|
|
 |
|
Holdings of the Fund as of 10/9/2026
Total Number of Holdings (excluding cash): 204
| Xometry, Inc. (Class A) |
XMTR |
98423F109 |
9,244 |
$1,026,731.08 |
1.96% |
| Twist Bioscience Corporation |
TWST |
90184D100 |
5,623 |
$898,442.94 |
1.71% |
| JFrog Ltd. |
FROG |
M6191J100 |
8,599 |
$879,075.77 |
1.68% |
| Zeta Global Holdings Corp. (Class A) |
ZETA |
98956A105 |
24,370 |
$806,403.30 |
1.54% |
| Repligen Corporation |
RGEN |
759916109 |
4,246 |
$738,294.45 |
1.41% |
| FirstCash Holdings, Inc. |
FCFS |
33768G107 |
3,446 |
$736,410.20 |
1.40% |
| Guardant Health, Inc. |
GH |
40131M109 |
4,210 |
$705,048.70 |
1.34% |
| Varonis Systems, Inc. |
VRNS |
922280102 |
13,922 |
$697,770.64 |
1.33% |
| Travere Therapeutics, Inc. |
TVTX |
89422G107 |
12,863 |
$670,484.00 |
1.28% |
| Protagonist Therapeutics, Inc. |
PTGX |
74366E102 |
4,393 |
$631,405.89 |
1.20% |
| SailPoint, Inc. |
SAIL |
78781J109 |
30,200 |
$627,254.00 |
1.20% |
| Rubrik, Inc. (Class A) |
RBRK |
781154109 |
4,785 |
$598,794.90 |
1.14% |
| Ligand Pharmaceuticals Inc. (Class B) |
LGND |
53220K504 |
1,813 |
$547,181.53 |
1.04% |
| Silicon Motion Technology Corporation (ADR) |
SIMO |
82706C108 |
2,027 |
$534,925.30 |
1.02% |
| Spyre Therapeutics, Inc. |
SYRE |
00773J202 |
6,093 |
$522,109.17 |
1.00% |
| Halozyme Therapeutics, Inc. |
HALO |
40637H109 |
4,690 |
$517,869.80 |
0.99% |
| Fastly, Inc. (Class A) |
FSLY |
31188V100 |
17,078 |
$500,385.40 |
0.95% |
| EZCORP, Inc. |
EZPW |
302301106 |
15,050 |
$480,998.00 |
0.92% |
| VSE Corporation |
VSEC |
918284100 |
2,677 |
$464,807.51 |
0.89% |
| Exelixis, Inc. |
EXEL |
30161Q104 |
7,337 |
$439,192.82 |
0.84% |
| Ollie's Bargain Outlet Holdings, Inc. |
OLLI |
681116109 |
5,190 |
$442,862.70 |
0.84% |
| DigitalOcean Holdings, Inc. |
DOCN |
25402D102 |
3,088 |
$416,324.16 |
0.79% |
| Edgewise Therapeutics, Inc. |
EWTX |
28036F105 |
10,291 |
$401,966.46 |
0.77% |
| MACOM Technology Solutions Holdings, Inc. |
MTSI |
55405Y100 |
1,230 |
$405,973.80 |
0.77% |
| Manhattan Associates, Inc. |
MANH |
562750109 |
1,980 |
$405,682.20 |
0.77% |
| Praxis Precision Medicines, Inc. |
PRAX |
74006W207 |
1,548 |
$402,263.28 |
0.77% |
| Definium Therapeutics Inc. |
DFTX |
24477V105 |
10,629 |
$392,210.10 |
0.75% |
| MaxLinear, Inc. |
MXL |
57776J100 |
4,074 |
$391,755.84 |
0.75% |
| Virtu Financial, Inc. (Class A) |
VIRT |
928254101 |
6,649 |
$382,383.99 |
0.73% |
| RBC Bearings Incorporated |
RBC |
75524B104 |
750 |
$377,760.00 |
0.72% |
| Acadian Asset Management Inc. |
AAMI |
10948W103 |
3,988 |
$373,715.48 |
0.71% |
| ICON Plc |
ICLR |
G4705A100 |
2,147 |
$352,472.99 |
0.67% |
| WisdomTree, Inc. |
WT |
97717P104 |
15,553 |
$351,653.33 |
0.67% |
| The Chefs' Warehouse, Inc. |
CHEF |
163086101 |
3,019 |
$345,132.08 |
0.66% |
| Five9, Inc. |
FIVN |
338307101 |
9,394 |
$341,941.60 |
0.65% |
| Life Time Group Holdings, Inc. |
LTH |
53190C102 |
8,410 |
$341,614.20 |
0.65% |
| First Watch Restaurant Group, Inc. |
FWRG |
33748L101 |
30,016 |
$329,575.68 |
0.63% |
| Kymera Therapeutics, Inc. |
KYMR |
501575104 |
2,918 |
$327,983.20 |
0.63% |
| Medpace Holdings, Inc. |
MEDP |
58506Q109 |
542 |
$331,731.10 |
0.63% |
| Wingstop Inc. |
WING |
974155103 |
2,710 |
$331,324.60 |
0.63% |
| Encore Capital Group, Inc. |
ECPG |
292554102 |
3,273 |
$326,547.21 |
0.62% |
| Glaukos Corporation |
GKOS |
377322102 |
1,959 |
$324,586.71 |
0.62% |
| Leonardo DRS, Inc. |
DRS |
52661A108 |
8,901 |
$322,572.24 |
0.62% |
| Netskope, Inc. (Class A) |
NTSK |
64119N608 |
15,633 |
$324,462.93 |
0.62% |
| Five Below, Inc. |
FIVE |
33829M101 |
1,480 |
$317,800.40 |
0.61% |
| US Dollar |
$USD |
|
317,889 |
$317,888.88 |
0.61% |
| Bandwidth Inc. (Class A) |
BAND |
05988J103 |
5,864 |
$312,375.28 |
0.60% |
| Boot Barn Holdings, Inc. |
BOOT |
099406100 |
2,606 |
$312,615.76 |
0.60% |
| Piper Sandler Companies |
PIPR |
724078209 |
4,794 |
$312,952.32 |
0.60% |
| Septerna, Inc. |
SEPN |
81734D104 |
8,235 |
$315,976.95 |
0.60% |
| AeroVironment, Inc. |
AVAV |
008073108 |
2,251 |
$308,634.61 |
0.59% |
| HealthEquity, Inc. |
HQY |
42226A107 |
3,335 |
$308,854.35 |
0.59% |
| iRhythm Holdings, Inc. |
IRTC |
450056106 |
2,918 |
$311,350.60 |
0.59% |
| Lattice Semiconductor Corporation |
LSCC |
518415104 |
2,460 |
$310,083.00 |
0.59% |
| Powell Industries, Inc. |
POWL |
739128106 |
1,605 |
$308,047.65 |
0.59% |
| Magnolia Oil & Gas Corporation (Class A) |
MGY |
559663109 |
12,674 |
$305,443.40 |
0.58% |
| Semtech Corporation |
SMTC |
816850101 |
1,584 |
$296,683.20 |
0.57% |
| The Descartes Systems Group Inc. |
DSGX |
249906108 |
3,544 |
$293,514.08 |
0.56% |
| PTC Therapeutics, Inc. |
PTCT |
69366J200 |
4,419 |
$285,909.30 |
0.55% |
| Supernus Pharmaceuticals, Inc. |
SUPN |
868459108 |
6,587 |
$281,067.29 |
0.54% |
| Genius Sports Limited |
GENI |
G3934V109 |
41,897 |
$278,615.05 |
0.53% |
| IMAX Corporation |
IMAX |
45245E109 |
5,450 |
$276,860.00 |
0.53% |
| Viper Energy, Inc. (Class A) |
VNOM |
64361Q101 |
6,420 |
$275,995.80 |
0.53% |
| e.l.f. Beauty, Inc. |
ELF |
26856L103 |
2,490 |
$271,982.70 |
0.52% |
| nLight, Inc. |
LASR |
65487K100 |
7,066 |
$271,899.68 |
0.52% |
| Remitly Global, Inc. |
RELY |
75960P104 |
11,282 |
$272,234.66 |
0.52% |
| Victoria's Secret & Co. |
VSXY |
926400102 |
3,300 |
$273,471.00 |
0.52% |
| Andersen Group Inc. (Class A) |
ANDG |
033853102 |
4,687 |
$266,315.34 |
0.51% |
| Guidewire Software, Inc. |
GWRE |
40171V100 |
1,584 |
$265,034.88 |
0.51% |
| Xenon Pharmaceuticals Inc. |
XENE |
98420N105 |
7,333 |
$267,214.52 |
0.51% |
| Karman Holdings Inc. |
KRMN |
485924104 |
8,109 |
$264,272.31 |
0.50% |
| Kratos Defense & Security Solutions, Inc. |
KTOS |
50077B207 |
6,212 |
$263,140.32 |
0.50% |
| Onto Innovation Inc. |
ONTO |
683344105 |
892 |
$262,720.76 |
0.50% |
| SentinelOne, Inc. (Class A) |
S |
81730H109 |
9,880 |
$259,547.60 |
0.50% |
| Tidewater Inc. |
TDW |
88642R109 |
3,057 |
$261,128.94 |
0.50% |
| Agilysys, Inc. |
AGYS |
00847J105 |
2,439 |
$256,168.17 |
0.49% |
| Rambus Inc. |
RMBS |
750917106 |
2,397 |
$257,605.59 |
0.49% |
| Sezzle Inc. |
SEZL |
78435P105 |
1,985 |
$255,350.40 |
0.49% |
| Paymentus Holdings, Inc. (Class A) |
PAY |
70439P108 |
7,914 |
$252,298.32 |
0.48% |
| Moog Inc. |
MOG/A |
615394202 |
678 |
$246,175.02 |
0.47% |
| Palomar Holdings, Inc. |
PLMR |
69753M105 |
1,876 |
$245,305.76 |
0.47% |
| Viavi Solutions Inc. |
VIAV |
925550105 |
5,420 |
$246,393.20 |
0.47% |
| Adaptive Biotechnologies Corporation |
ADPT |
00650F109 |
9,035 |
$239,337.15 |
0.46% |
| Amylyx Pharmaceuticals, Inc. |
AMLX |
03237H101 |
8,658 |
$243,636.12 |
0.46% |
| Balchem Corporation |
BCPC |
057665200 |
1,438 |
$241,339.54 |
0.46% |
| BWX Technologies, Inc. |
BWXT |
05605H100 |
1,668 |
$239,908.44 |
0.46% |
| Flywire Corporation |
FLYW |
302492103 |
12,966 |
$243,242.16 |
0.46% |
| MAXIMUS, Inc. |
MMS |
577933104 |
4,086 |
$242,667.54 |
0.46% |
| Natera, Inc. |
NTRA |
632307104 |
596 |
$238,823.16 |
0.46% |
| TechnipFMC Plc |
FTI |
G87110105 |
3,439 |
$239,251.23 |
0.46% |
| FIGS, Inc. (Class A) |
FIGS |
30260D103 |
14,904 |
$235,185.12 |
0.45% |
| Scholar Rock Holding Corporation |
SRRK |
80706P103 |
5,606 |
$236,517.14 |
0.45% |
| Camtek Ltd. |
CAMT |
M20791105 |
1,501 |
$229,367.81 |
0.44% |
| CECO Environmental Corp. |
CECO |
125141101 |
3,492 |
$229,843.44 |
0.44% |
| Fabrinet |
FN |
G3323L100 |
479 |
$232,928.12 |
0.44% |
| Sitime Corporation |
SITM |
82982T106 |
375 |
$229,638.75 |
0.44% |
| Dave Inc. (Class A) |
DAVE |
23834J201 |
617 |
$227,315.14 |
0.43% |
| Impinj, Inc. |
PI |
453204109 |
1,188 |
$225,280.44 |
0.43% |
| AXT, Inc. |
AXTI |
00246W103 |
3,250 |
$222,495.00 |
0.42% |
| Cognex Corporation |
CGNX |
192422103 |
3,460 |
$217,703.20 |
0.42% |
| ExlService Holdings, Inc. |
EXLS |
302081104 |
5,949 |
$218,863.71 |
0.42% |
| MSC Industrial Direct Co., Inc. (Class A) |
MSM |
553530106 |
1,716 |
$222,239.16 |
0.42% |
| The Cheesecake Factory Incorporated |
CAKE |
163072101 |
2,024 |
$219,502.80 |
0.42% |
| Axogen, Inc. |
AXGN |
05463X106 |
6,003 |
$216,888.39 |
0.41% |
| Elastic N.V. |
ESTC |
N14506104 |
2,182 |
$214,337.86 |
0.41% |
| Globus Medical, Inc. (Class A) |
GMED |
379577208 |
2,897 |
$216,261.05 |
0.41% |
| Solaris Energy Infrastructure, Inc. (Class A) |
SEI |
83418M103 |
2,827 |
$215,982.80 |
0.41% |
| Amprius Technologies, Inc. |
AMPX |
03214Q108 |
22,387 |
$211,333.28 |
0.40% |
| Archrock, Inc. |
AROC |
03957W106 |
6,879 |
$208,296.12 |
0.40% |
| Commvault Systems, Inc. |
CVLT |
204166102 |
1,314 |
$206,626.50 |
0.39% |
| Global-E Online Ltd. |
GLBE |
M5216V106 |
5,044 |
$203,727.16 |
0.39% |
| Herc Holdings, Inc. |
HRI |
42704L104 |
1,647 |
$203,338.62 |
0.39% |
| IAMGOLD Corporation |
IAG |
450913108 |
10,869 |
$204,337.20 |
0.39% |
| Star Bulk Carriers Corp. |
SBLK |
Y8162K204 |
6,652 |
$197,564.40 |
0.38% |
| Steven Madden, Ltd. |
SHOO |
556269108 |
4,487 |
$198,774.10 |
0.38% |
| Braze, Inc. (Class A) |
BRZE |
10576N102 |
6,754 |
$196,271.24 |
0.37% |
| Garrett Motion Inc. |
GTX |
366505105 |
7,321 |
$192,103.04 |
0.37% |
| Neptune Insurance Holdings Inc. (Class A) |
NP |
64073B103 |
6,829 |
$196,265.46 |
0.37% |
| Ryan Specialty Holdings, Inc. (Class A) |
RYAN |
78351F107 |
5,211 |
$192,859.11 |
0.37% |
| StoneX Group Inc. |
SNEX |
861896108 |
3,128 |
$191,543.12 |
0.37% |
| Almonty Industries Inc. |
ALM |
020398707 |
15,893 |
$188,649.91 |
0.36% |
| Customers Bancorp, Inc. |
CUBI |
23204G100 |
2,572 |
$190,430.88 |
0.36% |
| Federal Signal Corporation |
FSS |
313855108 |
1,679 |
$190,684.03 |
0.36% |
| Generac Holdings Inc. |
GNRC |
368736104 |
834 |
$187,599.96 |
0.36% |
| Sportradar Group AG (Class A) |
SRAD |
H8088L103 |
15,154 |
$189,273.46 |
0.36% |
| TAT Technologies Ltd. |
TATT |
M8740S227 |
5,503 |
$186,496.67 |
0.36% |
| The Vita Coco Company, Inc. |
COCO |
92846Q107 |
3,233 |
$188,774.87 |
0.36% |
| Ultra Clean Holdings, Inc. |
UCTT |
90385V107 |
2,731 |
$187,319.29 |
0.36% |
| AAON, Inc. |
AAON |
000360206 |
2,126 |
$183,176.16 |
0.35% |
| AGCO Corporation |
AGCO |
001084102 |
1,787 |
$184,561.36 |
0.35% |
| Ambarella, Inc. |
AMBA |
G037AX101 |
2,751 |
$185,499.93 |
0.35% |
| Aehr Test Systems, Inc. |
AEHR |
00760J108 |
2,112 |
$178,759.68 |
0.34% |
| Celldex Therapeutics Inc. |
CLDX |
15117B202 |
5,876 |
$175,633.64 |
0.34% |
| Immunome, Inc. |
IMNM |
45257U108 |
9,246 |
$180,759.30 |
0.34% |
| Kornit Digital Ltd. |
KRNT |
M6372Q113 |
9,839 |
$180,053.70 |
0.34% |
| American Superconductor Corporation |
AMSC |
030111207 |
5,711 |
$174,299.72 |
0.33% |
| Materion Corporation |
MTRN |
576690101 |
613 |
$171,915.85 |
0.33% |
| Oceaneering International, Inc. |
OII |
675232102 |
3,898 |
$174,669.38 |
0.33% |
| Robert Half Inc. |
RHI |
770323103 |
5,124 |
$173,857.32 |
0.33% |
| Enova International, Inc. |
ENVA |
29357K103 |
947 |
$168,632.29 |
0.32% |
| InterDigital, Inc. |
IDCC |
45867G101 |
512 |
$169,630.72 |
0.32% |
| Lindsay Corporation |
LNN |
535555106 |
1,480 |
$165,789.60 |
0.32% |
| Webull Corporation (Class A) |
BULL |
G9572D103 |
26,440 |
$166,836.40 |
0.32% |
| Freshpet, Inc. |
FRPT |
358039105 |
2,567 |
$164,467.69 |
0.31% |
| Mirion Technologies, Inc. |
MIR |
60471A101 |
9,839 |
$163,524.18 |
0.31% |
| Power Integrations, Inc. |
POWI |
739276103 |
3,314 |
$162,783.68 |
0.31% |
| Antero Resources Corporation |
AR |
03674X106 |
4,357 |
$156,416.30 |
0.30% |
| Bright Horizons Family Solutions Inc. |
BFAM |
109194100 |
2,251 |
$156,331.95 |
0.30% |
| Compass, Inc. (Class A) |
COMP |
20464U100 |
16,914 |
$158,822.46 |
0.30% |
| James Hardie Industries plc |
JHX |
G4253H101 |
6,253 |
$157,075.36 |
0.30% |
| SiteOne Landscape Supply, Inc. |
SITE |
82982L103 |
1,813 |
$158,021.08 |
0.30% |
| Sterling Infrastructure, Inc. |
STRL |
859241101 |
308 |
$158,004.00 |
0.30% |
| Zurn Elkay Water Solutions Corp. |
ZWS |
98983L108 |
3,395 |
$158,105.15 |
0.30% |
| Madrigal Pharmaceuticals, Inc. |
MDGL |
558868105 |
326 |
$153,790.50 |
0.29% |
| Marriott Vacations Worldwide Corporation |
VAC |
57164Y107 |
1,444 |
$152,110.96 |
0.29% |
| Navan, Inc. (Class A) |
NAVN |
639193101 |
6,427 |
$151,934.28 |
0.29% |
| Titan Machinery Inc. |
TITN |
88830R101 |
6,712 |
$151,892.56 |
0.29% |
| Veracyte, Inc. |
VCYT |
92337F107 |
3,337 |
$150,932.51 |
0.29% |
| Bullish |
BLSH |
G16910120 |
4,544 |
$148,088.96 |
0.28% |
| Innovex International, Inc. |
INVX |
457651107 |
5,234 |
$146,866.04 |
0.28% |
| DPC Holdings Plc |
DPC |
G2R11M108 |
3,682 |
$142,603.86 |
0.27% |
| Gulfport Energy Corporation |
GPOR |
402635502 |
875 |
$142,327.50 |
0.27% |
| Hut 8 Corp. |
HUT |
44812J104 |
1,673 |
$140,983.71 |
0.27% |
| Mercury Systems, Inc. |
MRCY |
589378108 |
1,783 |
$141,730.67 |
0.27% |
| OPENLANE Inc. |
OPLN |
48238T109 |
3,847 |
$141,223.37 |
0.27% |
| Tarsus Pharmaceuticals, Inc. |
TARS |
87650L103 |
1,941 |
$142,003.56 |
0.27% |
| Alkermes Plc |
ALKS |
G01767105 |
3,359 |
$136,408.99 |
0.26% |
| Cogent Biosciences, Inc. |
COGT |
19240Q201 |
4,470 |
$138,570.00 |
0.26% |
| Installed Building Products, Inc. |
IBP |
45780R101 |
730 |
$135,371.20 |
0.26% |
| Knight-Swift Transportation Holdings Inc. |
KNX |
499049104 |
2,134 |
$137,578.98 |
0.26% |
| Park Aerospace Corp. |
PKE |
70014A104 |
5,086 |
$134,168.68 |
0.26% |
| Scorpio Tankers Inc. |
STNG |
Y7542C130 |
1,591 |
$135,457.74 |
0.26% |
| Champion Homes Inc. |
SKY |
830830105 |
1,621 |
$129,080.23 |
0.25% |
| Everpure, Inc. (Class A) |
P |
74624M102 |
855 |
$132,088.95 |
0.25% |
| Target Hospitality Corp. |
TH |
87615L107 |
7,142 |
$131,484.22 |
0.25% |
| CSW Industrials, Inc. |
CSW |
126402106 |
430 |
$123,663.70 |
0.24% |
| EnPro, Inc. |
NPO |
29355X107 |
409 |
$127,383.05 |
0.24% |
| Innodata, Inc. |
INOD |
457642205 |
2,067 |
$128,236.68 |
0.24% |
| Arrowhead Pharmaceuticals, Inc. |
ARWR |
04280A100 |
1,959 |
$122,927.25 |
0.23% |
| ESCO Technologies Inc. |
ESE |
296315104 |
468 |
$120,664.44 |
0.23% |
| Harley-Davidson, Inc. |
HOG |
412822108 |
4,464 |
$120,081.60 |
0.23% |
| Heartflow, Inc. |
HTFL |
42238D107 |
2,390 |
$118,878.60 |
0.23% |
| Helmerich & Payne, Inc. |
HP |
423452101 |
3,083 |
$122,950.04 |
0.23% |
| Rush Enterprises, Inc. (Class A) |
RUSHA |
781846209 |
2,707 |
$120,515.64 |
0.23% |
| The Timken Company |
TKR |
887389104 |
1,033 |
$119,951.96 |
0.23% |
| Construction Partners, Inc. (Class A) |
ROAD |
21044C107 |
1,329 |
$115,370.49 |
0.22% |
| Modine Manufacturing Company |
MOD |
607828100 |
643 |
$116,743.08 |
0.22% |
| Rush Street Interactive, Inc. |
RSI |
782011100 |
6,120 |
$115,668.00 |
0.22% |
| Figure Technology Solutions, Inc. (Class A) |
FIGR |
349381103 |
3,597 |
$102,658.38 |
0.20% |
| First Advantage Corporation |
FA |
31846B108 |
5,544 |
$105,557.76 |
0.20% |
| Cactus, Inc. (Class A) |
WHD |
127203107 |
1,588 |
$100,726.84 |
0.19% |
| Dianthus Therapeutics, Inc. |
DNTH |
252828108 |
1,231 |
$101,397.47 |
0.19% |
| Red Violet, Inc. |
RDVT |
75704L104 |
1,167 |
$93,103.26 |
0.18% |
| AtriCure, Inc. |
ATRC |
04963C209 |
1,643 |
$91,695.83 |
0.17% |
| Axsome Therapeutics, Inc. |
AXSM |
05464T104 |
543 |
$91,414.05 |
0.17% |
| Toast, Inc. (Class A) |
TOST |
888787108 |
2,918 |
$91,362.58 |
0.17% |
| Vishay Precision Group, Inc. |
VPG |
92835K103 |
1,209 |
$87,809.67 |
0.17% |
| Huron Consulting Group Inc. |
HURN |
447462102 |
494 |
$82,522.70 |
0.16% |
| Eos Energy Enterprises, Inc. |
EOSE |
29415C101 |
27,749 |
$69,927.48 |
0.13% |
| Uranium Energy Corp. |
UEC |
916896103 |
7,084 |
$65,101.96 |
0.12% |
| Cardinal Infrastructure Group Inc. (Class A) |
CDNL |
14154A102 |
2,667 |
$56,327.04 |
0.11% |
| Lithia Motors, Inc. |
LAD |
536797103 |
180 |
$52,243.20 |
0.10% |
| Gentherm Incorporated |
THRM |
37253A103 |
287 |
$8,518.16 |
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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