$276,939.17 |
0.54% |
| IMAX Corporation |
IMAX |
45245E109 |
5,450 |
$281,765.00 |
0.54% |
| PTC Therapeutics, Inc. |
PTCT |
69366J200 |
4,419 |
$278,043.48 |
0.54% |
| Viper Energy, Inc. (Class A) |
VNOM |
64361Q101 |
6,420 |
$278,435.40 |
0.54% |
| e.l.f. Beauty, Inc. |
ELF |
26856L103 |
2,490 |
$273,750.60 |
0.53% |
| Andersen Group Inc. (Class A) |
ANDG |
033853102 |
4,687 |
$270,252.42 |
0.52% |
| nLight, Inc. |
LASR |
65487K100 |
7,066 |
$270,274.50 |
0.52% |
| Semtech Corporation |
SMTC |
816850101 |
1,584 |
$266,555.52 |
0.52% |
| FIGS, Inc. (Class A) |
FIGS |
30260D103 |
14,904 |
$264,396.96 |
0.51% |
| Remitly Global, Inc. |
RELY |
75960P104 |
11,282 |
$265,578.28 |
0.51% |
| Tidewater Inc. |
TDW |
88642R109 |
3,057 |
$264,277.65 |
0.51% |
| Xenon Pharmaceuticals Inc. |
XENE |
98420N105 |
7,333 |
$262,594.73 |
0.51% |
| Agilysys, Inc. |
AGYS |
00847J105 |
2,439 |
$257,826.69 |
0.50% |
| Guidewire Software, Inc. |
GWRE |
40171V100 |
1,584 |
$260,948.16 |
0.50% |
| Karman Holdings Inc. |
KRMN |
485924104 |
8,109 |
$258,514.92 |
0.50% |
| Kratos Defense & Security Solutions, Inc. |
KTOS |
50077B207 |
6,212 |
$258,543.44 |
0.50% |
| Sezzle Inc. |
SEZL |
78435P105 |
1,985 |
$259,002.80 |
0.50% |
| Moog Inc. |
MOG/A |
615394202 |
678 |
$252,053.28 |
0.49% |
| Palomar Holdings, Inc. |
PLMR |
69753M105 |
1,876 |
$251,815.48 |
0.49% |
| Paymentus Holdings, Inc. (Class A) |
PAY |
70439P108 |
7,914 |
$251,111.22 |
0.49% |
| SentinelOne, Inc. (Class A) |
S |
81730H109 |
9,880 |
$253,520.80 |
0.49% |
| Balchem Corporation |
BCPC |
057665200 |
1,438 |
$241,857.22 |
0.47% |
| Onto Innovation Inc. |
ONTO |
683344105 |
892 |
$244,176.08 |
0.47% |
| Rambus Inc. |
RMBS |
750917106 |
2,397 |
$242,192.88 |
0.47% |
| Amylyx Pharmaceuticals, Inc. |
AMLX |
03237H101 |
8,658 |
$237,921.84 |
0.46% |
| Flywire Corporation |
FLYW |
302492103 |
12,966 |
$238,833.72 |
0.46% |
| MAXIMUS, Inc. |
MMS |
577933104 |
4,086 |
$240,542.82 |
0.46% |
| Natera, Inc. |
NTRA |
632307104 |
596 |
$237,070.92 |
0.46% |
| TechnipFMC Plc |
FTI |
G87110105 |
3,439 |
$239,870.25 |
0.46% |
| Adaptive Biotechnologies Corporation |
ADPT |
00650F109 |
9,035 |
$231,024.95 |
0.45% |
| BWX Technologies, Inc. |
BWXT |
05605H100 |
1,668 |
$233,386.56 |
0.45% |
| Scholar Rock Holding Corporation |
SRRK |
80706P103 |
5,606 |
$235,115.64 |
0.45% |
| CECO Environmental Corp. |
CECO |
125141101 |
3,492 |
$225,722.88 |
0.44% |
| Impinj, Inc. |
PI |
453204109 |
1,188 |
$225,767.52 |
0.44% |
| Viavi Solutions Inc. |
VIAV |
925550105 |
5,420 |
$226,285.00 |
0.44% |
| Axogen, Inc. |
AXGN |
05463X106 |
6,003 |
$222,771.33 |
0.43% |
| Camtek Ltd. |
CAMT |
M20791105 |
1,501 |
$221,592.63 |
0.43% |
| Dave Inc. (Class A) |
DAVE |
23834J201 |
617 |
$222,792.53 |
0.43% |
| Globus Medical, Inc. (Class A) |
GMED |
379577208 |
2,897 |
$220,867.28 |
0.43% |
| MSC Industrial Direct Co., Inc. (Class A) |
MSM |
553530106 |
1,716 |
$220,797.72 |
0.43% |
| Solaris Energy Infrastructure, Inc. (Class A) |
SEI |
83418M103 |
2,827 |
$224,124.56 |
0.43% |
| The Cheesecake Factory Incorporated |
CAKE |
163072101 |
2,024 |
$220,616.00 |
0.43% |
| ExlService Holdings, Inc. |
EXLS |
302081104 |
5,949 |
$218,566.26 |
0.42% |
| Fabrinet |
FN |
G3323L100 |
479 |
$218,615.60 |
0.42% |
| Cognex Corporation |
CGNX |
192422103 |
3,460 |
$213,897.20 |
0.41% |
| Sitime Corporation |
SITM |
82982T106 |
375 |
$213,776.25 |
0.41% |
| Archrock, Inc. |
AROC |
03957W106 |
6,879 |
$208,640.07 |
0.40% |
| Elastic N.V. |
ESTC |
N14506104 |
2,182 |
$208,424.64 |
0.40% |
| Herc Holdings, Inc. |
HRI |
42704L104 |
1,647 |
$209,531.34 |
0.40% |
| AXT, Inc. |
AXTI |
00246W103 |
3,250 |
$201,435.00 |
0.39% |
| Commvault Systems, Inc. |
CVLT |
204166102 |
1,314 |
$204,156.18 |
0.39% |
| IAMGOLD Corporation |
IAG |
450913108 |
10,869 |
$201,837.33 |
0.39% |
| Steven Madden, Ltd. |
SHOO |
556269108 |
4,487 |
$200,613.77 |
0.39% |
| Amprius Technologies, Inc. |
AMPX |
03214Q108 |
22,387 |
$198,572.69 |
0.38% |
| Braze, Inc. (Class A) |
BRZE |
10576N102 |
6,754 |
$196,271.24 |
0.38% |
| Global-E Online Ltd. |
GLBE |
M5216V106 |
5,044 |
$196,816.88 |
0.38% |
| Neptune Insurance Holdings Inc. (Class A) |
NP |
64073B103 |
6,829 |
$198,041.00 |
0.38% |
| Ryan Specialty Holdings, Inc. (Class A) |
RYAN |
78351F107 |
5,211 |
$194,109.75 |
0.38% |
| Star Bulk Carriers Corp. |
SBLK |
Y8162K204 |
6,652 |
$198,495.68 |
0.38% |
| Customers Bancorp, Inc. |
CUBI |
23204G100 |
2,572 |
$192,179.84 |
0.37% |
| Federal Signal Corporation |
FSS |
313855108 |
1,679 |
$192,715.62 |
0.37% |
| Sportradar Group AG (Class A) |
SRAD |
H8088L103 |
15,154 |
$192,001.18 |
0.37% |
| StoneX Group Inc. |
SNEX |
861896108 |
3,128 |
$188,868.64 |
0.37% |
| AGCO Corporation |
AGCO |
001084102 |
1,787 |
$186,687.89 |
0.36% |
| Garrett Motion Inc. |
GTX |
366505105 |
7,321 |
$188,588.96 |
0.36% |
| The Vita Coco Company, Inc. |
COCO |
92846Q107 |
3,233 |
$186,608.76 |
0.36% |
| AAON, Inc. |
AAON |
000360206 |
2,126 |
$180,221.02 |
0.35% |
| Generac Holdings Inc. |
GNRC |
368736104 |
834 |
$182,120.58 |
0.35% |
| Kornit Digital Ltd. |
KRNT |
M6372Q113 |
9,839 |
$180,152.09 |
0.35% |
| TAT Technologies Ltd. |
TATT |
M8740S227 |
5,503 |
$180,553.43 |
0.35% |
| Almonty Industries Inc. |
ALM |
020398707 |
15,893 |
$176,094.44 |
0.34% |
| Ambarella, Inc. |
AMBA |
G037AX101 |
2,751 |
$178,292.31 |
0.34% |
| Immunome, Inc. |
IMNM |
45257U108 |
9,246 |
$177,060.90 |
0.34% |
| Robert Half Inc. |
RHI |
770323103 |
5,124 |
$176,265.60 |
0.34% |
| Ultra Clean Holdings, Inc. |
UCTT |
90385V107 |
2,731 |
$173,445.81 |
0.34% |
| American Superconductor Corporation |
AMSC |
030111207 |
5,711 |
$169,017.10 |
0.33% |
| Celldex Therapeutics Inc. |
CLDX |
15117B202 |
5,876 |
$172,930.68 |
0.33% |
| Oceaneering International, Inc. |
OII |
675232102 |
3,898 |
$173,149.16 |
0.33% |
| Aehr Test Systems, Inc. |
AEHR |
00760J108 |
2,112 |
$165,116.16 |
0.32% |
| Enova International, Inc. |
ENVA |
29357K103 |
947 |
$167,458.01 |
0.32% |
| Freshpet, Inc. |
FRPT |
358039105 |
2,567 |
$167,522.42 |
0.32% |
| InterDigital, Inc. |
IDCC |
45867G101 |
512 |
$168,007.68 |
0.32% |
| Lindsay Corporation |
LNN |
535555106 |
1,480 |
$167,506.40 |
0.32% |
| Materion Corporation |
MTRN |
576690101 |
613 |
$165,601.95 |
0.32% |
| Webull Corporation (Class A) |
BULL |
G9572D103 |
26,440 |
$166,572.00 |
0.32% |
| Antero Resources Corporation |
AR |
03674X106 |
4,357 |
$159,291.92 |
0.31% |
| Mirion Technologies, Inc. |
MIR |
60471A101 |
9,839 |
$159,883.75 |
0.31% |
| SiteOne Landscape Supply, Inc. |
SITE |
82982L103 |
1,813 |
$159,525.87 |
0.31% |
| Zurn Elkay Water Solutions Corp. |
ZWS |
98983L108 |
3,395 |
$159,055.75 |
0.31% |
| Bright Horizons Family Solutions Inc. |
BFAM |
109194100 |
2,251 |
$157,344.90 |
0.30% |
| James Hardie Industries plc |
JHX |
G4253H101 |
6,253 |
$154,824.28 |
0.30% |
| Power Integrations, Inc. |
POWI |
739276103 |
3,314 |
$156,122.54 |
0.30% |
| Sterling Infrastructure, Inc. |
STRL |
859241101 |
308 |
$154,366.52 |
0.30% |
| Titan Machinery Inc. |
TITN |
88830R101 |
6,712 |
$154,912.96 |
0.30% |
| Compass, Inc. (Class A) |
COMP |
20464U100 |
16,914 |
$149,181.48 |
0.29% |
| Innovex International, Inc. |
INVX |
457651107 |
5,234 |
$149,378.36 |
0.29% |
| Madrigal Pharmaceuticals, Inc. |
MDGL |
558868105 |
326 |
$152,294.16 |
0.29% |
| Marriott Vacations Worldwide Corporation |
VAC |
57164Y107 |
1,444 |
$151,807.72 |
0.29% |
| Navan, Inc. (Class A) |
NAVN |
639193101 |
6,427 |
$151,420.12 |
0.29% |
| Bullish |
BLSH |
G16910120 |
4,544 |
$143,726.72 |
0.28% |
| Gulfport Energy Corporation |
GPOR |
402635502 |
875 |
$144,340.00 |
0.28% |
| Hut 8 Corp. |
HUT |
44812J104 |
1,673 |
$142,606.52 |
0.28% |
| Tarsus Pharmaceuticals, Inc. |
TARS |
87650L103 |
1,941 |
$144,410.40 |
0.28% |
| Veracyte, Inc. |
VCYT |
92337F107 |
3,337 |
$146,894.74 |
0.28% |
| Knight-Swift Transportation Holdings Inc. |
KNX |
499049104 |
2,134 |
$137,685.68 |
0.27% |
| Mercury Systems, Inc. |
MRCY |
589378108 |
1,783 |
$138,485.61 |
0.27% |
| OPENLANE Inc. |
OPLN |
48238T109 |
3,847 |
$139,799.98 |
0.27% |
| Park Aerospace Corp. |
PKE |
70014A104 |
5,086 |
$138,440.92 |
0.27% |
| Scorpio Tankers Inc. |
STNG |
Y7542C130 |
1,591 |
$139,196.59 |
0.27% |
| Alkermes Plc |
ALKS |
G01767105 |
3,359 |
$135,233.34 |
0.26% |
| Cogent Biosciences, Inc. |
COGT |
19240Q201 |
4,470 |
$133,116.60 |
0.26% |
| DPC Holdings Plc |
DPC |
G2R11M108 |
3,682 |
$132,220.62 |
0.26% |
| Everpure, Inc. (Class A) |
P |
74624M102 |
855 |
$132,790.05 |
0.26% |
| Installed Building Products, Inc. |
IBP |
45780R101 |
730 |
$135,371.20 |
0.26% |
| Target Hospitality Corp. |
TH |
87615L107 |
7,142 |
$134,555.28 |
0.26% |
| Champion Homes Inc. |
SKY |
830830105 |
1,621 |
$127,280.92 |
0.25% |
| CSW Industrials, Inc. |
CSW |
126402106 |
430 |
$124,196.90 |
0.24% |
| EnPro, Inc. |
NPO |
29355X107 |
409 |
$125,485.29 |
0.24% |
| ESCO Technologies Inc. |
ESE |
296315104 |
468 |
$122,400.72 |
0.24% |
| Harley-Davidson, Inc. |
HOG |
412822108 |
4,464 |
$122,179.68 |
0.24% |
| Innodata, Inc. |
INOD |
457642205 |
2,067 |
$123,833.97 |
0.24% |
| Arrowhead Pharmaceuticals, Inc. |
ARWR |
04280A100 |
1,959 |
$118,970.07 |
0.23% |
| Heartflow, Inc. |
HTFL |
42238D107 |
2,390 |
$120,838.40 |
0.23% |
| Helmerich & Payne, Inc. |
HP |
423452101 |
3,083 |
$119,373.76 |
0.23% |
| Rush Enterprises, Inc. (Class A) |
RUSHA |
781846209 |
2,707 |
$120,109.59 |
0.23% |
| The Timken Company |
TKR |
887389104 |
1,033 |
$118,949.95 |
0.23% |
| Construction Partners, Inc. (Class A) |
ROAD |
21044C107 |
1,329 |
$114,533.22 |
0.22% |
| Rush Street Interactive, Inc. |
RSI |
782011100 |
6,120 |
$114,505.20 |
0.22% |
| Modine Manufacturing Company |
MOD |
607828100 |
643 |
$110,917.50 |
0.21% |
| Figure Technology Solutions, Inc. (Class A) |
FIGR |
349381103 |
3,597 |
$102,370.62 |
0.20% |
| First Advantage Corporation |
FA |
31846B108 |
5,544 |
$105,834.96 |
0.20% |
| Cactus, Inc. (Class A) |
WHD |
127203107 |
1,588 |
$99,996.36 |
0.19% |
| Dianthus Therapeutics, Inc. |
DNTH |
252828108 |
1,231 |
$100,412.67 |
0.19% |
| AtriCure, Inc. |
ATRC |
04963C209 |
1,643 |
$94,111.04 |
0.18% |
| Red Violet, Inc. |
RDVT |
75704L104 |
1,167 |
$93,558.39 |
0.18% |
| Toast, Inc. (Class A) |
TOST |
888787108 |
2,918 |
$91,391.76 |
0.18% |
| Axsome Therapeutics, Inc. |
AXSM |
05464T104 |
543 |
$90,138.00 |
0.17% |
| Huron Consulting Group Inc. |
HURN |
447462102 |
494 |
$85,575.62 |
0.17% |
| Vishay Precision Group, Inc. |
VPG |
92835K103 |
1,209 |
$83,662.80 |
0.16% |
| Eos Energy Enterprises, Inc. |
EOSE |
29415C101 |
27,749 |
$66,320.11 |
0.13% |
| Uranium Energy Corp. |
UEC |
916896103 |
7,084 |
$62,551.72 |
0.12% |
| Cardinal Infrastructure Group Inc. (Class A) |
CDNL |
14154A102 |
2,667 |
$55,793.64 |
0.11% |
| Lithia Motors, Inc. |
LAD |
536797103 |
180 |
$51,561.00 |
0.10% |
| Gentherm Incorporated |
THRM |
37253A103 |
287 |
$8,874.02 |
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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