|
|
 |
|
Holdings of the Fund as of 9/14/2026
Total Number of Holdings (excluding cash): 204
| Travere Therapeutics, Inc. |
TVTX |
89422G107 |
12,863 |
$846,256.77 |
1.61% |
| JFrog Ltd. |
FROG |
M6191J100 |
9,054 |
$842,022.00 |
1.60% |
| Xometry, Inc. (Class A) |
XMTR |
98423F109 |
9,625 |
$818,413.75 |
1.55% |
| Zeta Global Holdings Corp. (Class A) |
ZETA |
98956A105 |
26,188 |
$812,089.88 |
1.54% |
| Twist Bioscience Corporation |
TWST |
90184D100 |
5,947 |
$801,358.25 |
1.52% |
| FirstCash Holdings, Inc. |
FCFS |
33768G107 |
3,441 |
$763,179.39 |
1.45% |
| Guardant Health, Inc. |
GH |
40131M109 |
4,210 |
$706,606.40 |
1.34% |
| US Dollar |
$USD |
|
616,586 |
$616,586.07 |
1.17% |
| Varonis Systems, Inc. |
VRNS |
922280102 |
12,442 |
$590,746.16 |
1.12% |
| VSE Corporation |
VSEC |
918284100 |
3,117 |
$584,780.37 |
1.11% |
| Protagonist Therapeutics, Inc. |
PTGX |
74366E102 |
3,932 |
$581,070.96 |
1.10% |
| Spyre Therapeutics, Inc. |
SYRE |
00773J202 |
6,092 |
$553,153.60 |
1.05% |
| Praxis Precision Medicines, Inc. |
PRAX |
74006W207 |
1,663 |
$549,704.65 |
1.04% |
| Ligand Pharmaceuticals Inc. (Class B) |
LGND |
53220K504 |
1,850 |
$519,202.50 |
0.99% |
| Rubrik, Inc. (Class A) |
RBRK |
781154109 |
5,215 |
$522,543.00 |
0.99% |
| SailPoint, Inc. |
SAIL |
78781J109 |
26,126 |
$519,384.88 |
0.99% |
| Halozyme Therapeutics, Inc. |
HALO |
40637H109 |
4,615 |
$498,143.10 |
0.95% |
| EZCORP, Inc. |
EZPW |
302301106 |
15,009 |
$484,790.70 |
0.92% |
| Definium Therapeutics Inc. |
DFTX |
24477V105 |
11,730 |
$472,132.50 |
0.90% |
| Repligen Corporation |
RGEN |
759916109 |
2,827 |
$474,936.00 |
0.90% |
| Edgewise Therapeutics, Inc. |
EWTX |
28036F105 |
10,290 |
$459,139.80 |
0.87% |
| Silicon Motion Technology Corporation (ADR) |
SIMO |
82706C108 |
1,818 |
$430,520.58 |
0.82% |
| Manhattan Associates, Inc. |
MANH |
562750109 |
2,017 |
$426,676.18 |
0.81% |
| Xenon Pharmaceuticals Inc. |
XENE |
98420N105 |
7,332 |
$426,649.08 |
0.81% |
| Exelixis, Inc. |
EXEL |
30161Q104 |
7,255 |
$407,803.55 |
0.77% |
| Ollie's Bargain Outlet Holdings, Inc. |
OLLI |
681116109 |
5,135 |
$395,497.70 |
0.75% |
| Virtu Financial, Inc. (Class A) |
VIRT |
928254101 |
6,549 |
$392,481.57 |
0.74% |
| Five Below, Inc. |
FIVE |
33829M101 |
1,538 |
$383,869.42 |
0.73% |
| Herc Holdings, Inc. |
HRI |
42704L104 |
2,652 |
$372,393.84 |
0.71% |
| RBC Bearings Incorporated |
RBC |
75524B104 |
749 |
$358,628.69 |
0.68% |
| Acadian Asset Management Inc. |
AAMI |
10948W103 |
3,987 |
$354,524.04 |
0.67% |
| ICON Plc |
ICLR |
G4705A100 |
2,079 |
$351,205.47 |
0.67% |
| Piper Sandler Companies |
PIPR |
724078209 |
4,719 |
$352,226.16 |
0.67% |
| WisdomTree, Inc. |
WT |
97717P104 |
15,550 |
$354,384.50 |
0.67% |
| BioLife Solutions, Inc. |
BLFS |
09062W204 |
9,771 |
$346,186.53 |
0.66% |
| Life Time Group Holdings, Inc. |
LTH |
53190C102 |
8,409 |
$349,225.77 |
0.66% |
| Magnolia Oil & Gas Corporation (Class A) |
MGY |
559663109 |
12,535 |
$346,216.70 |
0.66% |
| Rush Street Interactive, Inc. |
RSI |
782011100 |
13,290 |
$348,463.80 |
0.66% |
| AeroVironment, Inc. |
AVAV |
008073108 |
2,225 |
$341,315.00 |
0.65% |
| Boot Barn Holdings, Inc. |
BOOT |
099406100 |
2,391 |
$341,530.44 |
0.65% |
| Scholar Rock Holding Corporation |
SRRK |
80706P103 |
6,591 |
$341,743.35 |
0.65% |
| First Watch Restaurant Group, Inc. |
FWRG |
33748L101 |
29,622 |
$336,505.92 |
0.64% |
| Genius Sports Limited |
GENI |
G3934V109 |
49,245 |
$334,866.00 |
0.64% |
| Glaukos Corporation |
GKOS |
377322102 |
1,959 |
$335,165.31 |
0.64% |
| Kymera Therapeutics, Inc. |
KYMR |
501575104 |
2,918 |
$334,490.34 |
0.63% |
| Encore Capital Group, Inc. |
ECPG |
292554102 |
3,264 |
$325,551.36 |
0.62% |
| Septerna, Inc. |
SEPN |
81734D104 |
8,234 |
$325,654.70 |
0.62% |
| Fastly, Inc. (Class A) |
FSLY |
31188V100 |
12,842 |
$319,252.12 |
0.61% |
| iRhythm Holdings, Inc. |
IRTC |
450056106 |
2,744 |
$314,791.68 |
0.60% |
| Leonardo DRS, Inc. |
DRS |
52661A108 |
8,773 |
$315,038.43 |
0.60% |
| Medpace Holdings, Inc. |
MEDP |
58506Q109 |
520 |
$309,613.20 |
0.59% |
| Dave Inc. (Class A) |
DAVE |
23834J201 |
835 |
$305,426.30 |
0.58% |
| Five9, Inc. |
FIVN |
338307101 |
9,392 |
$298,196.00 |
0.57% |
| Paymentus Holdings, Inc. (Class A) |
PAY |
70439P108 |
7,913 |
$293,414.04 |
0.56% |
| PTC Therapeutics, Inc. |
PTCT |
69366J200 |
4,418 |
$293,708.64 |
0.56% |
| The Chefs' Warehouse, Inc. |
CHEF |
163086101 |
2,604 |
$293,835.36 |
0.56% |
| Wingstop Inc. |
WING |
974155103 |
2,578 |
$295,722.38 |
0.56% |
| Amylyx Pharmaceuticals, Inc. |
AMLX |
03237H101 |
8,657 |
$291,221.48 |
0.55% |
| IMAX Corporation |
IMAX |
45245E109 |
5,449 |
$291,140.07 |
0.55% |
| Knight-Swift Transportation Holdings Inc. |
KNX |
499049104 |
4,229 |
$289,390.47 |
0.55% |
| Kratos Defense & Security Solutions, Inc. |
KTOS |
50077B207 |
6,132 |
$291,760.56 |
0.55% |
| MACOM Technology Solutions Holdings, Inc. |
MTSI |
55405Y100 |
1,206 |
$288,981.72 |
0.55% |
| Arrowhead Pharmaceuticals, Inc. |
ARWR |
04280A100 |
3,535 |
$285,168.45 |
0.54% |
| Bandwidth Inc. (Class A) |
BAND |
05988J103 |
5,863 |
$287,111.11 |
0.54% |
| Enova International, Inc. |
ENVA |
29357K103 |
1,249 |
$283,173.28 |
0.54% |
| Viper Energy, Inc. (Class A) |
VNOM |
64361Q101 |
6,320 |
$282,124.80 |
0.54% |
| HealthEquity, Inc. |
HQY |
42226A107 |
2,931 |
$281,493.24 |
0.53% |
| The Descartes Systems Group Inc. |
DSGX |
249906108 |
3,493 |
$279,509.86 |
0.53% |
| Lithia Motors, Inc. |
LAD |
536797103 |
756 |
$272,364.12 |
0.52% |
| Powell Industries, Inc. |
POWL |
739128106 |
1,601 |
$273,290.70 |
0.52% |
| nLight, Inc. |
LASR |
65487K100 |
6,985 |
$268,573.25 |
0.51% |
| Supernus Pharmaceuticals, Inc. |
SUPN |
868459108 |
6,486 |
$269,104.14 |
0.51% |
| Tidewater Inc. |
TDW |
88642R109 |
3,056 |
$270,700.48 |
0.51% |
| Agilysys, Inc. |
AGYS |
00847J105 |
2,412 |
$263,076.84 |
0.50% |
| Axsome Therapeutics, Inc. |
AXSM |
05464T104 |
1,208 |
$261,628.64 |
0.50% |
| Netskope, Inc. (Class A) |
NTSK |
64119N608 |
15,466 |
$262,922.00 |
0.50% |
| TechnipFMC Plc |
FTI |
G87110105 |
3,596 |
$262,040.52 |
0.50% |
| Karman Holdings Inc. |
KRMN |
485924104 |
7,421 |
$257,805.54 |
0.49% |
| Lattice Semiconductor Corporation |
LSCC |
518415104 |
2,432 |
$259,008.00 |
0.49% |
| Robert Half Inc. |
RHI |
770323103 |
6,637 |
$257,051.01 |
0.49% |
| Tenable Holdings, Inc. |
TENB |
88025T102 |
7,318 |
$256,715.44 |
0.49% |
| Customers Bancorp, Inc. |
CUBI |
23204G100 |
3,181 |
$251,012.71 |
0.48% |
| Palomar Holdings, Inc. |
PLMR |
69753M105 |
1,850 |
$254,486.00 |
0.48% |
| Remitly Global, Inc. |
RELY |
75960P104 |
11,280 |
$250,980.00 |
0.48% |
| CECO Environmental Corp. |
CECO |
125141101 |
3,492 |
$246,779.64 |
0.47% |
| Compass, Inc. (Class A) |
COMP |
20464U100 |
23,087 |
$245,876.55 |
0.47% |
| Moog Inc. |
MOG/A |
615394202 |
678 |
$245,713.98 |
0.47% |
| Victoria's Secret & Co. |
VSXY |
926400102 |
3,300 |
$245,982.00 |
0.47% |
| BWX Technologies, Inc. |
BWXT |
05605H100 |
1,622 |
$240,915.66 |
0.46% |
| Sezzle Inc. |
SEZL |
78435P105 |
1,985 |
$241,316.45 |
0.46% |
| Balchem Corporation |
BCPC |
057665200 |
1,414 |
$235,897.62 |
0.45% |
| Flywire Corporation |
FLYW |
302492103 |
12,963 |
$234,630.30 |
0.45% |
| MAXIMUS, Inc. |
MMS |
577933104 |
4,033 |
$239,358.55 |
0.45% |
| Webull Corporation (Class A) |
BULL |
G9572D103 |
26,435 |
$238,972.40 |
0.45% |
| Celldex Therapeutics Inc. |
CLDX |
15117B202 |
5,876 |
$230,221.68 |
0.44% |
| Guidewire Software, Inc. |
GWRE |
40171V100 |
1,518 |
$232,254.00 |
0.44% |
| Commvault Systems, Inc. |
CVLT |
204166102 |
1,607 |
$225,317.47 |
0.43% |
| Immunome, Inc. |
IMNM |
45257U108 |
9,244 |
$226,940.20 |
0.43% |
| Onto Innovation Inc. |
ONTO |
683344105 |
892 |
$223,115.96 |
0.42% |
| SentinelOne, Inc. (Class A) |
S |
81730H109 |
9,771 |
$220,922.31 |
0.42% |
| Steven Madden, Ltd. |
SHOO |
556269108 |
5,187 |
$219,617.58 |
0.42% |
| AGCO Corporation |
AGCO |
001084102 |
1,787 |
$218,550.10 |
0.41% |
| Bullish |
BLSH |
G16910120 |
5,676 |
$213,531.12 |
0.41% |
| Globus Medical, Inc. (Class A) |
GMED |
379577208 |
2,870 |
$217,459.90 |
0.41% |
| IAMGOLD Corporation |
IAG |
450913108 |
10,867 |
$215,057.93 |
0.41% |
| Neptune Insurance Holdings Inc. (Class A) |
NP |
64073B103 |
6,828 |
$213,921.24 |
0.41% |
| StoneX Group Inc. |
SNEX |
861896108 |
3,127 |
$214,293.31 |
0.41% |
| Terex Corporation |
TEX |
880779103 |
3,714 |
$217,937.52 |
0.41% |
| FIGS, Inc. (Class A) |
FIGS |
30260D103 |
14,901 |
$208,315.98 |
0.40% |
| Park Aerospace Corp. |
PKE |
70014A104 |
6,943 |
$213,219.53 |
0.40% |
| Sitime Corporation |
SITM |
82982T106 |
375 |
$209,381.25 |
0.40% |
| TAT Technologies Ltd. |
TATT |
M8740S227 |
5,426 |
$209,552.12 |
0.40% |
| Archrock, Inc. |
AROC |
03957W106 |
6,798 |
$207,271.02 |
0.39% |
| Cognex Corporation |
CGNX |
192422103 |
3,409 |
$204,199.10 |
0.39% |
| Natera, Inc. |
NTRA |
632307104 |
596 |
$203,706.84 |
0.39% |
| Ryan Specialty Holdings, Inc. (Class A) |
RYAN |
78351F107 |
5,156 |
$204,641.64 |
0.39% |
| Star Bulk Carriers Corp. |
SBLK |
Y8162K204 |
6,651 |
$205,050.33 |
0.39% |
| Amprius Technologies, Inc. |
AMPX |
03214Q108 |
22,076 |
$202,436.92 |
0.38% |
| Andersen Group Inc. (Class A) |
ANDG |
033853102 |
3,538 |
$199,543.20 |
0.38% |
| Axogen, Inc. |
AXGN |
05463X106 |
4,573 |
$200,205.94 |
0.38% |
| Camtek Ltd. |
CAMT |
M20791105 |
1,497 |
$200,358.48 |
0.38% |
| Impinj, Inc. |
PI |
453204109 |
1,165 |
$201,649.85 |
0.38% |
| Sportradar Group AG (Class A) |
SRAD |
H8088L103 |
14,967 |
$197,564.40 |
0.37% |
| Almonty Industries Inc. |
ALM |
020398707 |
12,913 |
$189,821.10 |
0.36% |
| Ambarella, Inc. |
AMBA |
G037AX101 |
2,994 |
$191,556.12 |
0.36% |
| e.l.f. Beauty, Inc. |
ELF |
26856L103 |
1,956 |
$189,262.56 |
0.36% |
| Federal Signal Corporation |
FSS |
313855108 |
1,679 |
$190,331.44 |
0.36% |
| Garrett Motion Inc. |
GTX |
366505105 |
7,320 |
$191,820.60 |
0.36% |
| Rambus Inc. |
RMBS |
750917106 |
2,370 |
$190,524.30 |
0.36% |
| Everpure, Inc. (Class A) |
P |
74624M102 |
1,934 |
$181,370.52 |
0.34% |
| The Vita Coco Company, Inc. |
COCO |
92846Q107 |
3,233 |
$177,911.99 |
0.34% |
| Ultra Clean Holdings, Inc. |
UCTT |
90385V107 |
2,731 |
$181,311.09 |
0.34% |
| Veracyte, Inc. |
VCYT |
92337F107 |
4,360 |
$179,675.60 |
0.34% |
| Cogent Biosciences, Inc. |
COGT |
19240Q201 |
5,264 |
$175,870.24 |
0.33% |
| DigitalOcean Holdings, Inc. |
DOCN |
25402D102 |
1,455 |
$174,905.55 |
0.33% |
| Fabrinet |
FN |
G3323L100 |
458 |
$175,207.90 |
0.33% |
| InterDigital, Inc. |
IDCC |
45867G101 |
513 |
$174,614.94 |
0.33% |
| James Hardie Industries plc |
JHX |
G4253H101 |
6,174 |
$174,909.42 |
0.33% |
| Lindsay Corporation |
LNN |
535555106 |
1,477 |
$174,788.18 |
0.33% |
| Madrigal Pharmaceuticals, Inc. |
MDGL |
558868105 |
326 |
$176,059.56 |
0.33% |
| Perimeter Solutions, Inc. |
PRM |
71385M107 |
5,560 |
$173,527.60 |
0.33% |
| Adaptive Biotechnologies Corporation |
ADPT |
00650F109 |
6,906 |
$171,130.68 |
0.32% |
| Braze, Inc. (Class A) |
BRZE |
10576N102 |
6,653 |
$170,316.80 |
0.32% |
| Global-E Online Ltd. |
GLBE |
M5216V106 |
4,470 |
$167,580.30 |
0.32% |
| Freshpet, Inc. |
FRPT |
358039105 |
2,567 |
$163,697.59 |
0.31% |
| MaxLinear, Inc. |
MXL |
57776J100 |
2,485 |
$161,003.15 |
0.31% |
| AAON, Inc. |
AAON |
000360206 |
2,100 |
$158,634.00 |
0.30% |
| Antero Resources Corporation |
AR |
03674X106 |
4,137 |
$157,619.70 |
0.30% |
| Power Integrations, Inc. |
POWI |
739276103 |
3,285 |
$159,355.35 |
0.30% |
| SiteOne Landscape Supply, Inc. |
SITE |
82982L103 |
1,788 |
$159,739.92 |
0.30% |
| Titan Machinery Inc. |
TITN |
88830R101 |
6,610 |
$160,292.50 |
0.30% |
| Zurn Elkay Water Solutions Corp. |
ZWS |
98983L108 |
3,394 |
$156,429.46 |
0.30% |
| Alkermes Plc |
ALKS |
G01767105 |
3,359 |
$153,942.97 |
0.29% |
| American Superconductor Corporation |
AMSC |
030111207 |
5,655 |
$154,268.40 |
0.29% |
| Harley-Davidson, Inc. |
HOG |
412822108 |
5,567 |
$153,593.53 |
0.29% |
| Innovex International, Inc. |
INVX |
457651107 |
5,233 |
$152,175.64 |
0.29% |
| Kornit Digital Ltd. |
KRNT |
M6372Q113 |
9,812 |
$153,263.44 |
0.29% |
| Viavi Solutions Inc. |
VIAV |
925550105 |
4,573 |
$154,658.86 |
0.29% |
| Bright Horizons Family Solutions Inc. |
BFAM |
109194100 |
2,203 |
$147,314.61 |
0.28% |
| DPC Holdings Plc |
DPC |
G2R11M108 |
3,682 |
$147,132.72 |
0.28% |
| Marriott Vacations Worldwide Corporation |
VAC |
57164Y107 |
1,445 |
$147,968.00 |
0.28% |
| Mirion Technologies, Inc. |
MIR |
60471A101 |
9,728 |
$149,616.64 |
0.28% |
| Sterling Infrastructure, Inc. |
STRL |
859241101 |
308 |
$145,643.96 |
0.28% |
| ExlService Holdings, Inc. |
EXLS |
302081104 |
3,906 |
$142,373.70 |
0.27% |
| Generac Holdings Inc. |
GNRC |
368736104 |
790 |
$139,814.20 |
0.27% |
| Gulfport Energy Corporation |
GPOR |
402635502 |
832 |
$143,985.92 |
0.27% |
| Kodiak Gas Services, Inc. |
KGS |
50012A108 |
2,482 |
$140,530.84 |
0.27% |
| Mercury Systems, Inc. |
MRCY |
589378108 |
1,784 |
$144,557.52 |
0.27% |
| ServiceTitan, Inc. (Class A) |
TTAN |
81764X103 |
2,402 |
$141,693.98 |
0.27% |
| Champion Homes Inc. |
SKY |
830830105 |
1,622 |
$135,858.72 |
0.26% |
| Installed Building Products, Inc. |
IBP |
45780R101 |
687 |
$137,606.10 |
0.26% |
| OPENLANE Inc. |
OPLN |
48238T109 |
3,847 |
$136,491.56 |
0.26% |
| Dianthus Therapeutics, Inc. |
DNTH |
252828108 |
1,232 |
$132,674.08 |
0.25% |
| Helmerich & Payne, Inc. |
HP |
423452101 |
3,082 |
$131,385.66 |
0.25% |
| Miami International Holdings, Inc. |
MIAX |
59356Q108 |
3,092 |
$129,152.84 |
0.25% |
| Rush Enterprises, Inc. (Class A) |
RUSHA |
781846209 |
2,707 |
$131,641.41 |
0.25% |
| Tarsus Pharmaceuticals, Inc. |
TARS |
87650L103 |
1,652 |
$132,077.40 |
0.25% |
| AXT, Inc. |
AXTI |
00246W103 |
2,176 |
$124,162.56 |
0.24% |
| Construction Partners, Inc. (Class A) |
ROAD |
21044C107 |
1,329 |
$128,793.39 |
0.24% |
| CSW Industrials, Inc. |
CSW |
126402106 |
431 |
$126,339.03 |
0.24% |
| Elastic N.V. |
ESTC |
N14506104 |
1,514 |
$128,856.54 |
0.24% |
| Universal Technical Institute, Inc. |
UTI |
913915104 |
6,317 |
$128,424.61 |
0.24% |
| ESCO Technologies Inc. |
ESE |
296315104 |
468 |
$123,172.92 |
0.23% |
| First Advantage Corporation |
FA |
31846B108 |
5,543 |
$123,498.04 |
0.23% |
| The Timken Company |
TKR |
887389104 |
1,033 |
$120,344.50 |
0.23% |
| Heartflow, Inc. |
HTFL |
42238D107 |
2,390 |
$118,400.60 |
0.22% |
| Modine Manufacturing Company |
MOD |
607828100 |
643 |
$117,141.74 |
0.22% |
| Uranium Energy Corp. |
UEC |
916896103 |
11,116 |
$114,050.16 |
0.22% |
| YETI Holdings, Inc. |
YETI |
98585X104 |
2,798 |
$114,242.34 |
0.22% |
| The Cheesecake Factory Incorporated |
CAKE |
163072101 |
1,063 |
$111,795.71 |
0.21% |
| Cactus, Inc. (Class A) |
WHD |
127203107 |
1,589 |
$106,526.56 |
0.20% |
| Eos Energy Enterprises, Inc. |
EOSE |
29415C101 |
27,742 |
$105,974.44 |
0.20% |
| Structure Therapeutics Inc. |
GPCR |
86366E106 |
2,707 |
$104,057.08 |
0.20% |
| Oceaneering International, Inc. |
OII |
675232102 |
2,120 |
$98,707.20 |
0.19% |
| Toast, Inc. (Class A) |
TOST |
888787108 |
2,890 |
$96,208.10 |
0.18% |
| AtriCure, Inc. |
ATRC |
04963C209 |
1,643 |
$91,662.97 |
0.17% |
| Cardinal Infrastructure Group Inc. (Class A) |
CDNL |
14154A102 |
2,666 |
$89,417.64 |
0.17% |
| Navan, Inc. (Class A) |
NAVN |
639193101 |
4,168 |
$89,070.16 |
0.17% |
| Semtech Corporation |
SMTC |
816850101 |
590 |
$86,759.50 |
0.16% |
| Crocs, Inc. |
CROX |
227046109 |
725 |
$80,830.25 |
0.15% |
| Vishay Precision Group, Inc. |
VPG |
92835K103 |
1,185 |
$71,680.65 |
0.14% |
| Red Violet, Inc. |
RDVT |
75704L104 |
915 |
$69,805.35 |
0.13% |
| Credo Technology Group Holding Ltd |
CRDO |
G25457105 |
146 |
$21,913.14 |
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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