|
|
 |
|
Holdings of the Fund as of 9/22/2026
Total Number of Holdings (excluding cash): 204
| Xometry, Inc. (Class A) |
XMTR |
98423F109 |
9,625 |
$1,011,876.25 |
1.90% |
| Twist Bioscience Corporation |
TWST |
90184D100 |
5,947 |
$978,876.20 |
1.84% |
| JFrog Ltd. |
FROG |
M6191J100 |
9,054 |
$814,407.30 |
1.53% |
| Zeta Global Holdings Corp. (Class A) |
ZETA |
98956A105 |
26,188 |
$789,044.44 |
1.48% |
| Travere Therapeutics, Inc. |
TVTX |
89422G107 |
12,863 |
$775,381.64 |
1.46% |
| FirstCash Holdings, Inc. |
FCFS |
33768G107 |
3,441 |
$760,013.67 |
1.43% |
| Guardant Health, Inc. |
GH |
40131M109 |
4,210 |
$745,843.60 |
1.40% |
| US Dollar |
$USD |
|
619,054 |
$619,053.81 |
1.16% |
| Varonis Systems, Inc. |
VRNS |
922280102 |
12,442 |
$588,382.18 |
1.11% |
| Rubrik, Inc. (Class A) |
RBRK |
781154109 |
5,215 |
$583,402.05 |
1.10% |
| Protagonist Therapeutics, Inc. |
PTGX |
74366E102 |
3,932 |
$570,415.24 |
1.07% |
| VSE Corporation |
VSEC |
918284100 |
3,117 |
$571,720.14 |
1.07% |
| SailPoint, Inc. |
SAIL |
78781J109 |
26,126 |
$558,312.62 |
1.05% |
| Spyre Therapeutics, Inc. |
SYRE |
00773J202 |
6,092 |
$560,281.24 |
1.05% |
| Ligand Pharmaceuticals Inc. (Class B) |
LGND |
53220K504 |
1,850 |
$552,225.00 |
1.04% |
| Halozyme Therapeutics, Inc. |
HALO |
40637H109 |
4,615 |
$531,324.95 |
1.00% |
| Repligen Corporation |
RGEN |
759916109 |
2,827 |
$527,942.25 |
0.99% |
| Silicon Motion Technology Corporation (ADR) |
SIMO |
82706C108 |
1,818 |
$514,966.68 |
0.97% |
| Praxis Precision Medicines, Inc. |
PRAX |
74006W207 |
1,663 |
$499,980.95 |
0.94% |
| Definium Therapeutics Inc. |
DFTX |
24477V105 |
11,730 |
$472,953.60 |
0.89% |
| EZCORP, Inc. |
EZPW |
302301106 |
15,009 |
$460,926.39 |
0.87% |
| Edgewise Therapeutics, Inc. |
EWTX |
28036F105 |
10,290 |
$458,007.90 |
0.86% |
| Ollie's Bargain Outlet Holdings, Inc. |
OLLI |
681116109 |
5,135 |
$423,534.80 |
0.80% |
| Exelixis, Inc. |
EXEL |
30161Q104 |
7,255 |
$421,878.25 |
0.79% |
| Manhattan Associates, Inc. |
MANH |
562750109 |
2,017 |
$417,700.53 |
0.78% |
| Herc Holdings, Inc. |
HRI |
42704L104 |
2,652 |
$382,073.64 |
0.72% |
| BioLife Solutions, Inc. |
BLFS |
09062W204 |
9,771 |
$371,981.97 |
0.70% |
| RBC Bearings Incorporated |
RBC |
75524B104 |
749 |
$374,410.12 |
0.70% |
| Acadian Asset Management Inc. |
AAMI |
10948W103 |
3,987 |
$366,405.30 |
0.69% |
| WisdomTree, Inc. |
WT |
97717P104 |
15,550 |
$369,001.50 |
0.69% |
| Five9, Inc. |
FIVN |
338307101 |
9,392 |
$363,000.80 |
0.68% |
| Five Below, Inc. |
FIVE |
33829M101 |
1,538 |
$357,246.64 |
0.67% |
| Kymera Therapeutics, Inc. |
KYMR |
501575104 |
2,918 |
$356,171.08 |
0.67% |
| Virtu Financial, Inc. (Class A) |
VIRT |
928254101 |
6,549 |
$356,855.01 |
0.67% |
| AeroVironment, Inc. |
AVAV |
008073108 |
2,225 |
$347,433.75 |
0.65% |
| ICON Plc |
ICLR |
G4705A100 |
2,079 |
$347,421.69 |
0.65% |
| Bandwidth Inc. (Class A) |
BAND |
05988J103 |
5,863 |
$342,399.20 |
0.64% |
| Piper Sandler Companies |
PIPR |
724078209 |
4,719 |
$343,260.06 |
0.64% |
| Fastly, Inc. (Class A) |
FSLY |
31188V100 |
12,842 |
$334,919.36 |
0.63% |
| MACOM Technology Solutions Holdings, Inc. |
MTSI |
55405Y100 |
1,206 |
$337,306.14 |
0.63% |
| Scholar Rock Holding Corporation |
SRRK |
80706P103 |
6,591 |
$337,393.29 |
0.63% |
| Medpace Holdings, Inc. |
MEDP |
58506Q109 |
520 |
$327,698.80 |
0.62% |
| Septerna, Inc. |
SEPN |
81734D104 |
8,234 |
$332,488.92 |
0.62% |
| Leonardo DRS, Inc. |
DRS |
52661A108 |
8,773 |
$325,916.95 |
0.61% |
| Encore Capital Group, Inc. |
ECPG |
292554102 |
3,264 |
$320,818.56 |
0.60% |
| Life Time Group Holdings, Inc. |
LTH |
53190C102 |
8,409 |
$321,139.71 |
0.60% |
| Glaukos Corporation |
GKOS |
377322102 |
1,959 |
$313,165.74 |
0.59% |
| Boot Barn Holdings, Inc. |
BOOT |
099406100 |
2,391 |
$309,108.48 |
0.58% |
| Powell Industries, Inc. |
POWL |
739128106 |
1,601 |
$307,231.90 |
0.58% |
| First Watch Restaurant Group, Inc. |
FWRG |
33748L101 |
29,622 |
$305,699.04 |
0.57% |
| iRhythm Holdings, Inc. |
IRTC |
450056106 |
2,744 |
$303,294.32 |
0.57% |
| Magnolia Oil & Gas Corporation (Class A) |
MGY |
559663109 |
12,535 |
$301,090.70 |
0.57% |
| Genius Sports Limited |
GENI |
G3934V109 |
49,245 |
$299,409.60 |
0.56% |
| Lattice Semiconductor Corporation |
LSCC |
518415104 |
2,432 |
$297,992.96 |
0.56% |
| Dave Inc. (Class A) |
DAVE |
23834J201 |
835 |
$295,230.95 |
0.55% |
| IMAX Corporation |
IMAX |
45245E109 |
5,449 |
$292,011.91 |
0.55% |
| PTC Therapeutics, Inc. |
PTCT |
69366J200 |
4,418 |
$291,411.28 |
0.55% |
| Amylyx Pharmaceuticals, Inc. |
AMLX |
03237H101 |
8,657 |
$285,681.00 |
0.54% |
| Kratos Defense & Security Solutions, Inc. |
KTOS |
50077B207 |
6,132 |
$288,020.04 |
0.54% |
| Netskope, Inc. (Class A) |
NTSK |
64119N608 |
15,466 |
$286,894.30 |
0.54% |
| nLight, Inc. |
LASR |
65487K100 |
6,985 |
$287,782.00 |
0.54% |
| Xenon Pharmaceuticals Inc. |
XENE |
98420N105 |
7,332 |
$286,607.88 |
0.54% |
| Knight-Swift Transportation Holdings Inc. |
KNX |
499049104 |
4,229 |
$283,723.61 |
0.53% |
| Rush Street Interactive, Inc. |
RSI |
782011100 |
13,290 |
$282,013.80 |
0.53% |
| Supernus Pharmaceuticals, Inc. |
SUPN |
868459108 |
6,486 |
$283,762.50 |
0.53% |
| The Chefs' Warehouse, Inc. |
CHEF |
163086101 |
2,604 |
$282,169.44 |
0.53% |
| The Descartes Systems Group Inc. |
DSGX |
249906108 |
3,493 |
$275,457.98 |
0.52% |
| Victoria's Secret & Co. |
VSXY |
926400102 |
3,300 |
$276,606.00 |
0.52% |
| HealthEquity, Inc. |
HQY |
42226A107 |
2,931 |
$268,919.25 |
0.51% |
| Tidewater Inc. |
TDW |
88642R109 |
3,056 |
$266,360.96 |
0.50% |
| Wingstop Inc. |
WING |
974155103 |
2,578 |
$263,935.64 |
0.50% |
| Tenable Holdings, Inc. |
TENB |
88025T102 |
7,318 |
$262,789.38 |
0.49% |
| Arrowhead Pharmaceuticals, Inc. |
ARWR |
04280A100 |
3,535 |
$254,025.10 |
0.48% |
| CECO Environmental Corp. |
CECO |
125141101 |
3,492 |
$257,395.32 |
0.48% |
| Onto Innovation Inc. |
ONTO |
683344105 |
892 |
$253,158.52 |
0.48% |
| Paymentus Holdings, Inc. (Class A) |
PAY |
70439P108 |
7,913 |
$255,589.90 |
0.48% |
| TechnipFMC Plc |
FTI |
G87110105 |
3,596 |
$254,668.72 |
0.48% |
| Viper Energy, Inc. (Class A) |
VNOM |
64361Q101 |
6,320 |
$257,666.40 |
0.48% |
| Karman Holdings Inc. |
KRMN |
485924104 |
7,421 |
$248,603.50 |
0.47% |
| Moog Inc. |
MOG/A |
615394202 |
678 |
$249,388.74 |
0.47% |
| Rambus Inc. |
RMBS |
750917106 |
2,370 |
$249,418.80 |
0.47% |
| Robert Half Inc. |
RHI |
770323103 |
6,637 |
$249,418.46 |
0.47% |
| Axsome Therapeutics, Inc. |
AXSM |
05464T104 |
1,208 |
$245,344.80 |
0.46% |
| Customers Bancorp, Inc. |
CUBI |
23204G100 |
3,181 |
$246,050.35 |
0.46% |
| Palomar Holdings, Inc. |
PLMR |
69753M105 |
1,850 |
$243,349.00 |
0.46% |
| Agilysys, Inc. |
AGYS |
00847J105 |
2,412 |
$242,092.44 |
0.45% |
| Balchem Corporation |
BCPC |
057665200 |
1,414 |
$238,117.60 |
0.45% |
| Immunome, Inc. |
IMNM |
45257U108 |
9,244 |
$238,033.00 |
0.45% |
| Remitly Global, Inc. |
RELY |
75960P104 |
11,280 |
$240,038.40 |
0.45% |
| Sitime Corporation |
SITM |
82982T106 |
375 |
$237,645.00 |
0.45% |
| BWX Technologies, Inc. |
BWXT |
05605H100 |
1,622 |
$234,395.22 |
0.44% |
| Commvault Systems, Inc. |
CVLT |
204166102 |
1,607 |
$235,280.87 |
0.44% |
| Lithia Motors, Inc. |
LAD |
536797103 |
756 |
$236,113.92 |
0.44% |
| Natera, Inc. |
NTRA |
632307104 |
596 |
$232,976.40 |
0.44% |
| SentinelOne, Inc. (Class A) |
S |
81730H109 |
9,771 |
$233,038.35 |
0.44% |
| Bullish |
BLSH |
G16910120 |
5,676 |
$231,013.20 |
0.43% |
| Camtek Ltd. |
CAMT |
M20791105 |
1,497 |
$226,585.92 |
0.43% |
| Guidewire Software, Inc. |
GWRE |
40171V100 |
1,518 |
$228,398.28 |
0.43% |
| IAMGOLD Corporation |
IAG |
450913108 |
10,867 |
$227,011.63 |
0.43% |
| Steven Madden, Ltd. |
SHOO |
556269108 |
5,187 |
$230,562.15 |
0.43% |
| Compass, Inc. (Class A) |
COMP |
20464U100 |
23,087 |
$223,251.29 |
0.42% |
| Flywire Corporation |
FLYW |
302492103 |
12,963 |
$223,482.12 |
0.42% |
| MAXIMUS, Inc. |
MMS |
577933104 |
4,033 |
$222,540.94 |
0.42% |
| Amprius Technologies, Inc. |
AMPX |
03214Q108 |
22,076 |
$220,318.48 |
0.41% |
| Globus Medical, Inc. (Class A) |
GMED |
379577208 |
2,870 |
$215,795.30 |
0.41% |
| MaxLinear, Inc. |
MXL |
57776J100 |
2,485 |
$217,263.55 |
0.41% |
| Sezzle Inc. |
SEZL |
78435P105 |
1,985 |
$218,350.00 |
0.41% |
| StoneX Group Inc. |
SNEX |
861896108 |
3,127 |
$216,638.56 |
0.41% |
| Terex Corporation |
TEX |
880779103 |
3,714 |
$218,346.06 |
0.41% |
| AGCO Corporation |
AGCO |
001084102 |
1,787 |
$215,601.55 |
0.40% |
| DigitalOcean Holdings, Inc. |
DOCN |
25402D102 |
1,455 |
$212,430.00 |
0.40% |
| Enova International, Inc. |
ENVA |
29357K103 |
1,249 |
$211,056.02 |
0.40% |
| Everpure, Inc. (Class A) |
P |
74624M102 |
1,934 |
$214,461.26 |
0.40% |
| Impinj, Inc. |
PI |
453204109 |
1,165 |
$211,738.75 |
0.40% |
| Webull Corporation (Class A) |
BULL |
G9572D103 |
26,435 |
$213,859.15 |
0.40% |
| Archrock, Inc. |
AROC |
03957W106 |
6,798 |
$206,659.20 |
0.39% |
| Park Aerospace Corp. |
PKE |
70014A104 |
6,943 |
$207,873.42 |
0.39% |
| Star Bulk Carriers Corp. |
SBLK |
Y8162K204 |
6,651 |
$205,781.94 |
0.39% |
| TAT Technologies Ltd. |
TATT |
M8740S227 |
5,426 |
$206,459.30 |
0.39% |
| Ultra Clean Holdings, Inc. |
UCTT |
90385V107 |
2,731 |
$209,058.05 |
0.39% |
| Ambarella, Inc. |
AMBA |
G037AX101 |
2,994 |
$200,777.64 |
0.38% |
| Axogen, Inc. |
AXGN |
05463X106 |
4,573 |
$203,681.42 |
0.38% |
| Cognex Corporation |
CGNX |
192422103 |
3,409 |
$201,028.73 |
0.38% |
| e.l.f. Beauty, Inc. |
ELF |
26856L103 |
1,956 |
$199,746.72 |
0.38% |
| Sportradar Group AG (Class A) |
SRAD |
H8088L103 |
14,967 |
$203,551.20 |
0.38% |
| Celldex Therapeutics Inc. |
CLDX |
15117B202 |
5,876 |
$196,904.76 |
0.37% |
| Ryan Specialty Holdings, Inc. (Class A) |
RYAN |
78351F107 |
5,156 |
$198,196.64 |
0.37% |
| Adaptive Biotechnologies Corporation |
ADPT |
00650F109 |
6,906 |
$193,782.36 |
0.36% |
| Federal Signal Corporation |
FSS |
313855108 |
1,679 |
$194,243.51 |
0.36% |
| FIGS, Inc. (Class A) |
FIGS |
30260D103 |
14,901 |
$192,967.95 |
0.36% |
| Garrett Motion Inc. |
GTX |
366505105 |
7,320 |
$189,954.00 |
0.36% |
| The Vita Coco Company, Inc. |
COCO |
92846Q107 |
3,233 |
$192,686.80 |
0.36% |
| Veracyte, Inc. |
VCYT |
92337F107 |
4,360 |
$189,049.60 |
0.36% |
| Almonty Industries Inc. |
ALM |
020398707 |
12,913 |
$185,301.55 |
0.35% |
| Andersen Group Inc. (Class A) |
ANDG |
033853102 |
3,538 |
$188,115.46 |
0.35% |
| Fabrinet |
FN |
G3323L100 |
458 |
$184,940.40 |
0.35% |
| Global-E Online Ltd. |
GLBE |
M5216V106 |
4,470 |
$185,728.50 |
0.35% |
| Neptune Insurance Holdings Inc. (Class A) |
NP |
64073B103 |
6,828 |
$188,111.40 |
0.35% |
| American Superconductor Corporation |
AMSC |
030111207 |
5,655 |
$176,662.20 |
0.33% |
| AXT, Inc. |
AXTI |
00246W103 |
2,176 |
$169,271.04 |
0.32% |
| Braze, Inc. (Class A) |
BRZE |
10576N102 |
6,653 |
$169,784.56 |
0.32% |
| Cogent Biosciences, Inc. |
COGT |
19240Q201 |
5,264 |
$171,764.32 |
0.32% |
| InterDigital, Inc. |
IDCC |
45867G101 |
513 |
$171,218.88 |
0.32% |
| James Hardie Industries plc |
JHX |
G4253H101 |
6,174 |
$168,797.16 |
0.32% |
| Lindsay Corporation |
LNN |
535555106 |
1,477 |
$169,722.07 |
0.32% |
| Madrigal Pharmaceuticals, Inc. |
MDGL |
558868105 |
326 |
$169,138.58 |
0.32% |
| Power Integrations, Inc. |
POWI |
739276103 |
3,285 |
$169,046.10 |
0.32% |
| SiteOne Landscape Supply, Inc. |
SITE |
82982L103 |
1,788 |
$168,769.32 |
0.32% |
| AAON, Inc. |
AAON |
000360206 |
2,100 |
$166,467.00 |
0.31% |
| Generac Holdings Inc. |
GNRC |
368736104 |
790 |
$162,874.30 |
0.31% |
| Perimeter Solutions, Inc. |
PRM |
71385M107 |
5,560 |
$165,521.20 |
0.31% |
| Viavi Solutions Inc. |
VIAV |
925550105 |
4,573 |
$166,457.20 |
0.31% |
| Mirion Technologies, Inc. |
MIR |
60471A101 |
9,728 |
$160,414.72 |
0.30% |
| Sterling Infrastructure, Inc. |
STRL |
859241101 |
308 |
$159,103.56 |
0.30% |
| Titan Machinery Inc. |
TITN |
88830R101 |
6,610 |
$159,763.70 |
0.30% |
| Zurn Elkay Water Solutions Corp. |
ZWS |
98983L108 |
3,394 |
$159,212.54 |
0.30% |
| Freshpet, Inc. |
FRPT |
358039105 |
2,567 |
$154,353.71 |
0.29% |
| DPC Holdings Plc |
DPC |
G2R11M108 |
3,682 |
$149,673.30 |
0.28% |
| Kornit Digital Ltd. |
KRNT |
M6372Q113 |
9,812 |
$150,565.36 |
0.28% |
| Mercury Systems, Inc. |
MRCY |
589378108 |
1,784 |
$149,641.92 |
0.28% |
| ServiceTitan, Inc. (Class A) |
TTAN |
81764X103 |
2,402 |
$147,867.12 |
0.28% |
| Alkermes Plc |
ALKS |
G01767105 |
3,359 |
$145,411.11 |
0.27% |
| Antero Resources Corporation |
AR |
03674X106 |
4,137 |
$142,395.54 |
0.27% |
| Bright Horizons Family Solutions Inc. |
BFAM |
109194100 |
2,203 |
$143,106.88 |
0.27% |
| Champion Homes Inc. |
SKY |
830830105 |
1,622 |
$144,098.48 |
0.27% |
| Harley-Davidson, Inc. |
HOG |
412822108 |
5,567 |
$144,909.01 |
0.27% |
| Innovex International, Inc. |
INVX |
457651107 |
5,233 |
$146,367.01 |
0.27% |
| Installed Building Products, Inc. |
IBP |
45780R101 |
687 |
$145,602.78 |
0.27% |
| Marriott Vacations Worldwide Corporation |
VAC |
57164Y107 |
1,445 |
$143,271.75 |
0.27% |
| ExlService Holdings, Inc. |
EXLS |
302081104 |
3,906 |
$136,788.12 |
0.26% |
| CSW Industrials, Inc. |
CSW |
126402106 |
431 |
$130,644.72 |
0.25% |
| Elastic N.V. |
ESTC |
N14506104 |
1,514 |
$135,079.08 |
0.25% |
| Gulfport Energy Corporation |
GPOR |
402635502 |
832 |
$131,872.00 |
0.25% |
| Kodiak Gas Services, Inc. |
KGS |
50012A108 |
2,482 |
$135,740.58 |
0.25% |
| OPENLANE Inc. |
OPLN |
48238T109 |
3,847 |
$133,221.61 |
0.25% |
| Rush Enterprises, Inc. (Class A) |
RUSHA |
781846209 |
2,707 |
$130,666.89 |
0.25% |
| Construction Partners, Inc. (Class A) |
ROAD |
21044C107 |
1,329 |
$128,527.59 |
0.24% |
| Modine Manufacturing Company |
MOD |
607828100 |
643 |
$126,002.28 |
0.24% |
| Tarsus Pharmaceuticals, Inc. |
TARS |
87650L103 |
1,652 |
$127,336.16 |
0.24% |
| Universal Technical Institute, Inc. |
UTI |
913915104 |
6,317 |
$128,929.97 |
0.24% |
| Dianthus Therapeutics, Inc. |
DNTH |
252828108 |
1,232 |
$121,167.20 |
0.23% |
| ESCO Technologies Inc. |
ESE |
296315104 |
468 |
$122,527.08 |
0.23% |
| Heartflow, Inc. |
HTFL |
42238D107 |
2,390 |
$119,906.30 |
0.23% |
| Helmerich & Payne, Inc. |
HP |
423452101 |
3,082 |
$122,632.78 |
0.23% |
| YETI Holdings, Inc. |
YETI |
98585X104 |
2,798 |
$121,936.84 |
0.23% |
| The Timken Company |
TKR |
887389104 |
1,033 |
$119,332.16 |
0.22% |
| Uranium Energy Corp. |
UEC |
916896103 |
11,116 |
$114,828.28 |
0.22% |
| Eos Energy Enterprises, Inc. |
EOSE |
29415C101 |
27,742 |
$112,632.52 |
0.21% |
| First Advantage Corporation |
FA |
31846B108 |
5,543 |
$112,744.62 |
0.21% |
| Miami International Holdings, Inc. |
MIAX |
59356Q108 |
3,092 |
$113,661.92 |
0.21% |
| The Cheesecake Factory Incorporated |
CAKE |
163072101 |
1,063 |
$109,531.52 |
0.21% |
| Cactus, Inc. (Class A) |
WHD |
127203107 |
1,589 |
$105,398.37 |
0.20% |
| Semtech Corporation |
SMTC |
816850101 |
590 |
$102,854.70 |
0.19% |
| Structure Therapeutics Inc. |
GPCR |
86366E106 |
2,707 |
$99,915.37 |
0.19% |
| AtriCure, Inc. |
ATRC |
04963C209 |
1,643 |
$96,657.69 |
0.18% |
| Oceaneering International, Inc. |
OII |
675232102 |
2,120 |
$97,753.20 |
0.18% |
| Crocs, Inc. |
CROX |
227046109 |
725 |
$90,320.50 |
0.17% |
| Navan, Inc. (Class A) |
NAVN |
639193101 |
4,168 |
$87,382.14 |
0.16% |
| Toast, Inc. (Class A) |
TOST |
888787108 |
2,890 |
$85,688.50 |
0.16% |
| Vishay Precision Group, Inc. |
VPG |
92835K103 |
1,185 |
$82,843.35 |
0.16% |
| Cardinal Infrastructure Group Inc. (Class A) |
CDNL |
14154A102 |
2,666 |
$80,273.26 |
0.15% |
| Red Violet, Inc. |
RDVT |
75704L104 |
915 |
$67,170.15 |
0.13% |
| Credo Technology Group Holding Ltd |
CRDO |
G25457105 |
146 |
$28,113.76 |
0.05% |
| 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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