|
|
 |
|
Holdings of the Fund as of 10/15/2026
Total Number of Holdings (excluding cash): 204
| Xometry, Inc. (Class A) |
XMTR |
98423F109 |
9,244 |
$920,147.76 |
1.81% |
| Zeta Global Holdings Corp. (Class A) |
ZETA |
98956A105 |
24,370 |
$817,613.50 |
1.61% |
| JFrog Ltd. |
FROG |
M6191J100 |
8,599 |
$812,949.46 |
1.60% |
| Twist Bioscience Corporation |
TWST |
90184D100 |
5,623 |
$812,467.27 |
1.60% |
| Repligen Corporation |
RGEN |
759916109 |
4,246 |
$781,985.84 |
1.54% |
| FirstCash Holdings, Inc. |
FCFS |
33768G107 |
3,446 |
$746,782.66 |
1.47% |
| Guardant Health, Inc. |
GH |
40131M109 |
4,210 |
$698,354.80 |
1.37% |
| Travere Therapeutics, Inc. |
TVTX |
89422G107 |
12,863 |
$679,037.77 |
1.33% |
| Varonis Systems, Inc. |
VRNS |
922280102 |
13,922 |
$659,067.48 |
1.29% |
| Protagonist Therapeutics, Inc. |
PTGX |
74366E102 |
4,393 |
$599,864.15 |
1.18% |
| SailPoint, Inc. |
SAIL |
78781J109 |
30,200 |
$596,450.00 |
1.17% |
| Halozyme Therapeutics, Inc. |
HALO |
40637H109 |
4,690 |
$569,881.90 |
1.12% |
| Rubrik, Inc. (Class A) |
RBRK |
781154109 |
4,785 |
$567,596.70 |
1.12% |
| Ligand Pharmaceuticals Inc. (Class B) |
LGND |
53220K504 |
1,813 |
$541,180.50 |
1.06% |
| EZCORP, Inc. |
EZPW |
302301106 |
15,050 |
$498,606.50 |
0.98% |
| Ollie's Bargain Outlet Holdings, Inc. |
OLLI |
681116109 |
5,190 |
$495,930.55 |
0.97% |
| Spyre Therapeutics, Inc. |
SYRE |
00773J202 |
6,093 |
$488,049.30 |
0.96% |
| Exelixis, Inc. |
EXEL |
30161Q104 |
7,337 |
$460,983.71 |
0.91% |
| Manhattan Associates, Inc. |
MANH |
562750109 |
1,980 |
$449,380.80 |
0.88% |
| Silicon Motion Technology Corporation (ADR) |
SIMO |
82706C108 |
2,027 |
$442,676.53 |
0.87% |
| VSE Corporation |
VSEC |
918284100 |
2,677 |
$432,469.35 |
0.85% |
| Fastly, Inc. (Class A) |
FSLY |
31188V100 |
17,078 |
$428,145.46 |
0.84% |
| Edgewise Therapeutics, Inc. |
EWTX |
28036F105 |
10,291 |
$393,116.20 |
0.77% |
| Praxis Precision Medicines, Inc. |
PRAX |
74006W207 |
1,548 |
$384,275.52 |
0.76% |
| Virtu Financial, Inc. (Class A) |
VIRT |
928254101 |
6,649 |
$381,719.09 |
0.75% |
| ICON Plc |
ICLR |
G4705A100 |
2,147 |
$376,004.11 |
0.74% |
| Acadian Asset Management Inc. |
AAMI |
10948W103 |
3,988 |
$370,126.28 |
0.73% |
| First Watch Restaurant Group, Inc. |
FWRG |
33748L101 |
30,016 |
$370,997.76 |
0.73% |
| RBC Bearings Incorporated |
RBC |
75524B104 |
750 |
$373,297.50 |
0.73% |
| Definium Therapeutics Inc. |
DFTX |
24477V105 |
10,629 |
$364,149.54 |
0.72% |
| Wingstop Inc. |
WING |
974155103 |
2,710 |
$355,091.30 |
0.70% |
| The Chefs' Warehouse, Inc. |
CHEF |
163086101 |
3,019 |
$344,981.13 |
0.68% |
| Life Time Group Holdings, Inc. |
LTH |
53190C102 |
8,410 |
$341,109.60 |
0.67% |
| Medpace Holdings, Inc. |
MEDP |
58506Q109 |
542 |
$340,701.20 |
0.67% |
| DigitalOcean Holdings, Inc. |
DOCN |
25402D102 |
3,088 |
$338,043.36 |
0.66% |
| Encore Capital Group, Inc. |
ECPG |
292554102 |
3,273 |
$335,809.80 |
0.66% |
| MACOM Technology Solutions Holdings, Inc. |
MTSI |
55405Y100 |
1,230 |
$333,809.70 |
0.66% |
| WisdomTree, Inc. |
WT |
97717P104 |
15,553 |
$336,100.33 |
0.66% |
| Five Below, Inc. |
FIVE |
33829M101 |
1,480 |
$330,380.40 |
0.65% |
| Five9, Inc. |
FIVN |
338307101 |
9,394 |
$329,729.40 |
0.65% |
| Glaukos Corporation |
GKOS |
377322102 |
1,959 |
$324,410.40 |
0.64% |
| iRhythm Holdings, Inc. |
IRTC |
450056106 |
2,918 |
$319,083.30 |
0.63% |
| MaxLinear, Inc. |
MXL |
57776J100 |
4,074 |
$318,505.32 |
0.63% |
| Netskope, Inc. (Class A) |
NTSK |
64119N608 |
15,633 |
$319,694.85 |
0.63% |
| US Dollar |
$USD |
|
318,548 |
$318,547.63 |
0.63% |
| Boot Barn Holdings, Inc. |
BOOT |
099406100 |
2,606 |
$314,335.72 |
0.62% |
| Kymera Therapeutics, Inc. |
KYMR |
501575104 |
2,918 |
$315,552.52 |
0.62% |
| Leonardo DRS, Inc. |
DRS |
52661A108 |
8,901 |
$315,718.47 |
0.62% |
| The Descartes Systems Group Inc. |
DSGX |
249906108 |
3,544 |
$314,140.16 |
0.62% |
| HealthEquity, Inc. |
HQY |
42226A107 |
3,335 |
$308,520.85 |
0.61% |
| Magnolia Oil & Gas Corporation (Class A) |
MGY |
559663109 |
12,674 |
$310,766.48 |
0.61% |
| Piper Sandler Companies |
PIPR |
724078209 |
4,794 |
$309,548.58 |
0.61% |
| Septerna, Inc. |
SEPN |
81734D104 |
8,235 |
$308,400.75 |
0.61% |
| Victoria's Secret & Co. |
VSXY |
926400102 |
3,300 |
$298,749.00 |
0.59% |
| Bandwidth Inc. (Class A) |
BAND |
05988J103 |
5,864 |
$290,854.40 |
0.57% |
| e.l.f. Beauty, Inc. |
ELF |
26856L103 |
2,490 |
$289,113.90 |
0.57% |
| FIGS, Inc. (Class A) |
FIGS |
30260D103 |
14,904 |
$291,224.16 |
0.57% |
| Guidewire Software, Inc. |
GWRE |
40171V100 |
1,584 |
$278,419.68 |
0.55% |
| IMAX Corporation |
IMAX |
45245E109 |
5,450 |
$280,947.50 |
0.55% |
| Remitly Global, Inc. |
RELY |
75960P104 |
11,282 |
$278,101.30 |
0.55% |
| Viper Energy, Inc. (Class A) |
VNOM |
64361Q101 |
6,420 |
$280,746.60 |
0.55% |
| AeroVironment, Inc. |
AVAV |
008073108 |
2,251 |
$277,368.22 |
0.54% |
| Agilysys, Inc. |
AGYS |
00847J105 |
2,439 |
$276,631.38 |
0.54% |
| Andersen Group Inc. (Class A) |
ANDG |
033853102 |
4,687 |
$276,298.65 |
0.54% |
| Genius Sports Limited |
GENI |
G3934V109 |
41,897 |
$275,682.26 |
0.54% |
| Karman Holdings Inc. |
KRMN |
485924104 |
8,109 |
$274,895.10 |
0.54% |
| Powell Industries, Inc. |
POWL |
739128106 |
1,605 |
$274,166.10 |
0.54% |
| PTC Therapeutics, Inc. |
PTCT |
69366J200 |
4,419 |
$269,514.81 |
0.53% |
| Lattice Semiconductor Corporation |
LSCC |
518415104 |
2,460 |
$263,441.40 |
0.52% |
| Sezzle Inc. |
SEZL |
78435P105 |
1,985 |
$262,754.45 |
0.52% |
| Palomar Holdings, Inc. |
PLMR |
69753M105 |
1,876 |
$258,156.36 |
0.51% |
| Supernus Pharmaceuticals, Inc. |
SUPN |
868459108 |
6,587 |
$260,647.59 |
0.51% |
| Kratos Defense & Security Solutions, Inc. |
KTOS |
50077B207 |
6,212 |
$253,076.88 |
0.50% |
| Paymentus Holdings, Inc. (Class A) |
PAY |
70439P108 |
7,914 |
$254,276.82 |
0.50% |
| Flywire Corporation |
FLYW |
302492103 |
12,966 |
$250,892.10 |
0.49% |
| Moog Inc. |
MOG/A |
615394202 |
678 |
$247,564.92 |
0.49% |
| nLight, Inc. |
LASR |
65487K100 |
7,066 |
$250,701.68 |
0.49% |
| Xenon Pharmaceuticals Inc. |
XENE |
98420N105 |
7,333 |
$251,741.89 |
0.49% |
| Balchem Corporation |
BCPC |
057665200 |
1,438 |
$245,222.14 |
0.48% |
| MAXIMUS, Inc. |
MMS |
577933104 |
4,086 |
$246,140.64 |
0.48% |
| Tidewater Inc. |
TDW |
88642R109 |
3,057 |
$242,053.26 |
0.48% |
| Amylyx Pharmaceuticals, Inc. |
AMLX |
03237H101 |
8,658 |
$239,393.70 |
0.47% |
| Natera, Inc. |
NTRA |
632307104 |
596 |
$241,254.84 |
0.47% |
| ExlService Holdings, Inc. |
EXLS |
302081104 |
5,949 |
$232,605.90 |
0.46% |
| TechnipFMC Plc |
FTI |
G87110105 |
3,439 |
$234,642.97 |
0.46% |
| The Cheesecake Factory Incorporated |
CAKE |
163072101 |
2,024 |
$235,978.16 |
0.46% |
| Adaptive Biotechnologies Corporation |
ADPT |
00650F109 |
9,035 |
$231,115.30 |
0.45% |
| BWX Technologies, Inc. |
BWXT |
05605H100 |
1,668 |
$228,849.60 |
0.45% |
| Dave Inc. (Class A) |
DAVE |
23834J201 |
617 |
$227,673.00 |
0.45% |
| Globus Medical, Inc. (Class A) |
GMED |
379577208 |
2,897 |
$228,399.48 |
0.45% |
| Impinj, Inc. |
PI |
453204109 |
1,188 |
$226,765.44 |
0.45% |
| Scholar Rock Holding Corporation |
SRRK |
80706P103 |
5,606 |
$227,827.84 |
0.45% |
| Semtech Corporation |
SMTC |
816850101 |
1,584 |
$228,428.64 |
0.45% |
| SentinelOne, Inc. (Class A) |
S |
81730H109 |
9,880 |
$230,895.60 |
0.45% |
| MSC Industrial Direct Co., Inc. (Class A) |
MSM |
553530106 |
1,716 |
$224,281.20 |
0.44% |
| Rambus Inc. |
RMBS |
750917106 |
2,397 |
$222,609.39 |
0.44% |
| Axogen, Inc. |
AXGN |
05463X106 |
6,003 |
$213,886.89 |
0.42% |
| CECO Environmental Corp. |
CECO |
125141101 |
3,492 |
$211,405.68 |
0.42% |
| Elastic N.V. |
ESTC |
N14506104 |
2,182 |
$212,177.68 |
0.42% |
| Commvault Systems, Inc. |
CVLT |
204166102 |
1,314 |
$208,807.74 |
0.41% |
| Onto Innovation Inc. |
ONTO |
683344105 |
892 |
$206,899.40 |
0.41% |
| Ryan Specialty Holdings, Inc. (Class A) |
RYAN |
78351F107 |
5,211 |
$208,648.44 |
0.41% |
| Steven Madden, Ltd. |
SHOO |
556269108 |
4,487 |
$207,478.88 |
0.41% |
| Archrock, Inc. |
AROC |
03957W106 |
6,879 |
$201,210.75 |
0.40% |
| Braze, Inc. (Class A) |
BRZE |
10576N102 |
6,754 |
$205,186.52 |
0.40% |
| Global-E Online Ltd. |
GLBE |
M5216V106 |
5,044 |
$202,920.12 |
0.40% |
| Herc Holdings, Inc. |
HRI |
42704L104 |
1,647 |
$204,228.00 |
0.40% |
| Neptune Insurance Holdings Inc. (Class A) |
NP |
64073B103 |
6,829 |
$201,114.05 |
0.40% |
| Camtek Ltd. |
CAMT |
M20791105 |
1,501 |
$197,201.38 |
0.39% |
| Viavi Solutions Inc. |
VIAV |
925550105 |
5,420 |
$199,564.40 |
0.39% |
| Cognex Corporation |
CGNX |
192422103 |
3,460 |
$192,618.20 |
0.38% |
| Customers Bancorp, Inc. |
CUBI |
23204G100 |
2,572 |
$191,228.20 |
0.38% |
| IAMGOLD Corporation |
IAG |
450913108 |
10,869 |
$193,033.44 |
0.38% |
| AGCO Corporation |
AGCO |
001084102 |
1,787 |
$189,779.40 |
0.37% |
| Amprius Technologies, Inc. |
AMPX |
03214Q108 |
22,387 |
$188,050.80 |
0.37% |
| AXT, Inc. |
AXTI |
00246W103 |
3,250 |
$188,207.50 |
0.37% |
| Federal Signal Corporation |
FSS |
313855108 |
1,679 |
$190,516.13 |
0.37% |
| Sitime Corporation |
SITM |
82982T106 |
375 |
$188,096.25 |
0.37% |
| Star Bulk Carriers Corp. |
SBLK |
Y8162K204 |
6,652 |
$186,122.96 |
0.37% |
| StoneX Group Inc. |
SNEX |
861896108 |
3,128 |
$187,429.76 |
0.37% |
| The Vita Coco Company, Inc. |
COCO |
92846Q107 |
3,233 |
$186,447.11 |
0.37% |
| Fabrinet |
FN |
G3323L100 |
479 |
$184,510.80 |
0.36% |
| Solaris Energy Infrastructure, Inc. (Class A) |
SEI |
83418M103 |
2,827 |
$184,207.32 |
0.36% |
| Sportradar Group AG (Class A) |
SRAD |
H8088L103 |
15,154 |
$183,969.56 |
0.36% |
| Garrett Motion Inc. |
GTX |
366505105 |
7,321 |
$178,961.86 |
0.35% |
| Robert Half Inc. |
RHI |
770323103 |
5,124 |
$176,214.36 |
0.35% |
| TAT Technologies Ltd. |
TATT |
M8740S227 |
5,503 |
$177,251.63 |
0.35% |
| Ambarella, Inc. |
AMBA |
G037AX101 |
2,751 |
$174,262.24 |
0.34% |
| Freshpet, Inc. |
FRPT |
358039105 |
2,567 |
$173,657.55 |
0.34% |
| SiteOne Landscape Supply, Inc. |
SITE |
82982L103 |
1,813 |
$170,911.51 |
0.34% |
| Celldex Therapeutics Inc. |
CLDX |
15117B202 |
5,876 |
$169,992.68 |
0.33% |
| Enova International, Inc. |
ENVA |
29357K103 |
947 |
$168,111.44 |
0.33% |
| Generac Holdings Inc. |
GNRC |
368736104 |
834 |
$165,465.60 |
0.33% |
| InterDigital, Inc. |
IDCC |
45867G101 |
512 |
$167,966.72 |
0.33% |
| Kornit Digital Ltd. |
KRNT |
M6372Q113 |
9,839 |
$168,935.63 |
0.33% |
| Oceaneering International, Inc. |
OII |
675232102 |
3,898 |
$167,808.90 |
0.33% |
| Webull Corporation (Class A) |
BULL |
G9572D103 |
26,440 |
$166,439.81 |
0.33% |
| AAON, Inc. |
AAON |
000360206 |
2,126 |
$164,339.80 |
0.32% |
| Almonty Industries Inc. |
ALM |
020398707 |
15,893 |
$160,519.30 |
0.32% |
| Compass, Inc. (Class A) |
COMP |
20464U100 |
16,914 |
$162,712.68 |
0.32% |
| Immunome, Inc. |
IMNM |
45257U108 |
9,246 |
$160,880.40 |
0.32% |
| James Hardie Industries plc |
JHX |
G4253H101 |
6,253 |
$161,952.70 |
0.32% |
| Lindsay Corporation |
LNN |
535555106 |
1,480 |
$163,673.20 |
0.32% |
| Marriott Vacations Worldwide Corporation |
VAC |
57164Y107 |
1,444 |
$162,161.20 |
0.32% |
| Navan, Inc. (Class A) |
NAVN |
639193101 |
6,427 |
$161,960.40 |
0.32% |
| Antero Resources Corporation |
AR |
03674X106 |
4,357 |
$158,769.08 |
0.31% |
| Bright Horizons Family Solutions Inc. |
BFAM |
109194100 |
2,251 |
$158,515.42 |
0.31% |
| Zurn Elkay Water Solutions Corp. |
ZWS |
98983L108 |
3,395 |
$158,987.85 |
0.31% |
| American Superconductor Corporation |
AMSC |
030111207 |
5,711 |
$153,568.79 |
0.30% |
| Materion Corporation |
MTRN |
576690101 |
613 |
$154,574.08 |
0.30% |
| Mirion Technologies, Inc. |
MIR |
60471A101 |
9,839 |
$152,898.06 |
0.30% |
| Titan Machinery Inc. |
TITN |
88830R101 |
6,712 |
$152,496.64 |
0.30% |
| Ultra Clean Holdings, Inc. |
UCTT |
90385V107 |
2,731 |
$152,471.73 |
0.30% |
| Aehr Test Systems, Inc. |
AEHR |
00760J108 |
2,112 |
$146,171.52 |
0.29% |
| Madrigal Pharmaceuticals, Inc. |
MDGL |
558868105 |
326 |
$149,898.06 |
0.29% |
| Power Integrations, Inc. |
POWI |
739276103 |
3,314 |
$149,030.58 |
0.29% |
| Veracyte, Inc. |
VCYT |
92337F107 |
3,337 |
$148,129.43 |
0.29% |
| Bullish |
BLSH |
G16910120 |
4,544 |
$144,817.28 |
0.28% |
| Gulfport Energy Corporation |
GPOR |
402635502 |
875 |
$143,281.25 |
0.28% |
| Innovex International, Inc. |
INVX |
457651107 |
5,234 |
$143,359.26 |
0.28% |
| OPENLANE Inc. |
OPLN |
48238T109 |
3,847 |
$142,262.06 |
0.28% |
| Installed Building Products, Inc. |
IBP |
45780R101 |
730 |
$137,196.20 |
0.27% |
| Knight-Swift Transportation Holdings Inc. |
KNX |
499049104 |
2,134 |
$139,307.52 |
0.27% |
| Mercury Systems, Inc. |
MRCY |
589378108 |
1,783 |
$136,239.03 |
0.27% |
| Sterling Infrastructure, Inc. |
STRL |
859241101 |
308 |
$137,445.00 |
0.27% |
| Tarsus Pharmaceuticals, Inc. |
TARS |
87650L103 |
1,941 |
$137,791.59 |
0.27% |
| Alkermes Plc |
ALKS |
G01767105 |
3,359 |
$134,695.90 |
0.26% |
| Cogent Biosciences, Inc. |
COGT |
19240Q201 |
4,470 |
$131,909.70 |
0.26% |
| Park Aerospace Corp. |
PKE |
70014A104 |
5,086 |
$133,609.22 |
0.26% |
| Scorpio Tankers Inc. |
STNG |
Y7542C130 |
1,591 |
$131,814.35 |
0.26% |
| Champion Homes Inc. |
SKY |
830830105 |
1,621 |
$129,582.74 |
0.25% |
| CSW Industrials, Inc. |
CSW |
126402106 |
430 |
$125,190.20 |
0.25% |
| Hut 8 Corp. |
HUT |
44812J104 |
1,673 |
$127,298.57 |
0.25% |
| Harley-Davidson, Inc. |
HOG |
412822108 |
4,464 |
$123,161.76 |
0.24% |
| Heartflow, Inc. |
HTFL |
42238D107 |
2,390 |
$121,662.97 |
0.24% |
| Rush Enterprises, Inc. (Class A) |
RUSHA |
781846209 |
2,707 |
$121,544.30 |
0.24% |
| Arrowhead Pharmaceuticals, Inc. |
ARWR |
04280A100 |
1,959 |
$114,601.50 |
0.23% |
| DPC Holdings Plc |
DPC |
G2R11M108 |
3,682 |
$116,977.14 |
0.23% |
| EnPro, Inc. |
NPO |
29355X107 |
409 |
$116,127.37 |
0.23% |
| ESCO Technologies Inc. |
ESE |
296315104 |
468 |
$118,249.56 |
0.23% |
| Helmerich & Payne, Inc. |
HP |
423452101 |
3,083 |
$116,167.44 |
0.23% |
| Innodata, Inc. |
INOD |
457642205 |
2,067 |
$116,930.19 |
0.23% |
| Rush Street Interactive, Inc. |
RSI |
782011100 |
6,120 |
$116,035.20 |
0.23% |
| The Timken Company |
TKR |
887389104 |
1,033 |
$116,739.33 |
0.23% |
| Construction Partners, Inc. (Class A) |
ROAD |
21044C107 |
1,329 |
$110,612.67 |
0.22% |
| Everpure, Inc. (Class A) |
P |
74624M102 |
855 |
$114,057.00 |
0.22% |
| First Advantage Corporation |
FA |
31846B108 |
5,544 |
$111,323.52 |
0.22% |
| Target Hospitality Corp. |
TH |
87615L107 |
7,142 |
$114,414.84 |
0.22% |
| Figure Technology Solutions, Inc. (Class A) |
FIGR |
349381103 |
3,597 |
$99,528.99 |
0.20% |
| AtriCure, Inc. |
ATRC |
04963C209 |
1,643 |
$94,932.54 |
0.19% |
| Cactus, Inc. (Class A) |
WHD |
127203107 |
1,588 |
$97,169.72 |
0.19% |
| Modine Manufacturing Company |
MOD |
607828100 |
643 |
$99,028.43 |
0.19% |
| Dianthus Therapeutics, Inc. |
DNTH |
252828108 |
1,231 |
$91,746.43 |
0.18% |
| Red Violet, Inc. |
RDVT |
75704L104 |
1,167 |
$90,057.39 |
0.18% |
| Toast, Inc. (Class A) |
TOST |
888787108 |
2,918 |
$94,017.96 |
0.18% |
| Axsome Therapeutics, Inc. |
AXSM |
05464T104 |
543 |
$87,851.97 |
0.17% |
| Huron Consulting Group Inc. |
HURN |
447462102 |
494 |
$86,682.18 |
0.17% |
| Vishay Precision Group, Inc. |
VPG |
92835K103 |
1,209 |
$77,448.54 |
0.15% |
| Eos Energy Enterprises, Inc. |
EOSE |
29415C101 |
27,749 |
$59,937.84 |
0.12% |
| Uranium Energy Corp. |
UEC |
916896103 |
7,084 |
$57,876.28 |
0.11% |
| Lithia Motors, Inc. |
LAD |
536797103 |
180 |
$53,155.80 |
0.10% |
| Cardinal Infrastructure Group Inc. (Class A) |
CDNL |
14154A102 |
2,667 |
$42,458.64 |
0.08% |
| Gentherm Incorporated |
THRM |
37253A103 |
287 |
$8,555.46 |
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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