|
|
 |
|
Holdings of the Fund as of 9/15/2026
Total Number of Holdings (excluding cash): 204
| JFrog Ltd. |
FROG |
M6191J100 |
9,054 |
$858,319.20 |
1.64% |
| Xometry, Inc. (Class A) |
XMTR |
98423F109 |
9,625 |
$843,005.61 |
1.61% |
| Twist Bioscience Corporation |
TWST |
90184D100 |
5,947 |
$821,280.70 |
1.57% |
| Zeta Global Holdings Corp. (Class A) |
ZETA |
98956A105 |
26,188 |
$812,875.52 |
1.56% |
| Travere Therapeutics, Inc. |
TVTX |
89422G107 |
12,863 |
$804,066.13 |
1.54% |
| FirstCash Holdings, Inc. |
FCFS |
33768G107 |
3,441 |
$741,673.14 |
1.42% |
| Guardant Health, Inc. |
GH |
40131M109 |
4,210 |
$739,486.50 |
1.42% |
| US Dollar |
$USD |
|
617,698 |
$617,698.37 |
1.18% |
| Varonis Systems, Inc. |
VRNS |
922280102 |
12,442 |
$590,621.74 |
1.13% |
| Protagonist Therapeutics, Inc. |
PTGX |
74366E102 |
3,932 |
$563,848.80 |
1.08% |
| Spyre Therapeutics, Inc. |
SYRE |
00773J202 |
6,092 |
$554,067.40 |
1.06% |
| VSE Corporation |
VSEC |
918284100 |
3,117 |
$555,075.36 |
1.06% |
| Rubrik, Inc. (Class A) |
RBRK |
781154109 |
5,215 |
$540,013.25 |
1.03% |
| Praxis Precision Medicines, Inc. |
PRAX |
74006W207 |
1,663 |
$520,352.70 |
1.00% |
| SailPoint, Inc. |
SAIL |
78781J109 |
26,126 |
$521,997.48 |
1.00% |
| Ligand Pharmaceuticals Inc. (Class B) |
LGND |
53220K504 |
1,850 |
$512,413.00 |
0.98% |
| Repligen Corporation |
RGEN |
759916109 |
2,827 |
$493,961.71 |
0.95% |
| Halozyme Therapeutics, Inc. |
HALO |
40637H109 |
4,615 |
$490,343.75 |
0.94% |
| EZCORP, Inc. |
EZPW |
302301106 |
15,009 |
$455,373.06 |
0.87% |
| Edgewise Therapeutics, Inc. |
EWTX |
28036F105 |
10,290 |
$448,952.70 |
0.86% |
| Definium Therapeutics Inc. |
DFTX |
24477V105 |
11,730 |
$431,898.60 |
0.83% |
| Silicon Motion Technology Corporation (ADR) |
SIMO |
82706C108 |
1,818 |
$434,865.60 |
0.83% |
| Manhattan Associates, Inc. |
MANH |
562750109 |
2,017 |
$422,803.54 |
0.81% |
| Exelixis, Inc. |
EXEL |
30161Q104 |
7,255 |
$412,809.50 |
0.79% |
| Xenon Pharmaceuticals Inc. |
XENE |
98420N105 |
7,332 |
$412,644.96 |
0.79% |
| Virtu Financial, Inc. (Class A) |
VIRT |
928254101 |
6,549 |
$379,449.06 |
0.73% |
| Ollie's Bargain Outlet Holdings, Inc. |
OLLI |
681116109 |
5,135 |
$376,909.00 |
0.72% |
| Herc Holdings, Inc. |
HRI |
42704L104 |
2,652 |
$368,495.40 |
0.71% |
| Five Below, Inc. |
FIVE |
33829M101 |
1,538 |
$363,075.66 |
0.70% |
| ICON Plc |
ICLR |
G4705A100 |
2,079 |
$358,523.55 |
0.69% |
| Magnolia Oil & Gas Corporation (Class A) |
MGY |
559663109 |
12,535 |
$357,874.25 |
0.69% |
| RBC Bearings Incorporated |
RBC |
75524B104 |
749 |
$362,298.79 |
0.69% |
| BioLife Solutions, Inc. |
BLFS |
09062W204 |
9,771 |
$355,566.69 |
0.68% |
| Acadian Asset Management Inc. |
AAMI |
10948W103 |
3,987 |
$348,782.76 |
0.67% |
| AeroVironment, Inc. |
AVAV |
008073108 |
2,225 |
$349,302.75 |
0.67% |
| Life Time Group Holdings, Inc. |
LTH |
53190C102 |
8,409 |
$348,721.23 |
0.67% |
| Piper Sandler Companies |
PIPR |
724078209 |
4,719 |
$344,439.81 |
0.66% |
| Rush Street Interactive, Inc. |
RSI |
782011100 |
13,290 |
$346,470.30 |
0.66% |
| WisdomTree, Inc. |
WT |
97717P104 |
15,550 |
$343,655.00 |
0.66% |
| Glaukos Corporation |
GKOS |
377322102 |
1,959 |
$336,321.12 |
0.64% |
| Kymera Therapeutics, Inc. |
KYMR |
501575104 |
2,918 |
$330,171.70 |
0.63% |
| Scholar Rock Holding Corporation |
SRRK |
80706P103 |
6,591 |
$329,550.00 |
0.63% |
| Encore Capital Group, Inc. |
ECPG |
292554102 |
3,264 |
$322,483.20 |
0.62% |
| Genius Sports Limited |
GENI |
G3934V109 |
49,245 |
$323,047.20 |
0.62% |
| Leonardo DRS, Inc. |
DRS |
52661A108 |
8,773 |
$323,504.50 |
0.62% |
| Medpace Holdings, Inc. |
MEDP |
58506Q109 |
520 |
$322,649.60 |
0.62% |
| Septerna, Inc. |
SEPN |
81734D104 |
8,234 |
$319,973.24 |
0.61% |
| Dave Inc. (Class A) |
DAVE |
23834J201 |
835 |
$312,845.30 |
0.60% |
| Fastly, Inc. (Class A) |
FSLY |
31188V100 |
12,842 |
$312,060.60 |
0.60% |
| First Watch Restaurant Group, Inc. |
FWRG |
33748L101 |
29,622 |
$310,734.78 |
0.60% |
| Boot Barn Holdings, Inc. |
BOOT |
099406100 |
2,391 |
$306,932.67 |
0.59% |
| Five9, Inc. |
FIVN |
338307101 |
9,392 |
$310,123.84 |
0.59% |
| iRhythm Holdings, Inc. |
IRTC |
450056106 |
2,744 |
$306,998.72 |
0.59% |
| Bandwidth Inc. (Class A) |
BAND |
05988J103 |
5,863 |
$293,619.04 |
0.56% |
| Kratos Defense & Security Solutions, Inc. |
KTOS |
50077B207 |
6,132 |
$292,005.84 |
0.56% |
| PTC Therapeutics, Inc. |
PTCT |
69366J200 |
4,418 |
$290,041.70 |
0.56% |
| Viper Energy, Inc. (Class A) |
VNOM |
64361Q101 |
6,320 |
$290,467.20 |
0.56% |
| Amylyx Pharmaceuticals, Inc. |
AMLX |
03237H101 |
8,657 |
$286,979.55 |
0.55% |
| IMAX Corporation |
IMAX |
45245E109 |
5,449 |
$287,543.73 |
0.55% |
| Knight-Swift Transportation Holdings Inc. |
KNX |
499049104 |
4,229 |
$289,644.21 |
0.55% |
| MACOM Technology Solutions Holdings, Inc. |
MTSI |
55405Y100 |
1,206 |
$289,464.12 |
0.55% |
| Paymentus Holdings, Inc. (Class A) |
PAY |
70439P108 |
7,913 |
$284,947.13 |
0.55% |
| HealthEquity, Inc. |
HQY |
42226A107 |
2,931 |
$282,870.81 |
0.54% |
| Tidewater Inc. |
TDW |
88642R109 |
3,056 |
$280,510.24 |
0.54% |
| Karman Holdings Inc. |
KRMN |
485924104 |
7,421 |
$278,064.87 |
0.53% |
| Powell Industries, Inc. |
POWL |
739128106 |
1,601 |
$274,363.37 |
0.53% |
| Tenable Holdings, Inc. |
TENB |
88025T102 |
7,318 |
$278,742.62 |
0.53% |
| The Chefs' Warehouse, Inc. |
CHEF |
163086101 |
2,604 |
$277,221.84 |
0.53% |
| The Descartes Systems Group Inc. |
DSGX |
249906108 |
3,493 |
$278,671.54 |
0.53% |
| Netskope, Inc. (Class A) |
NTSK |
64119N608 |
15,466 |
$270,191.02 |
0.52% |
| TechnipFMC Plc |
FTI |
G87110105 |
3,596 |
$269,592.12 |
0.52% |
| nLight, Inc. |
LASR |
65487K100 |
6,985 |
$264,871.20 |
0.51% |
| Supernus Pharmaceuticals, Inc. |
SUPN |
868459108 |
6,486 |
$267,742.08 |
0.51% |
| Lattice Semiconductor Corporation |
LSCC |
518415104 |
2,432 |
$258,983.68 |
0.50% |
| Lithia Motors, Inc. |
LAD |
536797103 |
756 |
$261,507.96 |
0.50% |
| Wingstop Inc. |
WING |
974155103 |
2,578 |
$259,965.52 |
0.50% |
| Palomar Holdings, Inc. |
PLMR |
69753M105 |
1,850 |
$256,114.00 |
0.49% |
| Robert Half Inc. |
RHI |
770323103 |
6,637 |
$254,197.10 |
0.49% |
| Agilysys, Inc. |
AGYS |
00847J105 |
2,412 |
$252,391.68 |
0.48% |
| Arrowhead Pharmaceuticals, Inc. |
ARWR |
04280A100 |
3,535 |
$249,818.45 |
0.48% |
| Customers Bancorp, Inc. |
CUBI |
23204G100 |
3,181 |
$250,758.23 |
0.48% |
| Axsome Therapeutics, Inc. |
AXSM |
05464T104 |
1,208 |
$246,516.56 |
0.47% |
| Remitly Global, Inc. |
RELY |
75960P104 |
11,280 |
$246,242.40 |
0.47% |
| BWX Technologies, Inc. |
BWXT |
05605H100 |
1,622 |
$237,947.40 |
0.46% |
| Compass, Inc. (Class A) |
COMP |
20464U100 |
23,087 |
$239,181.32 |
0.46% |
| Moog Inc. |
MOG/A |
615394202 |
678 |
$241,842.60 |
0.46% |
| Victoria's Secret & Co. |
VSXY |
926400102 |
3,300 |
$239,514.00 |
0.46% |
| Balchem Corporation |
BCPC |
057665200 |
1,414 |
$233,691.78 |
0.45% |
| CECO Environmental Corp. |
CECO |
125141101 |
3,492 |
$235,570.32 |
0.45% |
| MAXIMUS, Inc. |
MMS |
577933104 |
4,033 |
$234,639.94 |
0.45% |
| Sezzle Inc. |
SEZL |
78435P105 |
1,985 |
$236,353.95 |
0.45% |
| Commvault Systems, Inc. |
CVLT |
204166102 |
1,607 |
$230,283.10 |
0.44% |
| Flywire Corporation |
FLYW |
302492103 |
12,963 |
$230,093.25 |
0.44% |
| SentinelOne, Inc. (Class A) |
S |
81730H109 |
9,771 |
$229,423.08 |
0.44% |
| Webull Corporation (Class A) |
BULL |
G9572D103 |
26,435 |
$228,927.10 |
0.44% |
| Celldex Therapeutics Inc. |
CLDX |
15117B202 |
5,876 |
$226,284.76 |
0.43% |
| Guidewire Software, Inc. |
GWRE |
40171V100 |
1,518 |
$225,999.84 |
0.43% |
| AGCO Corporation |
AGCO |
001084102 |
1,787 |
$221,212.73 |
0.42% |
| Enova International, Inc. |
ENVA |
29357K103 |
1,249 |
$216,838.89 |
0.42% |
| Immunome, Inc. |
IMNM |
45257U108 |
9,244 |
$221,393.80 |
0.42% |
| Onto Innovation Inc. |
ONTO |
683344105 |
892 |
$217,790.72 |
0.42% |
| Terex Corporation |
TEX |
880779103 |
3,714 |
$216,749.04 |
0.42% |
| Globus Medical, Inc. (Class A) |
GMED |
379577208 |
2,870 |
$214,360.30 |
0.41% |
| IAMGOLD Corporation |
IAG |
450913108 |
10,867 |
$213,427.88 |
0.41% |
| Park Aerospace Corp. |
PKE |
70014A104 |
6,943 |
$214,608.13 |
0.41% |
| Archrock, Inc. |
AROC |
03957W106 |
6,798 |
$207,882.84 |
0.40% |
| Natera, Inc. |
NTRA |
632307104 |
596 |
$209,064.88 |
0.40% |
| Neptune Insurance Holdings Inc. (Class A) |
NP |
64073B103 |
6,828 |
$209,551.32 |
0.40% |
| Sitime Corporation |
SITM |
82982T106 |
375 |
$206,396.25 |
0.40% |
| Star Bulk Carriers Corp. |
SBLK |
Y8162K204 |
6,651 |
$207,577.71 |
0.40% |
| Steven Madden, Ltd. |
SHOO |
556269108 |
5,187 |
$209,866.02 |
0.40% |
| StoneX Group Inc. |
SNEX |
861896108 |
3,127 |
$209,071.22 |
0.40% |
| TAT Technologies Ltd. |
TATT |
M8740S227 |
5,426 |
$206,567.82 |
0.40% |
| Amprius Technologies, Inc. |
AMPX |
03214Q108 |
22,076 |
$202,216.16 |
0.39% |
| Axogen, Inc. |
AXGN |
05463X106 |
4,573 |
$205,647.81 |
0.39% |
| Bullish |
BLSH |
G16910120 |
5,676 |
$201,270.96 |
0.39% |
| Camtek Ltd. |
CAMT |
M20791105 |
1,497 |
$201,586.02 |
0.39% |
| Cognex Corporation |
CGNX |
192422103 |
3,409 |
$201,642.35 |
0.39% |
| Impinj, Inc. |
PI |
453204109 |
1,165 |
$203,164.35 |
0.39% |
| Ryan Specialty Holdings, Inc. (Class A) |
RYAN |
78351F107 |
5,156 |
$202,115.20 |
0.39% |
| FIGS, Inc. (Class A) |
FIGS |
30260D103 |
14,901 |
$197,885.28 |
0.38% |
| Rambus Inc. |
RMBS |
750917106 |
2,370 |
$196,970.70 |
0.38% |
| Sportradar Group AG (Class A) |
SRAD |
H8088L103 |
14,967 |
$199,210.77 |
0.38% |
| Ambarella, Inc. |
AMBA |
G037AX101 |
2,994 |
$192,604.02 |
0.37% |
| Andersen Group Inc. (Class A) |
ANDG |
033853102 |
3,538 |
$191,794.98 |
0.37% |
| e.l.f. Beauty, Inc. |
ELF |
26856L103 |
1,956 |
$186,739.32 |
0.36% |
| Everpure, Inc. (Class A) |
P |
74624M102 |
1,934 |
$187,539.98 |
0.36% |
| Federal Signal Corporation |
FSS |
313855108 |
1,679 |
$189,861.32 |
0.36% |
| Garrett Motion Inc. |
GTX |
366505105 |
7,320 |
$187,611.60 |
0.36% |
| Adaptive Biotechnologies Corporation |
ADPT |
00650F109 |
6,906 |
$184,252.08 |
0.35% |
| Almonty Industries Inc. |
ALM |
020398707 |
12,913 |
$181,298.52 |
0.35% |
| The Vita Coco Company, Inc. |
COCO |
92846Q107 |
3,233 |
$180,336.74 |
0.35% |
| Lindsay Corporation |
LNN |
535555106 |
1,477 |
$175,482.37 |
0.34% |
| Perimeter Solutions, Inc. |
PRM |
71385M107 |
5,560 |
$175,473.60 |
0.34% |
| Ultra Clean Holdings, Inc. |
UCTT |
90385V107 |
2,731 |
$179,317.46 |
0.34% |
| Veracyte, Inc. |
VCYT |
92337F107 |
4,360 |
$175,010.40 |
0.34% |
| Cogent Biosciences, Inc. |
COGT |
19240Q201 |
5,264 |
$172,343.36 |
0.33% |
| DigitalOcean Holdings, Inc. |
DOCN |
25402D102 |
1,455 |
$171,471.75 |
0.33% |
| Fabrinet |
FN |
G3323L100 |
458 |
$171,708.78 |
0.33% |
| Madrigal Pharmaceuticals, Inc. |
MDGL |
558868105 |
326 |
$170,582.76 |
0.33% |
| Braze, Inc. (Class A) |
BRZE |
10576N102 |
6,653 |
$169,119.26 |
0.32% |
| InterDigital, Inc. |
IDCC |
45867G101 |
513 |
$167,279.04 |
0.32% |
| James Hardie Industries plc |
JHX |
G4253H101 |
6,174 |
$167,068.44 |
0.32% |
| MaxLinear, Inc. |
MXL |
57776J100 |
2,485 |
$166,793.20 |
0.32% |
| Antero Resources Corporation |
AR |
03674X106 |
4,137 |
$160,639.71 |
0.31% |
| Freshpet, Inc. |
FRPT |
358039105 |
2,567 |
$160,925.23 |
0.31% |
| Global-E Online Ltd. |
GLBE |
M5216V106 |
4,470 |
$163,065.60 |
0.31% |
| Titan Machinery Inc. |
TITN |
88830R101 |
6,610 |
$160,424.70 |
0.31% |
| AAON, Inc. |
AAON |
000360206 |
2,100 |
$156,072.00 |
0.30% |
| Alkermes Plc |
ALKS |
G01767105 |
3,359 |
$154,614.77 |
0.30% |
| American Superconductor Corporation |
AMSC |
030111207 |
5,655 |
$156,643.50 |
0.30% |
| Innovex International, Inc. |
INVX |
457651107 |
5,233 |
$156,728.35 |
0.30% |
| Mercury Systems, Inc. |
MRCY |
589378108 |
1,784 |
$155,225.84 |
0.30% |
| Power Integrations, Inc. |
POWI |
739276103 |
3,285 |
$158,566.95 |
0.30% |
| SiteOne Landscape Supply, Inc. |
SITE |
82982L103 |
1,788 |
$156,628.80 |
0.30% |
| Viavi Solutions Inc. |
VIAV |
925550105 |
4,573 |
$154,384.48 |
0.30% |
| Zurn Elkay Water Solutions Corp. |
ZWS |
98983L108 |
3,394 |
$156,734.92 |
0.30% |
| Harley-Davidson, Inc. |
HOG |
412822108 |
5,567 |
$153,482.19 |
0.29% |
| Kornit Digital Ltd. |
KRNT |
M6372Q113 |
9,812 |
$150,123.60 |
0.29% |
| Mirion Technologies, Inc. |
MIR |
60471A101 |
9,728 |
$152,437.76 |
0.29% |
| Bright Horizons Family Solutions Inc. |
BFAM |
109194100 |
2,203 |
$148,504.23 |
0.28% |
| DPC Holdings Plc |
DPC |
G2R11M108 |
3,682 |
$147,500.92 |
0.28% |
| Gulfport Energy Corporation |
GPOR |
402635502 |
832 |
$146,390.40 |
0.28% |
| Marriott Vacations Worldwide Corporation |
VAC |
57164Y107 |
1,445 |
$146,161.75 |
0.28% |
| ExlService Holdings, Inc. |
EXLS |
302081104 |
3,906 |
$141,748.74 |
0.27% |
| Kodiak Gas Services, Inc. |
KGS |
50012A108 |
2,482 |
$143,211.40 |
0.27% |
| ServiceTitan, Inc. (Class A) |
TTAN |
81764X103 |
2,402 |
$140,757.20 |
0.27% |
| Sterling Infrastructure, Inc. |
STRL |
859241101 |
308 |
$141,378.16 |
0.27% |
| Champion Homes Inc. |
SKY |
830830105 |
1,622 |
$137,286.08 |
0.26% |
| Generac Holdings Inc. |
GNRC |
368736104 |
790 |
$138,273.70 |
0.26% |
| Helmerich & Payne, Inc. |
HP |
423452101 |
3,082 |
$133,912.90 |
0.26% |
| Installed Building Products, Inc. |
IBP |
45780R101 |
687 |
$137,152.68 |
0.26% |
| OPENLANE Inc. |
OPLN |
48238T109 |
3,847 |
$134,221.83 |
0.26% |
| Rush Enterprises, Inc. (Class A) |
RUSHA |
781846209 |
2,707 |
$133,373.89 |
0.26% |
| Dianthus Therapeutics, Inc. |
DNTH |
252828108 |
1,232 |
$129,076.64 |
0.25% |
| Elastic N.V. |
ESTC |
N14506104 |
1,514 |
$128,932.24 |
0.25% |
| Tarsus Pharmaceuticals, Inc. |
TARS |
87650L103 |
1,652 |
$129,235.96 |
0.25% |
| Universal Technical Institute, Inc. |
UTI |
913915104 |
6,317 |
$129,814.35 |
0.25% |
| AXT, Inc. |
AXTI |
00246W103 |
2,176 |
$125,555.20 |
0.24% |
| Construction Partners, Inc. (Class A) |
ROAD |
21044C107 |
1,329 |
$126,308.16 |
0.24% |
| CSW Industrials, Inc. |
CSW |
126402106 |
431 |
$124,783.12 |
0.24% |
| ESCO Technologies Inc. |
ESE |
296315104 |
468 |
$121,722.12 |
0.23% |
| First Advantage Corporation |
FA |
31846B108 |
5,543 |
$120,005.95 |
0.23% |
| Miami International Holdings, Inc. |
MIAX |
59356Q108 |
3,092 |
$122,164.92 |
0.23% |
| The Timken Company |
TKR |
887389104 |
1,033 |
$120,385.82 |
0.23% |
| Eos Energy Enterprises, Inc. |
EOSE |
29415C101 |
27,742 |
$112,909.94 |
0.22% |
| Heartflow, Inc. |
HTFL |
42238D107 |
2,390 |
$115,508.70 |
0.22% |
| Modine Manufacturing Company |
MOD |
607828100 |
643 |
$115,013.41 |
0.22% |
| Uranium Energy Corp. |
UEC |
916896103 |
11,116 |
$113,160.88 |
0.22% |
| Cactus, Inc. (Class A) |
WHD |
127203107 |
1,589 |
$110,991.65 |
0.21% |
| YETI Holdings, Inc. |
YETI |
98585X104 |
2,798 |
$110,213.22 |
0.21% |
| Structure Therapeutics Inc. |
GPCR |
86366E106 |
2,707 |
$105,437.65 |
0.20% |
| The Cheesecake Factory Incorporated |
CAKE |
163072101 |
1,063 |
$102,823.99 |
0.20% |
| Oceaneering International, Inc. |
OII |
675232102 |
2,120 |
$101,081.60 |
0.19% |
| AtriCure, Inc. |
ATRC |
04963C209 |
1,643 |
$92,369.46 |
0.18% |
| Navan, Inc. (Class A) |
NAVN |
639193101 |
4,168 |
$93,446.56 |
0.18% |
| Toast, Inc. (Class A) |
TOST |
888787108 |
2,890 |
$92,017.60 |
0.18% |
| Cardinal Infrastructure Group Inc. (Class A) |
CDNL |
14154A102 |
2,666 |
$89,870.86 |
0.17% |
| Semtech Corporation |
SMTC |
816850101 |
590 |
$89,036.90 |
0.17% |
| Crocs, Inc. |
CROX |
227046109 |
725 |
$80,823.00 |
0.15% |
| Vishay Precision Group, Inc. |
VPG |
92835K103 |
1,185 |
$71,787.30 |
0.14% |
| Red Violet, Inc. |
RDVT |
75704L104 |
915 |
$69,732.15 |
0.13% |
| Credo Technology Group Holding Ltd |
CRDO |
G25457105 |
146 |
$21,956.94 |
0.04% |
| 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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