|
|
 |
|
Holdings of the Fund as of 10/19/2026
Total Number of Holdings (excluding cash): 204
| Xometry, Inc. (Class A) |
XMTR |
98423F109 |
9,244 |
$845,456.24 |
1.69% |
| Zeta Global Holdings Corp. (Class A) |
ZETA |
98956A105 |
24,370 |
$792,025.00 |
1.58% |
| JFrog Ltd. |
FROG |
M6191J100 |
8,599 |
$782,509.00 |
1.57% |
| Twist Bioscience Corporation |
TWST |
90184D100 |
5,623 |
$785,926.71 |
1.57% |
| Repligen Corporation |
RGEN |
759916109 |
4,246 |
$749,121.78 |
1.50% |
| FirstCash Holdings, Inc. |
FCFS |
33768G107 |
3,446 |
$740,614.32 |
1.48% |
| Varonis Systems, Inc. |
VRNS |
922280102 |
13,922 |
$678,001.40 |
1.36% |
| Guardant Health, Inc. |
GH |
40131M109 |
4,210 |
$664,674.80 |
1.33% |
| Travere Therapeutics, Inc. |
TVTX |
89422G107 |
12,863 |
$649,452.87 |
1.30% |
| Protagonist Therapeutics, Inc. |
PTGX |
74366E102 |
4,393 |
$590,594.92 |
1.18% |
| Halozyme Therapeutics, Inc. |
HALO |
40637H109 |
4,690 |
$574,525.00 |
1.15% |
| SailPoint, Inc. |
SAIL |
78781J109 |
30,200 |
$570,780.00 |
1.14% |
| Rubrik, Inc. (Class A) |
RBRK |
781154109 |
4,785 |
$542,666.85 |
1.09% |
| Ligand Pharmaceuticals Inc. (Class B) |
LGND |
53220K504 |
1,813 |
$538,968.64 |
1.08% |
| Spyre Therapeutics, Inc. |
SYRE |
00773J202 |
6,093 |
$516,198.96 |
1.03% |
| EZCORP, Inc. |
EZPW |
302301106 |
15,050 |
$492,887.50 |
0.99% |
| Ollie's Bargain Outlet Holdings, Inc. |
OLLI |
681116109 |
5,190 |
$485,887.80 |
0.97% |
| Exelixis, Inc. |
EXEL |
30161Q104 |
7,337 |
$459,883.16 |
0.92% |
| Manhattan Associates, Inc. |
MANH |
562750109 |
1,980 |
$446,351.40 |
0.89% |
| Silicon Motion Technology Corporation (ADR) |
SIMO |
82706C108 |
2,027 |
$440,345.48 |
0.88% |
| VSE Corporation |
VSEC |
918284100 |
2,677 |
$423,180.16 |
0.85% |
| Praxis Precision Medicines, Inc. |
PRAX |
74006W207 |
1,548 |
$402,743.16 |
0.81% |
| Fastly, Inc. (Class A) |
FSLY |
31188V100 |
17,078 |
$392,623.22 |
0.79% |
| Edgewise Therapeutics, Inc. |
EWTX |
28036F105 |
10,291 |
$390,234.72 |
0.78% |
| RBC Bearings Incorporated |
RBC |
75524B104 |
750 |
$377,842.50 |
0.76% |
| Virtu Financial, Inc. (Class A) |
VIRT |
928254101 |
6,649 |
$375,734.99 |
0.75% |
| Acadian Asset Management Inc. |
AAMI |
10948W103 |
3,988 |
$371,681.60 |
0.74% |
| First Watch Restaurant Group, Inc. |
FWRG |
33748L101 |
30,016 |
$364,994.56 |
0.73% |
| ICON Plc |
ICLR |
G4705A100 |
2,147 |
$360,996.58 |
0.72% |
| US Dollar |
$USD |
|
359,476 |
$359,475.57 |
0.72% |
| Wingstop Inc. |
WING |
974155103 |
2,710 |
$359,752.50 |
0.72% |
| Definium Therapeutics Inc. |
DFTX |
24477V105 |
10,629 |
$350,438.13 |
0.70% |
| Life Time Group Holdings, Inc. |
LTH |
53190C102 |
8,410 |
$341,277.80 |
0.68% |
| Five Below, Inc. |
FIVE |
33829M101 |
1,480 |
$333,902.80 |
0.67% |
| Medpace Holdings, Inc. |
MEDP |
58506Q109 |
542 |
$335,855.72 |
0.67% |
| The Chefs' Warehouse, Inc. |
CHEF |
163086101 |
3,019 |
$335,954.32 |
0.67% |
| Encore Capital Group, Inc. |
ECPG |
292554102 |
3,273 |
$329,329.26 |
0.66% |
| WisdomTree, Inc. |
WT |
97717P104 |
15,553 |
$331,745.49 |
0.66% |
| Glaukos Corporation |
GKOS |
377322102 |
1,959 |
$327,074.64 |
0.65% |
| MACOM Technology Solutions Holdings, Inc. |
MTSI |
55405Y100 |
1,230 |
$326,921.70 |
0.65% |
| Magnolia Oil & Gas Corporation (Class A) |
MGY |
559663109 |
12,674 |
$322,806.78 |
0.65% |
| iRhythm Holdings, Inc. |
IRTC |
450056106 |
2,918 |
$319,812.80 |
0.64% |
| Five9, Inc. |
FIVN |
338307101 |
9,394 |
$313,195.96 |
0.63% |
| Kymera Therapeutics, Inc. |
KYMR |
501575104 |
2,918 |
$315,348.26 |
0.63% |
| Leonardo DRS, Inc. |
DRS |
52661A108 |
8,901 |
$313,137.18 |
0.63% |
| MaxLinear, Inc. |
MXL |
57776J100 |
4,074 |
$314,146.14 |
0.63% |
| Boot Barn Holdings, Inc. |
BOOT |
099406100 |
2,606 |
$311,052.16 |
0.62% |
| DigitalOcean Holdings, Inc. |
DOCN |
25402D102 |
3,088 |
$309,942.56 |
0.62% |
| HealthEquity, Inc. |
HQY |
42226A107 |
3,335 |
$310,388.45 |
0.62% |
| Netskope, Inc. (Class A) |
NTSK |
64119N608 |
15,633 |
$303,592.86 |
0.61% |
| Piper Sandler Companies |
PIPR |
724078209 |
4,794 |
$304,179.30 |
0.61% |
| The Descartes Systems Group Inc. |
DSGX |
249906108 |
3,544 |
$307,123.04 |
0.61% |
| Septerna, Inc. |
SEPN |
81734D104 |
8,235 |
$299,589.30 |
0.60% |
| Victoria's Secret & Co. |
VSXY |
926400102 |
3,300 |
$296,934.00 |
0.59% |
| FIGS, Inc. (Class A) |
FIGS |
30260D103 |
14,904 |
$289,882.80 |
0.58% |
| Viper Energy, Inc. (Class A) |
VNOM |
64361Q101 |
6,420 |
$292,302.60 |
0.58% |
| e.l.f. Beauty, Inc. |
ELF |
26856L103 |
2,490 |
$282,565.20 |
0.57% |
| IMAX Corporation |
IMAX |
45245E109 |
5,450 |
$281,601.50 |
0.56% |
| Agilysys, Inc. |
AGYS |
00847J105 |
2,439 |
$273,728.97 |
0.55% |
| Andersen Group Inc. (Class A) |
ANDG |
033853102 |
4,687 |
$274,892.55 |
0.55% |
| Genius Sports Limited |
GENI |
G3934V109 |
41,897 |
$275,263.29 |
0.55% |
| Karman Holdings Inc. |
KRMN |
485924104 |
8,109 |
$274,976.19 |
0.55% |
| Remitly Global, Inc. |
RELY |
75960P104 |
11,282 |
$274,829.52 |
0.55% |
| Guidewire Software, Inc. |
GWRE |
40171V100 |
1,584 |
$271,560.96 |
0.54% |
| Lattice Semiconductor Corporation |
LSCC |
518415104 |
2,460 |
$267,475.80 |
0.54% |
| PTC Therapeutics, Inc. |
PTCT |
69366J200 |
4,419 |
$271,901.07 |
0.54% |
| AeroVironment, Inc. |
AVAV |
008073108 |
2,251 |
$265,392.90 |
0.53% |
| Powell Industries, Inc. |
POWL |
739128106 |
1,605 |
$266,044.80 |
0.53% |
| Palomar Holdings, Inc. |
PLMR |
69753M105 |
1,876 |
$258,569.08 |
0.52% |
| Supernus Pharmaceuticals, Inc. |
SUPN |
868459108 |
6,587 |
$262,426.08 |
0.52% |
| Bandwidth Inc. (Class A) |
BAND |
05988J103 |
5,864 |
$255,084.00 |
0.51% |
| Sezzle Inc. |
SEZL |
78435P105 |
1,985 |
$254,179.25 |
0.51% |
| Xenon Pharmaceuticals Inc. |
XENE |
98420N105 |
7,333 |
$257,241.64 |
0.51% |
| MAXIMUS, Inc. |
MMS |
577933104 |
4,086 |
$250,594.38 |
0.50% |
| Moog Inc. |
MOG/A |
615394202 |
678 |
$250,690.50 |
0.50% |
| Paymentus Holdings, Inc. (Class A) |
PAY |
70439P108 |
7,914 |
$248,816.16 |
0.50% |
| Balchem Corporation |
BCPC |
057665200 |
1,438 |
$245,063.96 |
0.49% |
| Kratos Defense & Security Solutions, Inc. |
KTOS |
50077B207 |
6,212 |
$243,324.04 |
0.49% |
| nLight, Inc. |
LASR |
65487K100 |
7,066 |
$245,826.14 |
0.49% |
| Tidewater Inc. |
TDW |
88642R109 |
3,057 |
$247,036.17 |
0.49% |
| Natera, Inc. |
NTRA |
632307104 |
596 |
$238,054.32 |
0.48% |
| TechnipFMC Plc |
FTI |
G87110105 |
3,439 |
$240,248.54 |
0.48% |
| Amylyx Pharmaceuticals, Inc. |
AMLX |
03237H101 |
8,658 |
$236,623.14 |
0.47% |
| ExlService Holdings, Inc. |
EXLS |
302081104 |
5,949 |
$236,532.24 |
0.47% |
| Flywire Corporation |
FLYW |
302492103 |
12,966 |
$235,592.22 |
0.47% |
| The Cheesecake Factory Incorporated |
CAKE |
163072101 |
2,024 |
$235,148.32 |
0.47% |
| BWX Technologies, Inc. |
BWXT |
05605H100 |
1,668 |
$226,564.44 |
0.45% |
| Scholar Rock Holding Corporation |
SRRK |
80706P103 |
5,606 |
$225,585.44 |
0.45% |
| Semtech Corporation |
SMTC |
816850101 |
1,584 |
$225,276.48 |
0.45% |
| Dave Inc. (Class A) |
DAVE |
23834J201 |
617 |
$221,786.82 |
0.44% |
| Globus Medical, Inc. (Class A) |
GMED |
379577208 |
2,897 |
$219,158.05 |
0.44% |
| MSC Industrial Direct Co., Inc. (Class A) |
MSM |
553530106 |
1,716 |
$220,077.00 |
0.44% |
| Rambus Inc. |
RMBS |
750917106 |
2,397 |
$222,106.02 |
0.44% |
| Adaptive Biotechnologies Corporation |
ADPT |
00650F109 |
9,035 |
$216,388.25 |
0.43% |
| SentinelOne, Inc. (Class A) |
S |
81730H109 |
9,880 |
$214,494.80 |
0.43% |
| Axogen, Inc. |
AXGN |
05463X106 |
6,003 |
$211,545.72 |
0.42% |
| Impinj, Inc. |
PI |
453204109 |
1,188 |
$208,779.12 |
0.42% |
| Ryan Specialty Holdings, Inc. (Class A) |
RYAN |
78351F107 |
5,211 |
$212,452.47 |
0.42% |
| Braze, Inc. (Class A) |
BRZE |
10576N102 |
6,754 |
$202,890.16 |
0.41% |
| Elastic N.V. |
ESTC |
N14506104 |
2,182 |
$206,417.20 |
0.41% |
| Herc Holdings, Inc. |
HRI |
42704L104 |
1,647 |
$204,985.62 |
0.41% |
| Archrock, Inc. |
AROC |
03957W106 |
6,879 |
$202,173.81 |
0.40% |
| CECO Environmental Corp. |
CECO |
125141101 |
3,492 |
$200,755.08 |
0.40% |
| Commvault Systems, Inc. |
CVLT |
204166102 |
1,314 |
$200,766.06 |
0.40% |
| Global-E Online Ltd. |
GLBE |
M5216V106 |
5,044 |
$200,297.24 |
0.40% |
| Neptune Insurance Holdings Inc. (Class A) |
NP |
64073B103 |
6,829 |
$200,089.70 |
0.40% |
| Onto Innovation Inc. |
ONTO |
683344105 |
892 |
$201,841.76 |
0.40% |
| Steven Madden, Ltd. |
SHOO |
556269108 |
4,487 |
$201,735.52 |
0.40% |
| Camtek Ltd. |
CAMT |
M20791105 |
1,501 |
$193,538.94 |
0.39% |
| IAMGOLD Corporation |
IAG |
450913108 |
10,869 |
$193,250.82 |
0.39% |
| Cognex Corporation |
CGNX |
192422103 |
3,460 |
$190,853.60 |
0.38% |
| Customers Bancorp, Inc. |
CUBI |
23204G100 |
2,572 |
$191,562.56 |
0.38% |
| Federal Signal Corporation |
FSS |
313855108 |
1,679 |
$189,592.68 |
0.38% |
| The Vita Coco Company, Inc. |
COCO |
92846Q107 |
3,233 |
$191,005.64 |
0.38% |
| Viavi Solutions Inc. |
VIAV |
925550105 |
5,420 |
$189,591.60 |
0.38% |
| AGCO Corporation |
AGCO |
001084102 |
1,787 |
$182,488.44 |
0.37% |
| AXT, Inc. |
AXTI |
00246W103 |
3,250 |
$184,567.50 |
0.37% |
| Sitime Corporation |
SITM |
82982T106 |
375 |
$185,906.25 |
0.37% |
| Solaris Energy Infrastructure, Inc. (Class A) |
SEI |
83418M103 |
2,827 |
$185,903.52 |
0.37% |
| Star Bulk Carriers Corp. |
SBLK |
Y8162K204 |
6,652 |
$186,788.16 |
0.37% |
| TAT Technologies Ltd. |
TATT |
M8740S227 |
5,503 |
$184,625.65 |
0.37% |
| Sportradar Group AG (Class A) |
SRAD |
H8088L103 |
15,154 |
$182,302.62 |
0.36% |
| Ambarella, Inc. |
AMBA |
G037AX101 |
2,751 |
$172,652.76 |
0.35% |
| Celldex Therapeutics Inc. |
CLDX |
15117B202 |
5,876 |
$174,340.92 |
0.35% |
| Fabrinet |
FN |
G3323L100 |
479 |
$173,728.51 |
0.35% |
| Oceaneering International, Inc. |
OII |
675232102 |
3,898 |
$173,188.14 |
0.35% |
| StoneX Group Inc. |
SNEX |
861896108 |
3,128 |
$176,106.40 |
0.35% |
| Amprius Technologies, Inc. |
AMPX |
03214Q108 |
22,387 |
$169,917.33 |
0.34% |
| Antero Resources Corporation |
AR |
03674X106 |
4,357 |
$169,182.31 |
0.34% |
| Freshpet, Inc. |
FRPT |
358039105 |
2,567 |
$169,730.04 |
0.34% |
| Garrett Motion Inc. |
GTX |
366505105 |
7,321 |
$170,798.93 |
0.34% |
| Kornit Digital Ltd. |
KRNT |
M6372Q113 |
9,839 |
$171,985.72 |
0.34% |
| Robert Half Inc. |
RHI |
770323103 |
5,124 |
$168,425.88 |
0.34% |
| SiteOne Landscape Supply, Inc. |
SITE |
82982L103 |
1,813 |
$170,838.99 |
0.34% |
| Enova International, Inc. |
ENVA |
29357K103 |
947 |
$166,861.40 |
0.33% |
| InterDigital, Inc. |
IDCC |
45867G101 |
512 |
$165,068.80 |
0.33% |
| Navan, Inc. (Class A) |
NAVN |
639193101 |
6,427 |
$164,981.09 |
0.33% |
| AAON, Inc. |
AAON |
000360206 |
2,126 |
$160,172.84 |
0.32% |
| Generac Holdings Inc. |
GNRC |
368736104 |
834 |
$161,220.54 |
0.32% |
| James Hardie Industries plc |
JHX |
G4253H101 |
6,253 |
$159,764.15 |
0.32% |
| Lindsay Corporation |
LNN |
535555106 |
1,480 |
$157,605.20 |
0.32% |
| Marriott Vacations Worldwide Corporation |
VAC |
57164Y107 |
1,444 |
$158,998.84 |
0.32% |
| Zurn Elkay Water Solutions Corp. |
ZWS |
98983L108 |
3,395 |
$159,972.40 |
0.32% |
| Bright Horizons Family Solutions Inc. |
BFAM |
109194100 |
2,251 |
$156,489.52 |
0.31% |
| Immunome, Inc. |
IMNM |
45257U108 |
9,246 |
$155,055.42 |
0.31% |
| Webull Corporation (Class A) |
BULL |
G9572D103 |
26,440 |
$155,996.00 |
0.31% |
| Compass, Inc. (Class A) |
COMP |
20464U100 |
16,914 |
$152,395.14 |
0.30% |
| Materion Corporation |
MTRN |
576690101 |
613 |
$149,253.24 |
0.30% |
| Power Integrations, Inc. |
POWI |
739276103 |
3,314 |
$150,654.44 |
0.30% |
| Alkermes Plc |
ALKS |
G01767105 |
3,359 |
$144,336.23 |
0.29% |
| American Superconductor Corporation |
AMSC |
030111207 |
5,711 |
$146,658.48 |
0.29% |
| Gulfport Energy Corporation |
GPOR |
402635502 |
875 |
$142,651.25 |
0.29% |
| Innovex International, Inc. |
INVX |
457651107 |
5,234 |
$147,389.44 |
0.29% |
| Madrigal Pharmaceuticals, Inc. |
MDGL |
558868105 |
326 |
$145,751.34 |
0.29% |
| Mirion Technologies, Inc. |
MIR |
60471A101 |
9,839 |
$146,896.27 |
0.29% |
| Titan Machinery Inc. |
TITN |
88830R101 |
6,712 |
$146,992.80 |
0.29% |
| Ultra Clean Holdings, Inc. |
UCTT |
90385V107 |
2,731 |
$144,196.80 |
0.29% |
| Veracyte, Inc. |
VCYT |
92337F107 |
3,337 |
$146,160.60 |
0.29% |
| Almonty Industries Inc. |
ALM |
020398707 |
15,893 |
$140,335.19 |
0.28% |
| OPENLANE Inc. |
OPLN |
48238T109 |
3,847 |
$142,300.53 |
0.28% |
| Aehr Test Systems, Inc. |
AEHR |
00760J108 |
2,112 |
$133,752.96 |
0.27% |
| Cogent Biosciences, Inc. |
COGT |
19240Q201 |
4,470 |
$134,144.70 |
0.27% |
| Installed Building Products, Inc. |
IBP |
45780R101 |
730 |
$132,889.20 |
0.27% |
| Knight-Swift Transportation Holdings Inc. |
KNX |
499049104 |
2,134 |
$134,890.14 |
0.27% |
| Mercury Systems, Inc. |
MRCY |
589378108 |
1,783 |
$135,490.17 |
0.27% |
| Park Aerospace Corp. |
PKE |
70014A104 |
5,086 |
$133,100.62 |
0.27% |
| Tarsus Pharmaceuticals, Inc. |
TARS |
87650L103 |
1,941 |
$134,899.50 |
0.27% |
| Scorpio Tankers Inc. |
STNG |
Y7542C130 |
1,591 |
$128,552.80 |
0.26% |
| Sterling Infrastructure, Inc. |
STRL |
859241101 |
308 |
$130,431.84 |
0.26% |
| Bullish |
BLSH |
G16910120 |
4,544 |
$124,596.48 |
0.25% |
| CSW Industrials, Inc. |
CSW |
126402106 |
430 |
$123,539.00 |
0.25% |
| Champion Homes Inc. |
SKY |
830830105 |
1,621 |
$121,753.31 |
0.24% |
| DPC Holdings Plc |
DPC |
G2R11M108 |
3,682 |
$117,713.54 |
0.24% |
| EnPro, Inc. |
NPO |
29355X107 |
409 |
$118,421.86 |
0.24% |
| ESCO Technologies Inc. |
ESE |
296315104 |
468 |
$117,575.64 |
0.24% |
| Harley-Davidson, Inc. |
HOG |
412822108 |
4,464 |
$119,322.72 |
0.24% |
| Heartflow, Inc. |
HTFL |
42238D107 |
2,390 |
$121,937.80 |
0.24% |
| Helmerich & Payne, Inc. |
HP |
423452101 |
3,083 |
$117,770.60 |
0.24% |
| Rush Enterprises, Inc. (Class A) |
RUSHA |
781846209 |
2,707 |
$121,977.42 |
0.24% |
| Hut 8 Corp. |
HUT |
44812J104 |
1,673 |
$114,048.41 |
0.23% |
| The Timken Company |
TKR |
887389104 |
1,033 |
$116,357.12 |
0.23% |
| Arrowhead Pharmaceuticals, Inc. |
ARWR |
04280A100 |
1,959 |
$112,113.57 |
0.22% |
| Construction Partners, Inc. (Class A) |
ROAD |
21044C107 |
1,329 |
$110,532.93 |
0.22% |
| Everpure, Inc. (Class A) |
P |
74624M102 |
855 |
$108,661.95 |
0.22% |
| Innodata, Inc. |
INOD |
457642205 |
2,067 |
$111,618.00 |
0.22% |
| Rush Street Interactive, Inc. |
RSI |
782011100 |
6,120 |
$110,221.20 |
0.22% |
| Target Hospitality Corp. |
TH |
87615L107 |
7,142 |
$109,415.44 |
0.22% |
| First Advantage Corporation |
FA |
31846B108 |
5,544 |
$105,058.80 |
0.21% |
| Cactus, Inc. (Class A) |
WHD |
127203107 |
1,588 |
$98,090.76 |
0.20% |
| Modine Manufacturing Company |
MOD |
607828100 |
643 |
$96,186.37 |
0.19% |
| AtriCure, Inc. |
ATRC |
04963C209 |
1,643 |
$91,235.79 |
0.18% |
| Dianthus Therapeutics, Inc. |
DNTH |
252828108 |
1,231 |
$91,758.74 |
0.18% |
| Figure Technology Solutions, Inc. (Class A) |
FIGR |
349381103 |
3,597 |
$92,442.90 |
0.18% |
| Toast, Inc. (Class A) |
TOST |
888787108 |
2,918 |
$91,771.10 |
0.18% |
| Axsome Therapeutics, Inc. |
AXSM |
05464T104 |
543 |
$84,604.83 |
0.17% |
| Huron Consulting Group Inc. |
HURN |
447462102 |
494 |
$86,311.68 |
0.17% |
| Red Violet, Inc. |
RDVT |
75704L104 |
1,167 |
$86,929.83 |
0.17% |
| Vishay Precision Group, Inc. |
VPG |
92835K103 |
1,209 |
$73,446.75 |
0.15% |
| Lithia Motors, Inc. |
LAD |
536797103 |
180 |
$52,770.60 |
0.11% |
| Uranium Energy Corp. |
UEC |
916896103 |
7,084 |
$55,892.76 |
0.11% |
| Eos Energy Enterprises, Inc. |
EOSE |
29415C101 |
27,749 |
$50,225.69 |
0.10% |
| Cardinal Infrastructure Group Inc. (Class A) |
CDNL |
14154A102 |
2,667 |
$42,325.29 |
0.08% |
| Gentherm Incorporated |
THRM |
37253A103 |
287 |
$8,211.08 |
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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