July 1, 2021
To: Public Treasurers
Subject: Certified Investment Advisers
Following is the list of Certified Investment Advisers for the quarter beginning July 1, 2021 through September 30, 2021. This list supersedes the list dated April 1, 2021 and updated April 15 and May.
Transactions involving authorized deposits or investments of public funds may be conducted only through issuers of securities authorized by Section 51-7-11(3), qualified depositories (refer to current list), certified agents of dealers (see list), or the Certified Investment Advisers included in this list. Certified Investment Advisers may now use their own list of brokers to purchase investments for public entity accounts. Authorized deposits or investments are generally limited to those securities listed in Section 51-7-11(3).
The following are changes from the list dated April 1, 2021 and updated 4/15/21 and in May. Name Changes: None. Additions: Alliance Bernstein LP has added Timothy T Brown Jr., Tyler Gatherum and Lauren A. Jones; PFM Asset Management LLC has added Lukas Schneider & Stefani VonHoltum-Niesent; Peterson Wealth Services Inc., is new with 3 agents; Zions Capitol Advisers added Bruce O Snow on April 15, 2021. Deletions: Alliance Bernstein LP deleted Ward V Cerny & Robert H Statton; Morton Asset Management deleted Dawn Dachenhausen; PFM Asset Management deleted Marc McClure; Soltis Investment deleted Benjamin W Justice; Wells Fargo Clearing Services deleted Dane Bradshaw & Josh Burgon; As of 5/20/21 Raymond James and all agents are deleted.
All securities purchased through a certified investment adviser are still required to be delivered to the public treasurer or to the treasurer's safekeeping bank.
Advisers included in this list have met the minimum standards established by Utah Administrative Code, Section R628-15. Inclusion in the list of certified investment advisers does not constitute an endorsement or recommendation by the Money Management Council or by the Securities Division of the Department of Commerce. Compliance with the Money Management Act and Rules of the Council continues to be the responsibility of each public treasurer.
| Advisory Firm | Investment Representatives | |
|---|---|---|
| Alliance Bernstein LP | *Timothy T Brown Jr Mary Conroy Edward C O'Conner Jonathan M Fung *Tyler Gatherum *Lauren A Jones Darreld E Turner II Jonathan Underkofler Walker T Williams |
|
| FHN Financial Main Street Advisors | Gregory Balls Richard L. Phillips |
|
| Moreton Asset Management, LLC | Jordan C. Hansen Andrew J. Robbins Ben R. Sehy Jason M. Williams |
|
| PFM Asset Management | Christopher Blackwood Ellen Clark *Stefani VonHoltum-Niesent *Lukas Schneider |
|
| *Peterson Wealth Services, Inc | *Billy Peterson *Shaun Peterson *Margaret Pig |
Soltis Investment Advisors, LLC | Kim D. Anderson Cabe Atkinson Tyler J Finlinson Christie N Krompel Brent D Moore Clark V Taylor William W Wallace Tyler K Wilkinson Shawn S Woods |
| Wells Fargo Clearing Services LLC | Matthew Hufford Daniel H Payne Timothy Payne Christopher Soutas |
|
| Zions Capital Advisors | Scott R Burnett John R Byerly Jr Peter Kelson *Bruce Snow |
*New as of this list.