|
|
 |
|
Holdings of the Fund as of 10/6/2026
Total Number of Holdings (excluding cash): 205
| Xometry, Inc. (Class A) |
XMTR |
98423F109 |
9,649 |
$1,067,758.34 |
2.02% |
| Twist Bioscience Corporation |
TWST |
90184D100 |
5,865 |
$979,279.05 |
1.85% |
| Zeta Global Holdings Corp. (Class A) |
ZETA |
98956A105 |
25,691 |
$846,518.45 |
1.60% |
| JFrog Ltd. |
FROG |
M6191J100 |
7,873 |
$775,569.23 |
1.47% |
| FirstCash Holdings, Inc. |
FCFS |
33768G107 |
3,443 |
$733,359.00 |
1.39% |
| Travere Therapeutics, Inc. |
TVTX |
89422G107 |
12,888 |
$721,470.24 |
1.37% |
| Guardant Health, Inc. |
GH |
40131M109 |
4,204 |
$717,580.76 |
1.36% |
| Varonis Systems, Inc. |
VRNS |
922280102 |
13,442 |
$659,733.36 |
1.25% |
| Rubrik, Inc. (Class A) |
RBRK |
781154109 |
5,071 |
$637,931.80 |
1.21% |
| Protagonist Therapeutics, Inc. |
PTGX |
74366E102 |
4,201 |
$582,636.69 |
1.10% |
| Ligand Pharmaceuticals Inc. (Class B) |
LGND |
53220K504 |
1,874 |
$556,465.56 |
1.05% |
| Silicon Motion Technology Corporation (ADR) |
SIMO |
82706C108 |
1,899 |
$541,139.04 |
1.02% |
| Halozyme Therapeutics, Inc. |
HALO |
40637H109 |
4,810 |
$527,753.20 |
1.00% |
| SailPoint, Inc. |
SAIL |
78781J109 |
26,171 |
$521,064.61 |
0.99% |
| VSE Corporation |
VSEC |
918284100 |
3,119 |
$525,489.12 |
0.99% |
| Repligen Corporation |
RGEN |
759916109 |
2,832 |
$495,203.52 |
0.94% |
| Spyre Therapeutics, Inc. |
SYRE |
00773J202 |
6,084 |
$487,389.24 |
0.92% |
| EZCORP, Inc. |
EZPW |
302301106 |
15,075 |
$465,063.75 |
0.88% |
| Praxis Precision Medicines, Inc. |
PRAX |
74006W207 |
1,660 |
$465,032.40 |
0.88% |
| Ollie's Bargain Outlet Holdings, Inc. |
OLLI |
681116109 |
5,164 |
$453,141.00 |
0.86% |
| MaxLinear, Inc. |
MXL |
57776J100 |
4,068 |
$444,632.40 |
0.84% |
| Exelixis, Inc. |
EXEL |
30161Q104 |
7,267 |
$423,884.11 |
0.80% |
| MACOM Technology Solutions Holdings, Inc. |
MTSI |
55405Y100 |
1,208 |
$423,609.36 |
0.80% |
| Definium Therapeutics Inc. |
DFTX |
24477V105 |
11,714 |
$417,252.68 |
0.79% |
| Edgewise Therapeutics, Inc. |
EWTX |
28036F105 |
10,276 |
$411,245.52 |
0.78% |
| Manhattan Associates, Inc. |
MANH |
562750109 |
1,999 |
$405,477.16 |
0.77% |
| Virtu Financial, Inc. (Class A) |
VIRT |
928254101 |
6,580 |
$405,459.60 |
0.77% |
| DigitalOcean Holdings, Inc. |
DOCN |
25402D102 |
3,062 |
$401,152.62 |
0.76% |
| US Dollar |
$USD |
|
396,869 |
$396,869.38 |
0.75% |
| Fastly, Inc. (Class A) |
FSLY |
31188V100 |
15,197 |
$387,675.47 |
0.73% |
| RBC Bearings Incorporated |
RBC |
75524B104 |
750 |
$385,635.00 |
0.73% |
| WisdomTree, Inc. |
WT |
97717P104 |
15,530 |
$375,515.40 |
0.71% |
| Acadian Asset Management Inc. |
AAMI |
10948W103 |
3,982 |
$372,277.18 |
0.70% |
| BioLife Solutions, Inc. |
BLFS |
09062W204 |
9,807 |
$357,563.22 |
0.68% |
| Herc Holdings, Inc. |
HRI |
42704L104 |
2,652 |
$357,303.96 |
0.68% |
| Bandwidth Inc. (Class A) |
BAND |
05988J103 |
5,855 |
$351,826.95 |
0.67% |
| ICON Plc |
ICLR |
G4705A100 |
2,082 |
$336,638.58 |
0.64% |
| Life Time Group Holdings, Inc. |
LTH |
53190C102 |
8,398 |
$339,111.24 |
0.64% |
| Lattice Semiconductor Corporation |
LSCC |
518415104 |
2,436 |
$327,568.92 |
0.62% |
| Powell Industries, Inc. |
POWL |
739128106 |
1,603 |
$328,118.07 |
0.62% |
| AeroVironment, Inc. |
AVAV |
008073108 |
2,228 |
$319,807.12 |
0.61% |
| Boot Barn Holdings, Inc. |
BOOT |
099406100 |
2,603 |
$323,604.96 |
0.61% |
| Encore Capital Group, Inc. |
ECPG |
292554102 |
3,269 |
$324,252.11 |
0.61% |
| Leonardo DRS, Inc. |
DRS |
52661A108 |
8,828 |
$324,693.84 |
0.61% |
| First Watch Restaurant Group, Inc. |
FWRG |
33748L101 |
29,775 |
$315,912.75 |
0.60% |
| Glaukos Corporation |
GKOS |
377322102 |
1,956 |
$316,070.04 |
0.60% |
| Five9, Inc. |
FIVN |
338307101 |
9,379 |
$312,226.91 |
0.59% |
| Medpace Holdings, Inc. |
MEDP |
58506Q109 |
521 |
$314,110.90 |
0.59% |
| Piper Sandler Companies |
PIPR |
724078209 |
4,747 |
$311,688.02 |
0.59% |
| Semtech Corporation |
SMTC |
816850101 |
1,581 |
$311,773.20 |
0.59% |
| Kymera Therapeutics, Inc. |
KYMR |
501575104 |
2,914 |
$308,825.72 |
0.58% |
| Netskope, Inc. (Class A) |
NTSK |
64119N608 |
15,533 |
$305,068.12 |
0.58% |
| Wingstop Inc. |
WING |
974155103 |
2,707 |
$303,725.40 |
0.58% |
| Magnolia Oil & Gas Corporation (Class A) |
MGY |
559663109 |
12,597 |
$301,572.18 |
0.57% |
| Five Below, Inc. |
FIVE |
33829M101 |
1,416 |
$297,246.72 |
0.56% |
| HealthEquity, Inc. |
HQY |
42226A107 |
3,248 |
$295,730.40 |
0.56% |
| iRhythm Holdings, Inc. |
IRTC |
450056106 |
2,748 |
$294,585.60 |
0.56% |
| Septerna, Inc. |
SEPN |
81734D104 |
8,223 |
$293,314.41 |
0.56% |
| The Chefs' Warehouse, Inc. |
CHEF |
163086101 |
2,600 |
$289,146.00 |
0.55% |
| Dave Inc. (Class A) |
DAVE |
23834J201 |
834 |
$286,178.76 |
0.54% |
| Everpure, Inc. (Class A) |
P |
74624M102 |
1,936 |
$284,979.20 |
0.54% |
| nLight, Inc. |
LASR |
65487K100 |
7,017 |
$280,890.51 |
0.53% |
| Onto Innovation Inc. |
ONTO |
683344105 |
891 |
$279,515.61 |
0.53% |
| PTC Therapeutics, Inc. |
PTCT |
69366J200 |
4,412 |
$281,044.40 |
0.53% |
| Scholar Rock Holding Corporation |
SRRK |
80706P103 |
6,582 |
$279,405.90 |
0.53% |
| Supernus Pharmaceuticals, Inc. |
SUPN |
868459108 |
6,517 |
$279,123.11 |
0.53% |
| Victoria's Secret & Co. |
VSXY |
926400102 |
3,295 |
$280,371.55 |
0.53% |
| AXT, Inc. |
AXTI |
00246W103 |
3,245 |
$272,774.70 |
0.52% |
| IMAX Corporation |
IMAX |
45245E109 |
5,441 |
$275,205.78 |
0.52% |
| The Descartes Systems Group Inc. |
DSGX |
249906108 |
3,519 |
$276,663.78 |
0.52% |
| Karman Holdings Inc. |
KRMN |
485924104 |
8,058 |
$268,250.82 |
0.51% |
| Kratos Defense & Security Solutions, Inc. |
KTOS |
50077B207 |
6,163 |
$269,384.73 |
0.51% |
| Rambus Inc. |
RMBS |
750917106 |
2,374 |
$270,849.66 |
0.51% |
| Xenon Pharmaceuticals Inc. |
XENE |
98420N105 |
7,323 |
$267,802.11 |
0.51% |
| CECO Environmental Corp. |
CECO |
125141101 |
3,487 |
$263,094.15 |
0.50% |
| Sitime Corporation |
SITM |
82982T106 |
375 |
$266,647.50 |
0.50% |
| Viper Energy, Inc. (Class A) |
VNOM |
64361Q101 |
6,351 |
$264,138.09 |
0.50% |
| Genius Sports Limited |
GENI |
G3934V109 |
41,518 |
$258,241.96 |
0.49% |
| Guidewire Software, Inc. |
GWRE |
40171V100 |
1,582 |
$260,270.64 |
0.49% |
| Remitly Global, Inc. |
RELY |
75960P104 |
11,266 |
$261,371.20 |
0.49% |
| Moog Inc. |
MOG/A |
615394202 |
677 |
$254,375.98 |
0.48% |
| SentinelOne, Inc. (Class A) |
S |
81730H109 |
9,807 |
$253,020.60 |
0.48% |
| Paymentus Holdings, Inc. (Class A) |
PAY |
70439P108 |
7,902 |
$250,572.42 |
0.47% |
| Tidewater Inc. |
TDW |
88642R109 |
3,052 |
$250,477.64 |
0.47% |
| Adaptive Biotechnologies Corporation |
ADPT |
00650F109 |
9,022 |
$242,691.80 |
0.46% |
| Agilysys, Inc. |
AGYS |
00847J105 |
2,436 |
$240,652.44 |
0.46% |
| Amylyx Pharmaceuticals, Inc. |
AMLX |
03237H101 |
8,646 |
$242,433.84 |
0.46% |
| Balchem Corporation |
BCPC |
057665200 |
1,437 |
$237,521.73 |
0.45% |
| BWX Technologies, Inc. |
BWXT |
05605H100 |
1,624 |
$236,616.80 |
0.45% |
| Customers Bancorp, Inc. |
CUBI |
23204G100 |
3,176 |
$238,200.00 |
0.45% |
| Flywire Corporation |
FLYW |
302492103 |
12,943 |
$235,756.75 |
0.45% |
| Natera, Inc. |
NTRA |
632307104 |
596 |
$238,787.40 |
0.45% |
| Palomar Holdings, Inc. |
PLMR |
69753M105 |
1,874 |
$237,773.12 |
0.45% |
| TechnipFMC Plc |
FTI |
G87110105 |
3,415 |
$238,674.35 |
0.45% |
| Camtek Ltd. |
CAMT |
M20791105 |
1,499 |
$231,670.45 |
0.44% |
| Cognex Corporation |
CGNX |
192422103 |
3,415 |
$226,585.25 |
0.43% |
| Fabrinet |
FN |
G3323L100 |
458 |
$224,035.28 |
0.42% |
| Globus Medical, Inc. (Class A) |
GMED |
379577208 |
2,873 |
$219,583.39 |
0.42% |
| MAXIMUS, Inc. |
MMS |
577933104 |
4,060 |
$222,000.80 |
0.42% |
| Robert Half Inc. |
RHI |
770323103 |
6,629 |
$223,198.43 |
0.42% |
| Sezzle Inc. |
SEZL |
78435P105 |
1,982 |
$223,648.88 |
0.42% |
| Viavi Solutions Inc. |
VIAV |
925550105 |
4,602 |
$221,540.28 |
0.42% |
| Compass, Inc. (Class A) |
COMP |
20464U100 |
23,057 |
$214,199.53 |
0.41% |
| Impinj, Inc. |
PI |
453204109 |
1,166 |
$214,730.56 |
0.41% |
| Amprius Technologies, Inc. |
AMPX |
03214Q108 |
22,196 |
$210,196.12 |
0.40% |
| Archrock, Inc. |
AROC |
03957W106 |
6,830 |
$210,568.90 |
0.40% |
| Axsome Therapeutics, Inc. |
AXSM |
05464T104 |
1,206 |
$210,254.04 |
0.40% |
| FIGS, Inc. (Class A) |
FIGS |
30260D103 |
14,882 |
$209,836.20 |
0.40% |
| AGCO Corporation |
AGCO |
001084102 |
1,784 |
$207,282.96 |
0.39% |
| Almonty Industries Inc. |
ALM |
020398707 |
15,869 |
$206,931.76 |
0.39% |
| Elastic N.V. |
ESTC |
N14506104 |
2,179 |
$206,133.40 |
0.39% |
| Steven Madden, Ltd. |
SHOO |
556269108 |
4,480 |
$204,198.40 |
0.39% |
| StoneX Group Inc. |
SNEX |
861896108 |
3,123 |
$206,118.00 |
0.39% |
| Andersen Group Inc. (Class A) |
ANDG |
033853102 |
3,533 |
$201,804.96 |
0.38% |
| e.l.f. Beauty, Inc. |
ELF |
26856L103 |
1,954 |
$200,851.66 |
0.38% |
| Federal Signal Corporation |
FSS |
313855108 |
1,677 |
$198,120.78 |
0.38% |
| IAMGOLD Corporation |
IAG |
450913108 |
10,853 |
$201,323.15 |
0.38% |
| Knight-Swift Transportation Holdings Inc. |
KNX |
499049104 |
3,120 |
$201,645.60 |
0.38% |
| Ryan Specialty Holdings, Inc. (Class A) |
RYAN |
78351F107 |
5,185 |
$198,585.50 |
0.38% |
| Star Bulk Carriers Corp. |
SBLK |
Y8162K204 |
6,642 |
$198,330.12 |
0.38% |
| Ultra Clean Holdings, Inc. |
UCTT |
90385V107 |
2,727 |
$199,725.48 |
0.38% |
| Axogen, Inc. |
AXGN |
05463X106 |
5,226 |
$189,756.06 |
0.36% |
| Garrett Motion Inc. |
GTX |
366505105 |
7,310 |
$190,717.90 |
0.36% |
| Webull Corporation (Class A) |
BULL |
G9572D103 |
26,401 |
$192,199.28 |
0.36% |
| AAON, Inc. |
AAON |
000360206 |
2,103 |
$185,211.21 |
0.35% |
| Ambarella, Inc. |
AMBA |
G037AX101 |
2,728 |
$185,340.32 |
0.35% |
| Neptune Insurance Holdings Inc. (Class A) |
NP |
64073B103 |
6,819 |
$185,408.61 |
0.35% |
| Sportradar Group AG (Class A) |
SRAD |
H8088L103 |
15,033 |
$183,101.94 |
0.35% |
| TAT Technologies Ltd. |
TATT |
M8740S227 |
5,455 |
$182,687.95 |
0.35% |
| American Superconductor Corporation |
AMSC |
030111207 |
5,684 |
$181,035.40 |
0.34% |
| Celldex Therapeutics Inc. |
CLDX |
15117B202 |
5,867 |
$181,906.35 |
0.34% |
| Generac Holdings Inc. |
GNRC |
368736104 |
812 |
$181,579.44 |
0.34% |
| Immunome, Inc. |
IMNM |
45257U108 |
9,232 |
$178,269.92 |
0.34% |
| Kornit Digital Ltd. |
KRNT |
M6372Q113 |
9,870 |
$179,140.50 |
0.34% |
| Lithia Motors, Inc. |
LAD |
536797103 |
617 |
$180,478.67 |
0.34% |
| Braze, Inc. (Class A) |
BRZE |
10576N102 |
6,705 |
$176,609.70 |
0.33% |
| Enova International, Inc. |
ENVA |
29357K103 |
946 |
$173,004.48 |
0.33% |
| Global-E Online Ltd. |
GLBE |
M5216V106 |
4,477 |
$173,259.90 |
0.33% |
| InterDigital, Inc. |
IDCC |
45867G101 |
512 |
$173,716.48 |
0.33% |
| Power Integrations, Inc. |
POWI |
739276103 |
3,290 |
$175,686.00 |
0.33% |
| Rush Street Interactive, Inc. |
RSI |
782011100 |
8,365 |
$171,984.40 |
0.33% |
| Sterling Infrastructure, Inc. |
STRL |
859241101 |
307 |
$173,052.83 |
0.33% |
| The Vita Coco Company, Inc. |
COCO |
92846Q107 |
3,229 |
$175,915.92 |
0.33% |
| Lindsay Corporation |
LNN |
535555106 |
1,478 |
$169,570.94 |
0.32% |
| Titan Machinery Inc. |
TITN |
88830R101 |
6,663 |
$167,907.60 |
0.32% |
| Commvault Systems, Inc. |
CVLT |
204166102 |
1,044 |
$161,799.12 |
0.31% |
| Madrigal Pharmaceuticals, Inc. |
MDGL |
558868105 |
325 |
$161,346.25 |
0.31% |
| SiteOne Landscape Supply, Inc. |
SITE |
82982L103 |
1,791 |
$162,031.77 |
0.31% |
| Zurn Elkay Water Solutions Corp. |
ZWS |
98983L108 |
3,390 |
$162,211.50 |
0.31% |
| Cogent Biosciences, Inc. |
COGT |
19240Q201 |
5,257 |
$159,707.66 |
0.30% |
| Freshpet, Inc. |
FRPT |
358039105 |
2,563 |
$160,879.51 |
0.30% |
| James Hardie Industries plc |
JHX |
G4253H101 |
6,184 |
$157,877.52 |
0.30% |
| Mirion Technologies, Inc. |
MIR |
60471A101 |
9,765 |
$158,876.55 |
0.30% |
| Terex Corporation |
TEX |
880779103 |
2,811 |
$159,580.47 |
0.30% |
| Antero Resources Corporation |
AR |
03674X106 |
4,310 |
$153,953.20 |
0.29% |
| Arrowhead Pharmaceuticals, Inc. |
ARWR |
04280A100 |
2,524 |
$155,326.96 |
0.29% |
| DPC Holdings Plc |
DPC |
G2R11M108 |
3,677 |
$154,470.77 |
0.29% |
| Hut 8 Corp. |
HUT |
44812J104 |
1,670 |
$154,007.40 |
0.29% |
| Marriott Vacations Worldwide Corporation |
VAC |
57164Y107 |
1,442 |
$150,789.94 |
0.29% |
| Park Aerospace Corp. |
PKE |
70014A104 |
5,060 |
$152,103.60 |
0.29% |
| Aehr Test Systems, Inc. |
AEHR |
00760J108 |
1,619 |
$149,174.66 |
0.28% |
| Bright Horizons Family Solutions Inc. |
BFAM |
109194100 |
2,207 |
$146,588.94 |
0.28% |
| Bullish |
BLSH |
G16910120 |
4,497 |
$150,109.86 |
0.28% |
| Harley-Davidson, Inc. |
HOG |
412822108 |
5,560 |
$149,786.40 |
0.28% |
| Mercury Systems, Inc. |
MRCY |
589378108 |
1,781 |
$147,466.80 |
0.28% |
| Veracyte, Inc. |
VCYT |
92337F107 |
3,332 |
$148,773.80 |
0.28% |
| Innovex International, Inc. |
INVX |
457651107 |
5,226 |
$144,342.12 |
0.27% |
| Alkermes Plc |
ALKS |
G01767105 |
3,354 |
$139,694.10 |
0.26% |
| Champion Homes Inc. |
SKY |
830830105 |
1,619 |
$139,055.91 |
0.26% |
| ExlService Holdings, Inc. |
EXLS |
302081104 |
3,900 |
$138,099.00 |
0.26% |
| Gulfport Energy Corporation |
GPOR |
402635502 |
854 |
$137,698.96 |
0.26% |
| Kodiak Gas Services, Inc. |
KGS |
50012A108 |
2,478 |
$138,495.42 |
0.26% |
| Oceaneering International, Inc. |
OII |
675232102 |
3,102 |
$139,496.94 |
0.26% |
| Scorpio Tankers Inc. |
STNG |
Y7542C130 |
1,589 |
$137,019.47 |
0.26% |
| Installed Building Products, Inc. |
IBP |
45780R101 |
687 |
$132,487.95 |
0.25% |
| OPENLANE Inc. |
OPLN |
48238T109 |
3,842 |
$134,316.32 |
0.25% |
| Construction Partners, Inc. (Class A) |
ROAD |
21044C107 |
1,327 |
$124,592.03 |
0.24% |
| CSW Industrials, Inc. |
CSW |
126402106 |
430 |
$127,662.70 |
0.24% |
| ESCO Technologies Inc. |
ESE |
296315104 |
467 |
$125,258.74 |
0.24% |
| Perimeter Solutions, Inc. |
PRM |
71385M107 |
4,447 |
$127,273.14 |
0.24% |
| Rush Enterprises, Inc. (Class A) |
RUSHA |
781846209 |
2,703 |
$127,176.15 |
0.24% |
| Heartflow, Inc. |
HTFL |
42238D107 |
2,387 |
$120,997.03 |
0.23% |
| Helmerich & Payne, Inc. |
HP |
423452101 |
3,078 |
$121,919.58 |
0.23% |
| Modine Manufacturing Company |
MOD |
607828100 |
642 |
$121,922.22 |
0.23% |
| Tarsus Pharmaceuticals, Inc. |
TARS |
87650L103 |
1,650 |
$122,281.50 |
0.23% |
| The Timken Company |
TKR |
887389104 |
1,031 |
$123,245.74 |
0.23% |
| The Cheesecake Factory Incorporated |
CAKE |
163072101 |
1,061 |
$114,832.03 |
0.22% |
| Uranium Energy Corp. |
UEC |
916896103 |
11,101 |
$112,231.11 |
0.21% |
| Dianthus Therapeutics, Inc. |
DNTH |
252828108 |
1,229 |
$104,956.60 |
0.20% |
| Cactus, Inc. (Class A) |
WHD |
127203107 |
1,586 |
$101,773.62 |
0.19% |
| Figure Technology Solutions, Inc. (Class A) |
FIGR |
349381103 |
3,592 |
$98,241.20 |
0.19% |
| First Advantage Corporation |
FA |
31846B108 |
5,536 |
$102,360.64 |
0.19% |
| Vishay Precision Group, Inc. |
VPG |
92835K103 |
1,187 |
$92,479.17 |
0.18% |
| AtriCure, Inc. |
ATRC |
04963C209 |
1,641 |
$88,088.88 |
0.17% |
| Eos Energy Enterprises, Inc. |
EOSE |
29415C101 |
27,708 |
$90,328.08 |
0.17% |
| Navan, Inc. (Class A) |
NAVN |
639193101 |
4,162 |
$88,817.08 |
0.17% |
| Toast, Inc. (Class A) |
TOST |
888787108 |
2,894 |
$87,543.50 |
0.17% |
| Crocs, Inc. |
CROX |
227046109 |
724 |
$87,039.28 |
0.16% |
| YETI Holdings, Inc. |
YETI |
98585X104 |
2,078 |
$83,639.50 |
0.16% |
| Red Violet, Inc. |
RDVT |
75704L104 |
1,020 |
$79,580.40 |
0.15% |
| Cardinal Infrastructure Group Inc. (Class A) |
CDNL |
14154A102 |
2,663 |
$76,481.36 |
0.14% |
| Structure Therapeutics Inc. |
GPCR |
86366E106 |
2,704 |
$74,278.88 |
0.14% |
| Universal Technical Institute, Inc. |
UTI |
913915104 |
2,730 |
$53,699.10 |
0.10% |
| Gentherm Incorporated |
THRM |
37253A103 |
286 |
$8,865.99 |
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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