Utah State Treasurer
David Damschen


Certified Investment Adviser List

January 1, 2018

To: Public Treasurers

Subject: Certified Investment Advisers

Following is the list of Certified Investment Advisers for the quarter beginning January 1, 2018 through March 31, 2018. This list supersedes the list dated October 1, 2017.

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 October 1, 2017. Name Changes: None. Additions: Soltis Investment Advisors, LLC added Cabe Atkinson in August, inadvertently left off list. Deletions: Wells Fargo Clearing Services LLC has deleted David Payne. All securities purchased through a certified investment adviser are required to be delivered to the public treasurer or to the treasurer’s safekeeping bank. Please remember to send a copy of your I.A. statement and broker confirm when filing your deposit and investment report to the Council.

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 Joseph E. Brienza
Ward V. Cerny
Franklin J. Landen
Shannon M. Spangler
Moreton Asset Management, LLC Jordan C. Hansen
Andrew J. Robbins
Ben R. Sehy
Jason M. Williams
Morgan Stanley Cody C. Adams
Paul Barton
Douglas Felt
Brian Parcell
Michael A. Ruzek
PFM Asset Management Richard Babbe
Christopher Blackwood
Lauren Brant
Ellen Clark
Emily Ferguson
Marc Mclure
Soltis Investment Advisors, LLC Thomas Adams
Hal Anderson
Kim D. Anderson
*Cabe Atkinson
Tyler J. Finlinson
Lon E Henderson
Brent D. Moore
James G. Shumway
Clark V. Taylor
William W. Wallace
Tyler K. Wilkinson
Shawn S. Woods
Wells Fargo Clearing Services LLC Dane Bradshaw
Josh Burgon
Matthew Hufford
Daniel H Payne
Timothy Payne
Christopher Soutas
Zions Capital Advisors DBA for Contango Capital Advisors Inc. Scott R. Burnett
John R. Byerly Jr.
Gary M. Hill
Alan Last
Brian Moore
Maryam Nanjee
Chad J. Oviat

*New as of this list.