|
|
 |
|
Holdings of the Fund as of 10/14/2026
Total Number of Holdings (excluding cash): 204
| Xometry, Inc. (Class A) |
XMTR |
98423F109 |
9,244 |
$879,566.60 |
1.75% |
| Twist Bioscience Corporation |
TWST |
90184D100 |
5,623 |
$833,103.68 |
1.66% |
| JFrog Ltd. |
FROG |
M6191J100 |
8,599 |
$790,764.04 |
1.58% |
| Zeta Global Holdings Corp. (Class A) |
ZETA |
98956A105 |
24,370 |
$786,419.90 |
1.57% |
| Repligen Corporation |
RGEN |
759916109 |
4,246 |
$756,637.22 |
1.51% |
| FirstCash Holdings, Inc. |
FCFS |
33768G107 |
3,446 |
$746,162.38 |
1.49% |
| Guardant Health, Inc. |
GH |
40131M109 |
4,210 |
$686,187.90 |
1.37% |
| Travere Therapeutics, Inc. |
TVTX |
89422G107 |
12,863 |
$685,212.01 |
1.37% |
| Varonis Systems, Inc. |
VRNS |
922280102 |
13,922 |
$655,169.32 |
1.31% |
| Protagonist Therapeutics, Inc. |
PTGX |
74366E102 |
4,393 |
$598,678.04 |
1.19% |
| SailPoint, Inc. |
SAIL |
78781J109 |
30,200 |
$582,860.00 |
1.16% |
| Halozyme Therapeutics, Inc. |
HALO |
40637H109 |
4,690 |
$547,885.80 |
1.09% |
| Rubrik, Inc. (Class A) |
RBRK |
781154109 |
4,785 |
$545,011.50 |
1.09% |
| Ligand Pharmaceuticals Inc. (Class B) |
LGND |
53220K504 |
1,813 |
$534,816.87 |
1.07% |
| EZCORP, Inc. |
EZPW |
302301106 |
15,050 |
$492,436.00 |
0.98% |
| Ollie's Bargain Outlet Holdings, Inc. |
OLLI |
681116109 |
5,190 |
$483,292.80 |
0.96% |
| Spyre Therapeutics, Inc. |
SYRE |
00773J202 |
6,093 |
$479,092.59 |
0.96% |
| Silicon Motion Technology Corporation (ADR) |
SIMO |
82706C108 |
2,027 |
$453,196.66 |
0.90% |
| Exelixis, Inc. |
EXEL |
30161Q104 |
7,337 |
$447,483.63 |
0.89% |
| Manhattan Associates, Inc. |
MANH |
562750109 |
1,980 |
$435,679.20 |
0.87% |
| Fastly, Inc. (Class A) |
FSLY |
31188V100 |
17,078 |
$426,950.00 |
0.85% |
| VSE Corporation |
VSEC |
918284100 |
2,677 |
$424,706.05 |
0.85% |
| Edgewise Therapeutics, Inc. |
EWTX |
28036F105 |
10,291 |
$380,972.82 |
0.76% |
| RBC Bearings Incorporated |
RBC |
75524B104 |
750 |
$373,905.00 |
0.75% |
| Praxis Precision Medicines, Inc. |
PRAX |
74006W207 |
1,548 |
$370,002.96 |
0.74% |
| Virtu Financial, Inc. (Class A) |
VIRT |
928254101 |
6,649 |
$368,886.52 |
0.74% |
| Definium Therapeutics Inc. |
DFTX |
24477V105 |
10,629 |
$363,936.96 |
0.73% |
| Acadian Asset Management Inc. |
AAMI |
10948W103 |
3,988 |
$363,306.80 |
0.72% |
| ICON Plc |
ICLR |
G4705A100 |
2,147 |
$362,778.59 |
0.72% |
| First Watch Restaurant Group, Inc. |
FWRG |
33748L101 |
30,016 |
$355,089.28 |
0.71% |
| MACOM Technology Solutions Holdings, Inc. |
MTSI |
55405Y100 |
1,230 |
$358,335.90 |
0.71% |
| The Chefs' Warehouse, Inc. |
CHEF |
163086101 |
3,019 |
$341,147.00 |
0.68% |
| DigitalOcean Holdings, Inc. |
DOCN |
25402D102 |
3,088 |
$337,487.52 |
0.67% |
| Life Time Group Holdings, Inc. |
LTH |
53190C102 |
8,410 |
$338,250.20 |
0.67% |
| Medpace Holdings, Inc. |
MEDP |
58506Q109 |
542 |
$334,213.46 |
0.67% |
| Encore Capital Group, Inc. |
ECPG |
292554102 |
3,273 |
$330,114.78 |
0.66% |
| Glaukos Corporation |
GKOS |
377322102 |
1,959 |
$328,896.51 |
0.66% |
| Wingstop Inc. |
WING |
974155103 |
2,710 |
$333,059.00 |
0.66% |
| Five Below, Inc. |
FIVE |
33829M101 |
1,480 |
$324,046.00 |
0.65% |
| WisdomTree, Inc. |
WT |
97717P104 |
15,553 |
$327,857.24 |
0.65% |
| MaxLinear, Inc. |
MXL |
57776J100 |
4,074 |
$321,112.68 |
0.64% |
| Magnolia Oil & Gas Corporation (Class A) |
MGY |
559663109 |
12,674 |
$314,822.16 |
0.63% |
| US Dollar |
$USD |
|
318,280 |
$318,279.93 |
0.63% |
| Five9, Inc. |
FIVN |
338307101 |
9,394 |
$310,753.52 |
0.62% |
| iRhythm Holdings, Inc. |
IRTC |
450056106 |
2,918 |
$309,453.90 |
0.62% |
| Kymera Therapeutics, Inc. |
KYMR |
501575104 |
2,918 |
$311,729.94 |
0.62% |
| Leonardo DRS, Inc. |
DRS |
52661A108 |
8,901 |
$311,000.94 |
0.62% |
| Netskope, Inc. (Class A) |
NTSK |
64119N608 |
15,633 |
$313,285.32 |
0.62% |
| Piper Sandler Companies |
PIPR |
724078209 |
4,794 |
$309,117.12 |
0.62% |
| HealthEquity, Inc. |
HQY |
42226A107 |
3,335 |
$299,716.45 |
0.60% |
| Septerna, Inc. |
SEPN |
81734D104 |
8,235 |
$299,095.20 |
0.60% |
| The Descartes Systems Group Inc. |
DSGX |
249906108 |
3,544 |
$302,444.96 |
0.60% |
| Boot Barn Holdings, Inc. |
BOOT |
099406100 |
2,606 |
$294,113.16 |
0.59% |
| Victoria's Secret & Co. |
VSXY |
926400102 |
3,300 |
$291,687.00 |
0.58% |
| Viper Energy, Inc. (Class A) |
VNOM |
64361Q101 |
6,420 |
$283,314.60 |
0.57% |
| IMAX Corporation |
IMAX |
45245E109 |
5,450 |
$281,710.50 |
0.56% |
| Lattice Semiconductor Corporation |
LSCC |
518415104 |
2,460 |
$282,900.00 |
0.56% |
| Bandwidth Inc. (Class A) |
BAND |
05988J103 |
5,864 |
$277,953.60 |
0.55% |
| FIGS, Inc. (Class A) |
FIGS |
30260D103 |
14,904 |
$277,661.52 |
0.55% |
| AeroVironment, Inc. |
AVAV |
008073108 |
2,251 |
$271,470.60 |
0.54% |
| Andersen Group Inc. (Class A) |
ANDG |
033853102 |
4,687 |
$268,518.23 |
0.54% |
| e.l.f. Beauty, Inc. |
ELF |
26856L103 |
2,490 |
$269,243.70 |
0.54% |
| Powell Industries, Inc. |
POWL |
739128106 |
1,605 |
$272,095.65 |
0.54% |
| PTC Therapeutics, Inc. |
PTCT |
69366J200 |
4,419 |
$263,681.73 |
0.53% |
| Remitly Global, Inc. |
RELY |
75960P104 |
11,282 |
$265,014.18 |
0.53% |
| Supernus Pharmaceuticals, Inc. |
SUPN |
868459108 |
6,587 |
$264,665.66 |
0.53% |
| Agilysys, Inc. |
AGYS |
00847J105 |
2,439 |
$261,972.99 |
0.52% |
| Guidewire Software, Inc. |
GWRE |
40171V100 |
1,584 |
$261,233.28 |
0.52% |
| Genius Sports Limited |
GENI |
G3934V109 |
41,897 |
$256,828.61 |
0.51% |
| nLight, Inc. |
LASR |
65487K100 |
7,066 |
$253,598.74 |
0.51% |
| Palomar Holdings, Inc. |
PLMR |
69753M105 |
1,876 |
$256,543.00 |
0.51% |
| Semtech Corporation |
SMTC |
816850101 |
1,584 |
$253,851.84 |
0.51% |
| Moog Inc. |
MOG/A |
615394202 |
678 |
$251,036.28 |
0.50% |
| Tidewater Inc. |
TDW |
88642R109 |
3,057 |
$253,058.46 |
0.50% |
| Xenon Pharmaceuticals Inc. |
XENE |
98420N105 |
7,333 |
$248,588.70 |
0.50% |
| Balchem Corporation |
BCPC |
057665200 |
1,438 |
$245,121.48 |
0.49% |
| Karman Holdings Inc. |
KRMN |
485924104 |
8,109 |
$244,405.26 |
0.49% |
| Kratos Defense & Security Solutions, Inc. |
KTOS |
50077B207 |
6,212 |
$244,317.96 |
0.49% |
| Sezzle Inc. |
SEZL |
78435P105 |
1,985 |
$244,373.35 |
0.49% |
| Paymentus Holdings, Inc. (Class A) |
PAY |
70439P108 |
7,914 |
$242,247.54 |
0.48% |
| TechnipFMC Plc |
FTI |
G87110105 |
3,439 |
$239,010.50 |
0.48% |
| Amylyx Pharmaceuticals, Inc. |
AMLX |
03237H101 |
8,658 |
$234,025.74 |
0.47% |
| Flywire Corporation |
FLYW |
302492103 |
12,966 |
$234,165.96 |
0.47% |
| MAXIMUS, Inc. |
MMS |
577933104 |
4,086 |
$236,007.36 |
0.47% |
| Natera, Inc. |
NTRA |
632307104 |
596 |
$235,271.00 |
0.47% |
| Adaptive Biotechnologies Corporation |
ADPT |
00650F109 |
9,035 |
$231,476.70 |
0.46% |
| Impinj, Inc. |
PI |
453204109 |
1,188 |
$228,262.32 |
0.46% |
| The Cheesecake Factory Incorporated |
CAKE |
163072101 |
2,024 |
$228,408.40 |
0.46% |
| BWX Technologies, Inc. |
BWXT |
05605H100 |
1,668 |
$224,245.92 |
0.45% |
| MSC Industrial Direct Co., Inc. (Class A) |
MSM |
553530106 |
1,716 |
$227,507.28 |
0.45% |
| SentinelOne, Inc. (Class A) |
S |
81730H109 |
9,880 |
$225,461.60 |
0.45% |
| Dave Inc. (Class A) |
DAVE |
23834J201 |
617 |
$220,145.60 |
0.44% |
| ExlService Holdings, Inc. |
EXLS |
302081104 |
5,949 |
$222,254.64 |
0.44% |
| Globus Medical, Inc. (Class A) |
GMED |
379577208 |
2,897 |
$221,070.07 |
0.44% |
| Rambus Inc. |
RMBS |
750917106 |
2,397 |
$220,787.67 |
0.44% |
| Scholar Rock Holding Corporation |
SRRK |
80706P103 |
5,606 |
$221,997.60 |
0.44% |
| CECO Environmental Corp. |
CECO |
125141101 |
3,492 |
$217,865.88 |
0.43% |
| Onto Innovation Inc. |
ONTO |
683344105 |
892 |
$215,337.72 |
0.43% |
| Axogen, Inc. |
AXGN |
05463X106 |
6,003 |
$210,945.42 |
0.42% |
| Viavi Solutions Inc. |
VIAV |
925550105 |
5,420 |
$208,941.00 |
0.42% |
| Archrock, Inc. |
AROC |
03957W106 |
6,879 |
$204,925.41 |
0.41% |
| Camtek Ltd. |
CAMT |
M20791105 |
1,501 |
$203,715.72 |
0.41% |
| AXT, Inc. |
AXTI |
00246W103 |
3,250 |
$200,167.50 |
0.40% |
| Cognex Corporation |
CGNX |
192422103 |
3,460 |
$198,154.20 |
0.40% |
| Commvault Systems, Inc. |
CVLT |
204166102 |
1,314 |
$202,789.62 |
0.40% |
| Elastic N.V. |
ESTC |
N14506104 |
2,182 |
$200,874.92 |
0.40% |
| Herc Holdings, Inc. |
HRI |
42704L104 |
1,647 |
$202,762.17 |
0.40% |
| Steven Madden, Ltd. |
SHOO |
556269108 |
4,487 |
$200,748.38 |
0.40% |
| Global-E Online Ltd. |
GLBE |
M5216V106 |
5,044 |
$193,538.28 |
0.39% |
| Neptune Insurance Holdings Inc. (Class A) |
NP |
64073B103 |
6,829 |
$194,216.76 |
0.39% |
| Ryan Specialty Holdings, Inc. (Class A) |
RYAN |
78351F107 |
5,211 |
$198,018.00 |
0.39% |
| Sitime Corporation |
SITM |
82982T106 |
375 |
$196,848.75 |
0.39% |
| Solaris Energy Infrastructure, Inc. (Class A) |
SEI |
83418M103 |
2,827 |
$196,108.99 |
0.39% |
| AGCO Corporation |
AGCO |
001084102 |
1,787 |
$190,815.86 |
0.38% |
| Braze, Inc. (Class A) |
BRZE |
10576N102 |
6,754 |
$190,800.50 |
0.38% |
| Customers Bancorp, Inc. |
CUBI |
23204G100 |
2,572 |
$188,759.08 |
0.38% |
| Fabrinet |
FN |
G3323L100 |
479 |
$188,223.05 |
0.38% |
| Federal Signal Corporation |
FSS |
313855108 |
1,679 |
$189,727.00 |
0.38% |
| Star Bulk Carriers Corp. |
SBLK |
Y8162K204 |
6,652 |
$191,378.04 |
0.38% |
| The Vita Coco Company, Inc. |
COCO |
92846Q107 |
3,233 |
$189,324.48 |
0.38% |
| Garrett Motion Inc. |
GTX |
366505105 |
7,321 |
$185,587.35 |
0.37% |
| IAMGOLD Corporation |
IAG |
450913108 |
10,869 |
$185,316.45 |
0.37% |
| StoneX Group Inc. |
SNEX |
861896108 |
3,128 |
$187,461.04 |
0.37% |
| Amprius Technologies, Inc. |
AMPX |
03214Q108 |
22,387 |
$179,096.00 |
0.36% |
| Robert Half Inc. |
RHI |
770323103 |
5,124 |
$179,237.52 |
0.36% |
| Freshpet, Inc. |
FRPT |
358039105 |
2,567 |
$174,812.70 |
0.35% |
| Sportradar Group AG (Class A) |
SRAD |
H8088L103 |
15,154 |
$176,241.02 |
0.35% |
| TAT Technologies Ltd. |
TATT |
M8740S227 |
5,503 |
$174,885.34 |
0.35% |
| AAON, Inc. |
AAON |
000360206 |
2,126 |
$171,206.78 |
0.34% |
| Ambarella, Inc. |
AMBA |
G037AX101 |
2,751 |
$169,076.46 |
0.34% |
| Oceaneering International, Inc. |
OII |
675232102 |
3,898 |
$169,679.94 |
0.34% |
| Celldex Therapeutics Inc. |
CLDX |
15117B202 |
5,876 |
$163,558.48 |
0.33% |
| Enova International, Inc. |
ENVA |
29357K103 |
947 |
$164,948.46 |
0.33% |
| Generac Holdings Inc. |
GNRC |
368736104 |
834 |
$165,182.04 |
0.33% |
| InterDigital, Inc. |
IDCC |
45867G101 |
512 |
$166,840.32 |
0.33% |
| Kornit Digital Ltd. |
KRNT |
M6372Q113 |
9,839 |
$167,754.95 |
0.33% |
| Lindsay Corporation |
LNN |
535555106 |
1,480 |
$165,878.40 |
0.33% |
| Almonty Industries Inc. |
ALM |
020398707 |
15,893 |
$161,949.67 |
0.32% |
| Antero Resources Corporation |
AR |
03674X106 |
4,357 |
$159,596.91 |
0.32% |
| Immunome, Inc. |
IMNM |
45257U108 |
9,246 |
$159,031.20 |
0.32% |
| SiteOne Landscape Supply, Inc. |
SITE |
82982L103 |
1,813 |
$162,009.68 |
0.32% |
| Webull Corporation (Class A) |
BULL |
G9572D103 |
26,440 |
$160,490.80 |
0.32% |
| Zurn Elkay Water Solutions Corp. |
ZWS |
98983L108 |
3,395 |
$159,870.55 |
0.32% |
| Bright Horizons Family Solutions Inc. |
BFAM |
109194100 |
2,251 |
$153,990.91 |
0.31% |
| James Hardie Industries plc |
JHX |
G4253H101 |
6,253 |
$153,698.74 |
0.31% |
| Marriott Vacations Worldwide Corporation |
VAC |
57164Y107 |
1,444 |
$153,396.12 |
0.31% |
| Materion Corporation |
MTRN |
576690101 |
613 |
$156,793.14 |
0.31% |
| Mirion Technologies, Inc. |
MIR |
60471A101 |
9,839 |
$156,440.10 |
0.31% |
| Navan, Inc. (Class A) |
NAVN |
639193101 |
6,427 |
$154,248.00 |
0.31% |
| Ultra Clean Holdings, Inc. |
UCTT |
90385V107 |
2,731 |
$155,093.49 |
0.31% |
| Aehr Test Systems, Inc. |
AEHR |
00760J108 |
2,112 |
$150,986.88 |
0.30% |
| Compass, Inc. (Class A) |
COMP |
20464U100 |
16,914 |
$148,166.64 |
0.30% |
| Madrigal Pharmaceuticals, Inc. |
MDGL |
558868105 |
326 |
$149,963.26 |
0.30% |
| Power Integrations, Inc. |
POWI |
739276103 |
3,314 |
$148,400.92 |
0.30% |
| Titan Machinery Inc. |
TITN |
88830R101 |
6,712 |
$152,765.12 |
0.30% |
| American Superconductor Corporation |
AMSC |
030111207 |
5,711 |
$146,487.15 |
0.29% |
| Gulfport Energy Corporation |
GPOR |
402635502 |
875 |
$144,891.25 |
0.29% |
| Innovex International, Inc. |
INVX |
457651107 |
5,234 |
$145,819.24 |
0.29% |
| Veracyte, Inc. |
VCYT |
92337F107 |
3,337 |
$145,192.87 |
0.29% |
| Bullish |
BLSH |
G16910120 |
4,544 |
$138,092.16 |
0.28% |
| OPENLANE Inc. |
OPLN |
48238T109 |
3,847 |
$141,608.07 |
0.28% |
| Sterling Infrastructure, Inc. |
STRL |
859241101 |
308 |
$139,545.56 |
0.28% |
| Tarsus Pharmaceuticals, Inc. |
TARS |
87650L103 |
1,941 |
$140,314.89 |
0.28% |
| Knight-Swift Transportation Holdings Inc. |
KNX |
499049104 |
2,134 |
$134,890.14 |
0.27% |
| Mercury Systems, Inc. |
MRCY |
589378108 |
1,783 |
$134,955.27 |
0.27% |
| Park Aerospace Corp. |
PKE |
70014A104 |
5,086 |
$133,863.52 |
0.27% |
| Scorpio Tankers Inc. |
STNG |
Y7542C130 |
1,591 |
$136,794.18 |
0.27% |
| Alkermes Plc |
ALKS |
G01767105 |
3,359 |
$131,269.72 |
0.26% |
| Installed Building Products, Inc. |
IBP |
45780R101 |
730 |
$131,640.90 |
0.26% |
| Champion Homes Inc. |
SKY |
830830105 |
1,621 |
$123,033.90 |
0.25% |
| Cogent Biosciences, Inc. |
COGT |
19240Q201 |
4,470 |
$125,830.50 |
0.25% |
| CSW Industrials, Inc. |
CSW |
126402106 |
430 |
$124,093.70 |
0.25% |
| Hut 8 Corp. |
HUT |
44812J104 |
1,673 |
$125,257.51 |
0.25% |
| Target Hospitality Corp. |
TH |
87615L107 |
7,142 |
$123,270.92 |
0.25% |
| DPC Holdings Plc |
DPC |
G2R11M108 |
3,682 |
$120,106.84 |
0.24% |
| EnPro, Inc. |
NPO |
29355X107 |
409 |
$120,250.09 |
0.24% |
| ESCO Technologies Inc. |
ESE |
296315104 |
468 |
$120,486.60 |
0.24% |
| Everpure, Inc. (Class A) |
P |
74624M102 |
855 |
$120,973.95 |
0.24% |
| Harley-Davidson, Inc. |
HOG |
412822108 |
4,464 |
$120,349.44 |
0.24% |
| Heartflow, Inc. |
HTFL |
42238D107 |
2,390 |
$118,209.40 |
0.24% |
| Helmerich & Payne, Inc. |
HP |
423452101 |
3,083 |
$118,972.97 |
0.24% |
| Rush Enterprises, Inc. (Class A) |
RUSHA |
781846209 |
2,707 |
$118,512.46 |
0.24% |
| Arrowhead Pharmaceuticals, Inc. |
ARWR |
04280A100 |
1,959 |
$114,346.83 |
0.23% |
| Rush Street Interactive, Inc. |
RSI |
782011100 |
6,120 |
$113,158.80 |
0.23% |
| The Timken Company |
TKR |
887389104 |
1,033 |
$116,026.56 |
0.23% |
| Innodata, Inc. |
INOD |
457642205 |
2,067 |
$109,840.38 |
0.22% |
| Construction Partners, Inc. (Class A) |
ROAD |
21044C107 |
1,329 |
$107,436.36 |
0.21% |
| First Advantage Corporation |
FA |
31846B108 |
5,544 |
$105,225.12 |
0.21% |
| Cactus, Inc. (Class A) |
WHD |
127203107 |
1,588 |
$99,281.76 |
0.20% |
| Modine Manufacturing Company |
MOD |
607828100 |
643 |
$101,433.25 |
0.20% |
| AtriCure, Inc. |
ATRC |
04963C209 |
1,643 |
$94,143.90 |
0.19% |
| Axsome Therapeutics, Inc. |
AXSM |
05464T104 |
543 |
$88,085.46 |
0.18% |
| Dianthus Therapeutics, Inc. |
DNTH |
252828108 |
1,231 |
$92,029.56 |
0.18% |
| Figure Technology Solutions, Inc. (Class A) |
FIGR |
349381103 |
3,597 |
$90,104.85 |
0.18% |
| Red Violet, Inc. |
RDVT |
75704L104 |
1,167 |
$88,645.32 |
0.18% |
| Huron Consulting Group Inc. |
HURN |
447462102 |
494 |
$86,573.50 |
0.17% |
| Toast, Inc. (Class A) |
TOST |
888787108 |
2,918 |
$87,102.30 |
0.17% |
| Vishay Precision Group, Inc. |
VPG |
92835K103 |
1,209 |
$76,868.22 |
0.15% |
| Eos Energy Enterprises, Inc. |
EOSE |
29415C101 |
27,749 |
$54,110.55 |
0.11% |
| Uranium Energy Corp. |
UEC |
916896103 |
7,084 |
$54,546.80 |
0.11% |
| Lithia Motors, Inc. |
LAD |
536797103 |
180 |
$50,668.20 |
0.10% |
| Cardinal Infrastructure Group Inc. (Class A) |
CDNL |
14154A102 |
2,667 |
$43,898.82 |
0.09% |
| Gentherm Incorporated |
THRM |
37253A103 |
287 |
$8,785.08 |
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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