|
|
 |
|
Holdings of the Fund as of 10/5/2026
Total Number of Holdings (excluding cash): 205
| Twist Bioscience Corporation |
TWST |
90184D100 |
5,865 |
$1,202,325.00 |
2.25% |
| Xometry, Inc. (Class A) |
XMTR |
98423F109 |
9,649 |
$1,039,197.30 |
1.95% |
| Zeta Global Holdings Corp. (Class A) |
ZETA |
98956A105 |
25,691 |
$844,720.08 |
1.58% |
| Guardant Health, Inc. |
GH |
40131M109 |
4,204 |
$787,072.88 |
1.48% |
| JFrog Ltd. |
FROG |
M6191J100 |
7,873 |
$770,451.78 |
1.44% |
| Travere Therapeutics, Inc. |
TVTX |
89422G107 |
12,888 |
$743,250.96 |
1.39% |
| FirstCash Holdings, Inc. |
FCFS |
33768G107 |
3,443 |
$727,609.19 |
1.36% |
| Varonis Systems, Inc. |
VRNS |
922280102 |
13,442 |
$647,232.30 |
1.21% |
| Rubrik, Inc. (Class A) |
RBRK |
781154109 |
5,071 |
$622,110.28 |
1.17% |
| Protagonist Therapeutics, Inc. |
PTGX |
74366E102 |
4,201 |
$590,786.63 |
1.11% |
| Ligand Pharmaceuticals Inc. (Class B) |
LGND |
53220K504 |
1,874 |
$574,886.98 |
1.08% |
| Spyre Therapeutics, Inc. |
SYRE |
00773J202 |
6,084 |
$564,108.48 |
1.06% |
| Repligen Corporation |
RGEN |
759916109 |
2,832 |
$536,664.00 |
1.01% |
| Silicon Motion Technology Corporation (ADR) |
SIMO |
82706C108 |
1,899 |
$536,372.55 |
1.01% |
| SailPoint, Inc. |
SAIL |
78781J109 |
26,171 |
$531,009.59 |
1.00% |
| Halozyme Therapeutics, Inc. |
HALO |
40637H109 |
4,810 |
$520,971.10 |
0.98% |
| VSE Corporation |
VSEC |
918284100 |
3,119 |
$524,397.47 |
0.98% |
| Praxis Precision Medicines, Inc. |
PRAX |
74006W207 |
1,660 |
$470,709.60 |
0.88% |
| EZCORP, Inc. |
EZPW |
302301106 |
15,075 |
$459,787.50 |
0.86% |
| Ollie's Bargain Outlet Holdings, Inc. |
OLLI |
681116109 |
5,164 |
$448,493.40 |
0.84% |
| Definium Therapeutics Inc. |
DFTX |
24477V105 |
11,714 |
$424,398.22 |
0.80% |
| Exelixis, Inc. |
EXEL |
30161Q104 |
7,267 |
$427,662.95 |
0.80% |
| MaxLinear, Inc. |
MXL |
57776J100 |
4,068 |
$429,133.32 |
0.80% |
| DigitalOcean Holdings, Inc. |
DOCN |
25402D102 |
3,062 |
$420,198.26 |
0.79% |
| Edgewise Therapeutics, Inc. |
EWTX |
28036F105 |
10,276 |
$414,122.80 |
0.78% |
| Virtu Financial, Inc. (Class A) |
VIRT |
928254101 |
6,580 |
$413,750.40 |
0.78% |
| Manhattan Associates, Inc. |
MANH |
562750109 |
1,999 |
$410,694.55 |
0.77% |
| Fastly, Inc. (Class A) |
FSLY |
31188V100 |
15,197 |
$395,273.97 |
0.74% |
| MACOM Technology Solutions Holdings, Inc. |
MTSI |
55405Y100 |
1,208 |
$396,586.40 |
0.74% |
| US Dollar |
$USD |
|
396,869 |
$396,869.38 |
0.74% |
| Acadian Asset Management Inc. |
AAMI |
10948W103 |
3,982 |
$382,909.12 |
0.72% |
| RBC Bearings Incorporated |
RBC |
75524B104 |
750 |
$384,435.00 |
0.72% |
| BioLife Solutions, Inc. |
BLFS |
09062W204 |
9,807 |
$378,648.27 |
0.71% |
| WisdomTree, Inc. |
WT |
97717P104 |
15,530 |
$379,708.50 |
0.71% |
| Bandwidth Inc. (Class A) |
BAND |
05988J103 |
5,855 |
$366,113.15 |
0.69% |
| Herc Holdings, Inc. |
HRI |
42704L104 |
2,652 |
$359,372.52 |
0.67% |
| ICON Plc |
ICLR |
G4705A100 |
2,082 |
$350,463.06 |
0.66% |
| Life Time Group Holdings, Inc. |
LTH |
53190C102 |
8,398 |
$336,423.88 |
0.63% |
| Lattice Semiconductor Corporation |
LSCC |
518415104 |
2,436 |
$323,622.60 |
0.61% |
| Leonardo DRS, Inc. |
DRS |
52661A108 |
8,828 |
$323,104.80 |
0.61% |
| Medpace Holdings, Inc. |
MEDP |
58506Q109 |
521 |
$323,285.71 |
0.61% |
| Boot Barn Holdings, Inc. |
BOOT |
099406100 |
2,603 |
$319,856.64 |
0.60% |
| Encore Capital Group, Inc. |
ECPG |
292554102 |
3,269 |
$320,100.48 |
0.60% |
| Five9, Inc. |
FIVN |
338307101 |
9,379 |
$322,356.23 |
0.60% |
| Glaukos Corporation |
GKOS |
377322102 |
1,956 |
$320,803.56 |
0.60% |
| Kymera Therapeutics, Inc. |
KYMR |
501575104 |
2,914 |
$320,102.90 |
0.60% |
| First Watch Restaurant Group, Inc. |
FWRG |
33748L101 |
29,775 |
$312,935.25 |
0.59% |
| Powell Industries, Inc. |
POWL |
739128106 |
1,603 |
$317,137.52 |
0.59% |
| AeroVironment, Inc. |
AVAV |
008073108 |
2,228 |
$310,360.40 |
0.58% |
| Dave Inc. (Class A) |
DAVE |
23834J201 |
834 |
$307,695.96 |
0.58% |
| Piper Sandler Companies |
PIPR |
724078209 |
4,747 |
$311,545.61 |
0.58% |
| Septerna, Inc. |
SEPN |
81734D104 |
8,223 |
$311,405.01 |
0.58% |
| Five Below, Inc. |
FIVE |
33829M101 |
1,416 |
$305,756.88 |
0.57% |
| Magnolia Oil & Gas Corporation (Class A) |
MGY |
559663109 |
12,597 |
$302,328.00 |
0.57% |
| Semtech Corporation |
SMTC |
816850101 |
1,581 |
$304,864.23 |
0.57% |
| HealthEquity, Inc. |
HQY |
42226A107 |
3,248 |
$297,354.40 |
0.56% |
| iRhythm Holdings, Inc. |
IRTC |
450056106 |
2,748 |
$299,779.32 |
0.56% |
| Victoria's Secret & Co. |
VSXY |
926400102 |
3,295 |
$294,605.95 |
0.55% |
| IMAX Corporation |
IMAX |
45245E109 |
5,441 |
$286,087.78 |
0.54% |
| Netskope, Inc. (Class A) |
NTSK |
64119N608 |
15,533 |
$286,117.86 |
0.54% |
| Onto Innovation Inc. |
ONTO |
683344105 |
891 |
$289,940.31 |
0.54% |
| Scholar Rock Holding Corporation |
SRRK |
80706P103 |
6,582 |
$285,658.80 |
0.54% |
| The Chefs' Warehouse, Inc. |
CHEF |
163086101 |
2,600 |
$288,782.00 |
0.54% |
| Wingstop Inc. |
WING |
974155103 |
2,707 |
$289,215.88 |
0.54% |
| AXT, Inc. |
AXTI |
00246W103 |
3,245 |
$281,211.70 |
0.53% |
| PTC Therapeutics, Inc. |
PTCT |
69366J200 |
4,412 |
$280,823.80 |
0.53% |
| The Descartes Systems Group Inc. |
DSGX |
249906108 |
3,519 |
$283,877.73 |
0.53% |
| Everpure, Inc. (Class A) |
P |
74624M102 |
1,936 |
$278,551.68 |
0.52% |
| nLight, Inc. |
LASR |
65487K100 |
7,017 |
$277,171.50 |
0.52% |
| Supernus Pharmaceuticals, Inc. |
SUPN |
868459108 |
6,517 |
$278,666.92 |
0.52% |
| Xenon Pharmaceuticals Inc. |
XENE |
98420N105 |
7,323 |
$275,125.11 |
0.52% |
| Adaptive Biotechnologies Corporation |
ADPT |
00650F109 |
9,022 |
$269,216.48 |
0.50% |
| Karman Holdings Inc. |
KRMN |
485924104 |
8,058 |
$266,075.16 |
0.50% |
| Sitime Corporation |
SITM |
82982T106 |
375 |
$266,265.00 |
0.50% |
| CECO Environmental Corp. |
CECO |
125141101 |
3,487 |
$261,385.52 |
0.49% |
| Kratos Defense & Security Solutions, Inc. |
KTOS |
50077B207 |
6,163 |
$258,969.26 |
0.49% |
| Rambus Inc. |
RMBS |
750917106 |
2,374 |
$261,852.20 |
0.49% |
| Viper Energy, Inc. (Class A) |
VNOM |
64361Q101 |
6,351 |
$259,565.37 |
0.49% |
| Guidewire Software, Inc. |
GWRE |
40171V100 |
1,582 |
$258,229.86 |
0.48% |
| Moog Inc. |
MOG/A |
615394202 |
677 |
$257,964.08 |
0.48% |
| Natera, Inc. |
NTRA |
632307104 |
596 |
$253,681.44 |
0.48% |
| Remitly Global, Inc. |
RELY |
75960P104 |
11,266 |
$258,104.06 |
0.48% |
| Tidewater Inc. |
TDW |
88642R109 |
3,052 |
$256,154.36 |
0.48% |
| Genius Sports Limited |
GENI |
G3934V109 |
41,518 |
$248,692.82 |
0.47% |
| Paymentus Holdings, Inc. (Class A) |
PAY |
70439P108 |
7,902 |
$249,861.24 |
0.47% |
| SentinelOne, Inc. (Class A) |
S |
81730H109 |
9,807 |
$249,392.01 |
0.47% |
| Camtek Ltd. |
CAMT |
M20791105 |
1,499 |
$242,912.95 |
0.46% |
| Agilysys, Inc. |
AGYS |
00847J105 |
2,436 |
$242,382.00 |
0.45% |
| Amylyx Pharmaceuticals, Inc. |
AMLX |
03237H101 |
8,646 |
$240,185.88 |
0.45% |
| Balchem Corporation |
BCPC |
057665200 |
1,437 |
$238,599.48 |
0.45% |
| Customers Bancorp, Inc. |
CUBI |
23204G100 |
3,176 |
$238,295.28 |
0.45% |
| Palomar Holdings, Inc. |
PLMR |
69753M105 |
1,874 |
$238,635.16 |
0.45% |
| TechnipFMC Plc |
FTI |
G87110105 |
3,415 |
$239,903.75 |
0.45% |
| Flywire Corporation |
FLYW |
302492103 |
12,943 |
$235,174.31 |
0.44% |
| Robert Half Inc. |
RHI |
770323103 |
6,629 |
$227,507.28 |
0.43% |
| BWX Technologies, Inc. |
BWXT |
05605H100 |
1,624 |
$219,808.40 |
0.41% |
| Cognex Corporation |
CGNX |
192422103 |
3,415 |
$219,823.55 |
0.41% |
| Globus Medical, Inc. (Class A) |
GMED |
379577208 |
2,873 |
$219,985.61 |
0.41% |
| MAXIMUS, Inc. |
MMS |
577933104 |
4,060 |
$220,904.60 |
0.41% |
| Sezzle Inc. |
SEZL |
78435P105 |
1,982 |
$219,704.70 |
0.41% |
| Almonty Industries Inc. |
ALM |
020398707 |
15,869 |
$214,548.88 |
0.40% |
| Axsome Therapeutics, Inc. |
AXSM |
05464T104 |
1,206 |
$213,558.48 |
0.40% |
| Compass, Inc. (Class A) |
COMP |
20464U100 |
23,057 |
$214,199.53 |
0.40% |
| Impinj, Inc. |
PI |
453204109 |
1,166 |
$215,931.54 |
0.40% |
| Viavi Solutions Inc. |
VIAV |
925550105 |
4,602 |
$215,879.82 |
0.40% |
| AGCO Corporation |
AGCO |
001084102 |
1,784 |
$207,282.96 |
0.39% |
| Amprius Technologies, Inc. |
AMPX |
03214Q108 |
22,196 |
$209,752.20 |
0.39% |
| Archrock, Inc. |
AROC |
03957W106 |
6,830 |
$205,583.00 |
0.39% |
| Elastic N.V. |
ESTC |
N14506104 |
2,179 |
$206,808.89 |
0.39% |
| Fabrinet |
FN |
G3323L100 |
458 |
$207,858.72 |
0.39% |
| StoneX Group Inc. |
SNEX |
861896108 |
3,123 |
$210,583.89 |
0.39% |
| e.l.f. Beauty, Inc. |
ELF |
26856L103 |
1,954 |
$202,727.50 |
0.38% |
| FIGS, Inc. (Class A) |
FIGS |
30260D103 |
14,882 |
$202,841.66 |
0.38% |
| IAMGOLD Corporation |
IAG |
450913108 |
10,853 |
$200,129.32 |
0.38% |
| Knight-Swift Transportation Holdings Inc. |
KNX |
499049104 |
3,120 |
$203,548.80 |
0.38% |
| Star Bulk Carriers Corp. |
SBLK |
Y8162K204 |
6,642 |
$204,839.28 |
0.38% |
| Steven Madden, Ltd. |
SHOO |
556269108 |
4,480 |
$204,646.40 |
0.38% |
| Ultra Clean Holdings, Inc. |
UCTT |
90385V107 |
2,727 |
$201,852.54 |
0.38% |
| Andersen Group Inc. (Class A) |
ANDG |
033853102 |
3,533 |
$197,848.00 |
0.37% |
| Federal Signal Corporation |
FSS |
313855108 |
1,677 |
$195,253.11 |
0.37% |
| Garrett Motion Inc. |
GTX |
366505105 |
7,310 |
$195,030.80 |
0.37% |
| Immunome, Inc. |
IMNM |
45257U108 |
9,232 |
$195,441.44 |
0.37% |
| Ryan Specialty Holdings, Inc. (Class A) |
RYAN |
78351F107 |
5,185 |
$196,926.30 |
0.37% |
| Axogen, Inc. |
AXGN |
05463X106 |
5,226 |
$194,511.72 |
0.36% |
| Celldex Therapeutics Inc. |
CLDX |
15117B202 |
5,867 |
$191,205.53 |
0.36% |
| Webull Corporation (Class A) |
BULL |
G9572D103 |
26,401 |
$194,311.36 |
0.36% |
| Ambarella, Inc. |
AMBA |
G037AX101 |
2,728 |
$186,213.28 |
0.35% |
| Lithia Motors, Inc. |
LAD |
536797103 |
617 |
$186,951.00 |
0.35% |
| Neptune Insurance Holdings Inc. (Class A) |
NP |
64073B103 |
6,819 |
$184,931.28 |
0.35% |
| Kornit Digital Ltd. |
KRNT |
M6372Q113 |
9,870 |
$179,930.10 |
0.34% |
| Power Integrations, Inc. |
POWI |
739276103 |
3,290 |
$178,844.40 |
0.34% |
| Sportradar Group AG (Class A) |
SRAD |
H8088L103 |
15,033 |
$181,598.64 |
0.34% |
| TAT Technologies Ltd. |
TATT |
M8740S227 |
5,455 |
$180,560.50 |
0.34% |
| AAON, Inc. |
AAON |
000360206 |
2,103 |
$177,388.05 |
0.33% |
| Braze, Inc. (Class A) |
BRZE |
10576N102 |
6,705 |
$178,420.05 |
0.33% |
| Generac Holdings Inc. |
GNRC |
368736104 |
812 |
$174,742.40 |
0.33% |
| Global-E Online Ltd. |
GLBE |
M5216V106 |
4,477 |
$178,005.52 |
0.33% |
| Rush Street Interactive, Inc. |
RSI |
782011100 |
8,365 |
$175,581.35 |
0.33% |
| The Vita Coco Company, Inc. |
COCO |
92846Q107 |
3,229 |
$178,628.28 |
0.33% |
| Aehr Test Systems, Inc. |
AEHR |
00760J108 |
1,619 |
$169,023.60 |
0.32% |
| American Superconductor Corporation |
AMSC |
030111207 |
5,684 |
$170,406.32 |
0.32% |
| Enova International, Inc. |
ENVA |
29357K103 |
946 |
$168,388.00 |
0.32% |
| InterDigital, Inc. |
IDCC |
45867G101 |
512 |
$173,153.28 |
0.32% |
| Lindsay Corporation |
LNN |
535555106 |
1,478 |
$169,068.42 |
0.32% |
| Titan Machinery Inc. |
TITN |
88830R101 |
6,663 |
$168,773.79 |
0.32% |
| Zurn Elkay Water Solutions Corp. |
ZWS |
98983L108 |
3,390 |
$162,686.10 |
0.31% |
| Arrowhead Pharmaceuticals, Inc. |
ARWR |
04280A100 |
2,524 |
$157,371.40 |
0.30% |
| Cogent Biosciences, Inc. |
COGT |
19240Q201 |
5,257 |
$162,283.59 |
0.30% |
| Commvault Systems, Inc. |
CVLT |
204166102 |
1,044 |
$160,494.12 |
0.30% |
| Madrigal Pharmaceuticals, Inc. |
MDGL |
558868105 |
325 |
$160,426.50 |
0.30% |
| Sterling Infrastructure, Inc. |
STRL |
859241101 |
307 |
$160,662.31 |
0.30% |
| Terex Corporation |
TEX |
880779103 |
2,811 |
$159,945.90 |
0.30% |
| Veracyte, Inc. |
VCYT |
92337F107 |
3,332 |
$158,836.44 |
0.30% |
| Bullish |
BLSH |
G16910120 |
4,497 |
$154,471.95 |
0.29% |
| Freshpet, Inc. |
FRPT |
358039105 |
2,563 |
$157,188.79 |
0.29% |
| James Hardie Industries plc |
JHX |
G4253H101 |
6,184 |
$155,836.80 |
0.29% |
| Park Aerospace Corp. |
PKE |
70014A104 |
5,060 |
$152,053.00 |
0.29% |
| SiteOne Landscape Supply, Inc. |
SITE |
82982L103 |
1,791 |
$156,999.06 |
0.29% |
| Antero Resources Corporation |
AR |
03674X106 |
4,310 |
$149,513.90 |
0.28% |
| DPC Holdings Plc |
DPC |
G2R11M108 |
3,677 |
$151,713.02 |
0.28% |
| Hut 8 Corp. |
HUT |
44812J104 |
1,670 |
$149,080.90 |
0.28% |
| Innovex International, Inc. |
INVX |
457651107 |
5,226 |
$148,470.66 |
0.28% |
| Marriott Vacations Worldwide Corporation |
VAC |
57164Y107 |
1,442 |
$146,983.06 |
0.28% |
| Mercury Systems, Inc. |
MRCY |
589378108 |
1,781 |
$147,716.14 |
0.28% |
| Alkermes Plc |
ALKS |
G01767105 |
3,354 |
$143,417.04 |
0.27% |
| Bright Horizons Family Solutions Inc. |
BFAM |
109194100 |
2,207 |
$141,711.47 |
0.27% |
| Harley-Davidson, Inc. |
HOG |
412822108 |
5,560 |
$145,616.40 |
0.27% |
| Mirion Technologies, Inc. |
MIR |
60471A101 |
9,765 |
$145,693.80 |
0.27% |
| Oceaneering International, Inc. |
OII |
675232102 |
3,102 |
$141,637.32 |
0.27% |
| Champion Homes Inc. |
SKY |
830830105 |
1,619 |
$138,845.44 |
0.26% |
| ExlService Holdings, Inc. |
EXLS |
302081104 |
3,900 |
$140,010.00 |
0.26% |
| Scorpio Tankers Inc. |
STNG |
Y7542C130 |
1,589 |
$137,305.49 |
0.26% |
| Gulfport Energy Corporation |
GPOR |
402635502 |
854 |
$134,795.36 |
0.25% |
| Installed Building Products, Inc. |
IBP |
45780R101 |
687 |
$131,292.57 |
0.25% |
| Kodiak Gas Services, Inc. |
KGS |
50012A108 |
2,478 |
$132,721.68 |
0.25% |
| OPENLANE Inc. |
OPLN |
48238T109 |
3,842 |
$135,699.44 |
0.25% |
| CSW Industrials, Inc. |
CSW |
126402106 |
430 |
$129,855.70 |
0.24% |
| ESCO Technologies Inc. |
ESE |
296315104 |
467 |
$126,986.64 |
0.24% |
| Rush Enterprises, Inc. (Class A) |
RUSHA |
781846209 |
2,703 |
$127,473.48 |
0.24% |
| Construction Partners, Inc. (Class A) |
ROAD |
21044C107 |
1,327 |
$120,093.50 |
0.23% |
| Heartflow, Inc. |
HTFL |
42238D107 |
2,387 |
$124,625.27 |
0.23% |
| Helmerich & Payne, Inc. |
HP |
423452101 |
3,078 |
$123,520.14 |
0.23% |
| Perimeter Solutions, Inc. |
PRM |
71385M107 |
4,447 |
$124,827.29 |
0.23% |
| Tarsus Pharmaceuticals, Inc. |
TARS |
87650L103 |
1,650 |
$122,850.75 |
0.23% |
| The Timken Company |
TKR |
887389104 |
1,031 |
$123,709.69 |
0.23% |
| Modine Manufacturing Company |
MOD |
607828100 |
642 |
$117,428.22 |
0.22% |
| The Cheesecake Factory Incorporated |
CAKE |
163072101 |
1,061 |
$115,680.83 |
0.22% |
| Dianthus Therapeutics, Inc. |
DNTH |
252828108 |
1,229 |
$108,201.16 |
0.20% |
| Cactus, Inc. (Class A) |
WHD |
127203107 |
1,586 |
$102,693.50 |
0.19% |
| Figure Technology Solutions, Inc. (Class A) |
FIGR |
349381103 |
3,592 |
$100,360.48 |
0.19% |
| First Advantage Corporation |
FA |
31846B108 |
5,536 |
$101,696.32 |
0.19% |
| Uranium Energy Corp. |
UEC |
916896103 |
11,101 |
$103,794.35 |
0.19% |
| AtriCure, Inc. |
ATRC |
04963C209 |
1,641 |
$92,503.17 |
0.17% |
| Eos Energy Enterprises, Inc. |
EOSE |
29415C101 |
27,708 |
$90,605.16 |
0.17% |
| Navan, Inc. (Class A) |
NAVN |
639193101 |
4,162 |
$90,898.08 |
0.17% |
| Vishay Precision Group, Inc. |
VPG |
92835K103 |
1,187 |
$92,657.22 |
0.17% |
| Crocs, Inc. |
CROX |
227046109 |
724 |
$85,569.56 |
0.16% |
| Toast, Inc. (Class A) |
TOST |
888787108 |
2,894 |
$86,935.76 |
0.16% |
| YETI Holdings, Inc. |
YETI |
98585X104 |
2,078 |
$84,200.56 |
0.16% |
| Red Violet, Inc. |
RDVT |
75704L104 |
1,020 |
$81,487.80 |
0.15% |
| Cardinal Infrastructure Group Inc. (Class A) |
CDNL |
14154A102 |
2,663 |
$76,454.73 |
0.14% |
| Structure Therapeutics Inc. |
GPCR |
86366E106 |
2,704 |
$74,603.36 |
0.14% |
| Universal Technical Institute, Inc. |
UTI |
913915104 |
2,730 |
$52,334.10 |
0.10% |
| Gentherm Incorporated |
THRM |
37253A103 |
286 |
$9,217.79 |
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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