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
Michael A. Ruzek
|PFM Asset Management||Richard Babbe
|Soltis Investment Advisors, LLC||Thomas Adams
Kim D. Anderson
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
Daniel H Payne
|Zions Capital Advisors DBA for Contango Capital Advisors Inc.||Scott R. Burnett|
John R. Byerly Jr.
Gary M. Hill
Chad J. Oviat
*New as of this list.