Alta Capital Management LLC
Registered investment adviser · Salt Lake City, UT · CRD #106786
Form ADV data as of 2026-09-01Regulatory assets
$1.60 billion
Total accounts
1,295
Employees
19
Disclosure events
2
Firm details
- Website: https://www.linkedin.com/company/alta-capital-management/
- Telephone: 801-274-6010
- SEC file number: 801-50778
- Most recent Form ADV filing: 2026-06-26
- SEC record: View this firm on the SEC's IAPD site
Disciplinary disclosures
This firm reports 1 disclosure question answered Yes, covering 2 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.
- Currently subject to a civil proceeding that could result in a disclosure under 11.H.(1)
Assets and accounts
| Provides continuous and regular supervisory or management services | Yes |
| Discretionary regulatory assets under management | $1.60 billion |
| Non-discretionary regulatory assets under management | $0 |
| Total regulatory assets under management | $1.60 billion |
| Discretionary accounts | 1,295 |
| Non-discretionary accounts | 0 |
| Total accounts | 1,295 |
| Regulatory assets under management attributable to non-U.S. persons | $62.3 million |
People
| Total employees (excluding clerical) | 19 |
| Employees performing investment advisory functions (including research) | 12 |
| Employees who are registered representatives of a broker-dealer | 0 |
| Employees registered as investment adviser representatives with a state | 12 |
| Employees registered as IARs for another investment adviser | 0 |
| Employees who are licensed insurance agents | 0 |
| Firms or persons who solicit advisory clients on the firm's behalf | 2 |
Custody
| Has custody of client cash or bank accounts | Yes |
| Has custody of client securities | Yes |
| Client funds and securities held in the firm's custody | $168.6 million |
| Clients for whom the firm has custody | 128 |
| A related person has custody of client cash or bank accounts | Yes |
| A related person has custody of client securities | Yes |
| Client funds and securities held in a related person's custody | $1.7 million |
| Clients for whom a related person has custody | 5 |
| The firm acts as a qualified custodian | No |
| A related person acts as a qualified custodian | No |
| Number of persons acting as qualified custodians for the firm's clients | 2 |
How the firm is compensated
Advisory services offered
Affiliated related persons
Reported conflicts of interest
Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:
- Buys or sells for itself securities it also recommends to clients
- Recommends securities in which it has another proprietary interest
- Recommends securities for which it serves as underwriter or general partner
- Recommends securities in which it has another sales interest
- Recommends brokers or dealers to clients
- Receives soft dollar benefits
- Compensates a non-employee for client referrals
- Provides employee compensation specifically for obtaining clients
Client types
| Type of client | Clients | Assets |
|---|---|---|
| Individuals (other than high net worth individuals) | 905 | $366.9 million |
| High net worth individuals | 288 | $642.8 million |
| Pooled investment vehicles (other than investment companies and BDCs) | 2 | $62.3 million |
| Pension and profit sharing plans (not the participants or government plans) | 22 | $168.1 million |
| Charitable organizations | 7 | $20.8 million |
| State or municipal government entities (including government pension plans) | Not reported | $3.2 million |
| Corporations or other businesses not listed above | 64 | $285.5 million |
| Other | 20 | $48.9 million |