DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Alta Capital Management LLC
Latest filing Jun 26, 2026
First filing on the tape Feb 29, 2012 · 28 filings
SEC status approved since Dec 11, 1995
RAUM
$1.6B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
63%
$1.0B individuals and HNW
Advisors
12
registered through the firm on IAPD
RAUM per advisor
$133M
derived; firm RAUM over IAPD count
Employees
19
12 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$1.6B as of Jun 26, 2026
Feb 29, 2012$738M then
HNW client RAUM$643M as of Jun 26, 2026
Mar 23, 2018$500M then
State-registered IARs (5.B.3)12 as of Jun 26, 2026
Feb 29, 20120 then
Employees (5.A)19 as of Jun 26, 2026
Mar 14, 201312 then
Private funds: no history
RAUM -11% over the last fiscal year+2.8% a year over threeIARs 16 to 12offices 6 to 2
Practice profile
derived from the filing of Jun 26, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $133MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 99derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 12%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 4.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- -11%derivedbetween the last two annual amendments
- Advisor growth, one year
- -25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $169M, 128 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$643M41%
- Individuals$367M24%
- Corporations and businesses$285M18%
- Pension and profit-sharing plans$168M11%
- Pooled investment vehicles$62.3M4.0%
- Charitable organizations$20.8M1.3%
- State and municipal entities$3.2M0.2%
- Individual clients
- 905reported
- HNW clients
- 288reported
- Pension plan clients
- 22reported
- Charitable clients
- 7reported
- Accounts
- 1,295reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- $0 sponsored, $176M managedreported
- Custody of client assets
- $169M for 128 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.63 fund_share=0.04 institutional_share=0.12 related_bd=true related_bank=false bd_reps=0.0derived
Advisors registered through the firm
12 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Andrew Harvin Schaffernoth | Glen Allen, Va | Jul 20, 2006 | 25 y | 2 |
| Casey D NelsenChartered Financial Analyst | Salt Lake City, Ut | Oct 8, 2014 | 19 y | 0 |
| Michael Ottosen Tempest | Salt Lake City, Ut | Apr 10, 2017 | 38 y | 0 |
| Nirvon Ali MahdaviChartered Financial Analyst | Salt Lake City, Ut | Oct 18, 2019 | 14 y | 0 |
| Curtis Ken Lingren | Salt Lake City, Ut | Oct 21, 2019 | 11 y | 0 |
| Carter Douglas AllenChartered Financial Analyst | Salt Lake City, Ut | Dec 16, 2019 | 10 y | 0 |
| Ruairi Chapman | Salt Lake City, Ut | Sep 28, 2022 | 18 y | 0 |
| Daniel James Lasky | Salt Lake City, Ut | Dec 12, 2022 | 10 y | 0 |
| Todd Bradford Kearney | Salt Lake City, Ut | Mar 20, 2023 | 31 y | 0 |
| Chris Wade MachesneyCertified Financial Planner, Chartered Financial Analyst | Salt Lake City, Ut | Apr 23, 2024 | 13 y | 1 |
| Charles Frederick RadtkeChartered Financial Analyst | Salt Lake City, Ut | Aug 26, 2024 | 30 y | 1 |
| James Merlin Francis | Salt Lake City, Ut | Nov 13, 2024 | 25 y | 1 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 8.3% of current headcount3 left over 36 months
Left, latest
- Amy Clingenpeel Diamond to Edelman Financial EnginesMar 24, 2026 · RIA to RIA
- Zachary Brian Bitner to Commonwealth Financial NetworkAug 19, 2025 · RIA to affiliated broker-dealer or bank
- Nathan Ellis Rhees to Sterling Capital Management LLCAug 7, 2025 · Other
- Mark Thompson Woodruff to Physician Wealth Advisors, Inc.Apr 21, 2022 · RIA to RIA
- Kurt Harold Brown to Allegis Investment Advisors, LLCMay 24, 2016 · Other
Joined, latest
- Amy Clingenpeel Diamond from Narus Financial Partners, LLCJan 21, 2026 · RIA to RIA
- James Merlin Francis from Montag & Caldwell, An Advocacy Wealth CompanyNov 13, 2024 · RIA to RIA
- Charles Frederick Radtke from Barrow Hanley Global InvestorsAug 26, 2024 · Other
- Chris Wade Machesney from Russell InvestmentsApr 23, 2024 · Other
- Mark Thompson Woodruff from Goldman Sachs & Co. LLCSep 9, 2016 · Other
- Andrew Harvin Schaffernoth from Inview InvestmentsJul 20, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Arnold Charles Durham · Chief Compliance Officercontrolsince 06/2026 · owns less than 5%
- M Haley Hammond · Chief Compliance Officercontrolsince 05/2006 · owns less than 5%
- George Mavroudis · Managercontrolsince 01/2018 · owns less than 5%
- D Casey Nelsen · Chief Investment Officercontrolsince 07/2025 · owns less than 5%
- Ottosen Michael Tempest · Manager / Co-Chief Investment Officercontrolsince 01/2018 · owns less than 5%
- Michael Andrew Christodoulou · Shareholdercontrolsince 06/2024 · owns 25% to 50% of Minic Investments Limited
- Nicholas Christodoulou · Shareholdercontrolsince 06/2024 · owns 25% to 50% of Minic Investments Limited
- Diana Stephanie Christodoulou · Shareholdercontrolsince 06/2024 · owns 25% to 50% of Minic Investments Limited
- Dimitris-Stavros Chryssafou-Christodoulou · Shareholdercontrolsince 06/2024 · owns 25% to 50% of Minic Investments Limited
Entity owners
- Guardian Capital LLC · Memberdirect · owns 75% or more
- Guardian Capital US Asset · Memberdirect · owns 75% or more
- Guardian Capital Group Limited · Direct Ownerindirect · owns 75% or more of Guardian Innovations Inc.
- Guardian Innovations Inc. · Memberindirect · owns 75% or more of Guardian Capital LLC
- Minic Investments Limited · Shareholderindirect · owns 25% to 50% of Guardian Capital Group Limited
Related persons
Schedule D 7.A
- Agincourt Capital Management, LLCinvestment advisernRAUM $10.0B
- Alexandria Bancorp Limitedn
- Alexandria Global Investment Management Ltdinvestment advisern
- Guardcap Asset Management Limitedinvestment advisernRAUM $5.9B
- Guardian Capital Advisors LPinvestment advisernRAUM $2.5B
- Guardian Capital LPinvestment adviseryRAUM $11B
- Guardian Capital Real Estate Gp Inc.pooled vehicle sponsorn
- Guardian Partners Inc.investment advisern
- Modern Advisor Canada, Inc.investment advisern
- Rae & Lipskie Investment Counsel Inc.investment advisern
Advisers that list Alta Capital Management LLC as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Salt Lake City, Ut · principal | 12 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
- Glen Allen, VA1 employees
- Larkspur, CA1 employees
- , 1 employees
ADV anomalies
9 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Jun 26, 2026DURHAM, CHARLES, ARNOLD (CHIEF COMPLIANCE OFFICER) appeared on Schedule A between the filings of 2024-11-27 and 2026-06-26peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Jun 26, 2026TEMPEST, MICHAEL, OTTOSEN (MANAGER / CO-CHIEF INVESTMENT OFFICER) left Schedule A between the filings of 2024-11-27 and 2026-06-26peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Jun 26, 2026HAMMOND, HALEY, M (CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2024-11-27 and 2026-06-26peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Jun 26, 2026CHRISTODOULOU, ANDREW, MICHAEL (SHAREHOLDER) left Schedule A between the filings of 2024-11-27 and 2026-06-26peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Jun 26, 2026CHRISTODOULOU, NICHOLAS (SHAREHOLDER) left Schedule A between the filings of 2024-11-27 and 2026-06-26peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Jun 26, 2026CHRISTODOULOU, STEPHANIE, DIANA (SHAREHOLDER) left Schedule A between the filings of 2024-11-27 and 2026-06-26peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Jun 26, 2026CHRYSSAFOU-CHRISTODOULOU, DIMITRIS-STAVROS (SHAREHOLDER) left Schedule A between the filings of 2024-11-27 and 2026-06-26peers: independent wealth managers, $1B to $5B (1,360)
- employee count dropChange between filings · filing Mar 31, 2026employees (Item 5.A) moved from 28.0 to 19.0 (-32.0%) between the annual amendments of 2025-03-24 and 2026-03-31; the peer median change was +4.0% (1050 comparable advisers, 1.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,050) · 1.2% percentile
- office count dropChange between filings · filing Mar 31, 2026offices other than the principal office (Item 1.F.5) moved from 6.0 to 2.0 (-67.0%) between the annual amendments of 2025-03-24 and 2026-03-31; the peer median change was 0.0% (379 comparable advisers, 1.0th percentile of changes)peers: independent wealth managers, $1B to $5B (379) · 1.1% percentile
What changed
consecutive filings, newest first
- Accounts · 1,354 to 1,295Aug 15, 2025 to Mar 31, 2026
- Advisory employees · 18 to 12Aug 15, 2025 to Mar 31, 2026
- Advisory activities · 6 to 5Aug 15, 2025 to Mar 31, 2026
- BD registered reps · 5 to 0Aug 15, 2025 to Mar 31, 2026
- Corporate clients · 80 to 64Aug 15, 2025 to Mar 31, 2026
- HNW clients · 300 to 288Aug 15, 2025 to Mar 31, 2026
- Individual clients · 930 to 905Aug 15, 2025 to Mar 31, 2026
- Pension plan clients · 24 to 22Aug 15, 2025 to Mar 31, 2026
- Assets in custody · $188M to $169MAug 15, 2025 to Mar 31, 2026
- Employees · 28 to 19Aug 15, 2025 to Mar 31, 2026
- Financial planning clients · 101-250 to 51-100Aug 15, 2025 to Mar 31, 2026
- State-registered IARs · 16 to 12Aug 15, 2025 to Mar 31, 2026
- Other offices · 6 to 2Aug 15, 2025 to Mar 31, 2026
- Discretionary RAUM · $1.8B to $1.6BAug 15, 2025 to Mar 31, 2026
- HNW RAUM · $672M to $643MAug 15, 2025 to Mar 31, 2026
- Individual RAUM · $377M to $367MAug 15, 2025 to Mar 31, 2026
- Pension RAUM · $165M to $168MAug 15, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $64.5M to $62.3MAug 15, 2025 to Mar 31, 2026
- RAUM · $1.8B to $1.6BAug 15, 2025 to Mar 31, 2026
- Related broker-dealer · false to trueAug 15, 2025 to Mar 31, 2026
- Wrap assets (manager) · $178M to $176MAug 15, 2025 to Mar 31, 2026
- Accounts · 1,396 to 1,354Nov 27, 2024 to Mar 24, 2025
- BD registered reps · 6 to 5Nov 27, 2024 to Mar 24, 2025
- Corporate clients · 83 to 80Nov 27, 2024 to Mar 24, 2025
- HNW clients · 281 to 300Nov 27, 2024 to Mar 24, 2025
- Individual clients · 982 to 930Nov 27, 2024 to Mar 24, 2025
- Pension plan clients · 29 to 24Nov 27, 2024 to Mar 24, 2025
- Pooled vehicle clients · 3 to 2Nov 27, 2024 to Mar 24, 2025
- Assets in custody · $148M to $188MNov 27, 2024 to Mar 24, 2025
- Financial planning clients · 26-50 to 101-250Nov 27, 2024 to Mar 24, 2025
- State-registered IARs · 15 to 16Nov 27, 2024 to Mar 24, 2025
- Other offices · 7 to 6Nov 27, 2024 to Mar 24, 2025
- Discretionary RAUM · $1.7B to $1.8BNov 27, 2024 to Mar 24, 2025
- HNW RAUM · $621M to $672MNov 27, 2024 to Mar 24, 2025
- Individual RAUM · $385M to $377MNov 27, 2024 to Mar 24, 2025
- Pension RAUM · $171M to $165MNov 27, 2024 to Mar 24, 2025
- Pooled vehicle RAUM · $45.5M to $64.5MNov 27, 2024 to Mar 24, 2025
- RAUM · $1.7B to $1.8BNov 27, 2024 to Mar 24, 2025
- Wrap assets (manager) · $231M to $178MNov 27, 2024 to Mar 24, 2025
- Accounts · 1,572 to 1,396Jun 16, 2023 to Mar 28, 2024
Signals
18 dated events
- Amy Clingenpeel Diamond left Alta Capital Management Llc for Edelman Financial Engines (registered 2026-04-10)Mar 24, 2026 · Advisor changed firm · fact
- Zachary Brian Bitner left Alta Capital Management Llc for Commonwealth Financial Network (registered 2026-01-05)Aug 19, 2025 · Advisor changed firm · fact
- Nathan Ellis Rhees left Alta Capital Management Llc for Sterling Capital Management Llc (registered 2025-09-24)Aug 7, 2025 · Advisor changed firm · fact
- Michael Andrew Christodoulou (Shareholder) appeared on Schedule A of Alta Capital Management LlcNov 27, 2024 · Control person joined · fact
- Nicholas Christodoulou (Shareholder) appeared on Schedule A of Alta Capital Management LlcNov 27, 2024 · Control person joined · fact
- Diana Stephanie Christodoulou (Shareholder) appeared on Schedule A of Alta Capital Management LlcNov 27, 2024 · Control person joined · fact
- Dimitris-Stavros Chryssafou-Christodoulou (Shareholder) appeared on Schedule A of Alta Capital Management LlcNov 27, 2024 · Control person joined · fact
- Hucherard Melanie Peche (Manager) no longer on Schedule A of Alta Capital Management Llc (listed 2023-03-21, absent 2023-06-16)Jun 16, 2023 · Control person left · inference
- Ellis Nathan Rhees (Principal) no longer on Schedule A of Alta Capital Management Llc (listed 2023-03-21, absent 2023-06-16)Jun 16, 2023 · Control person left · inference
- Tyler A Partridge (Member) no longer on Schedule A of Alta Capital Management Llc (listed 2023-03-21, absent 2023-06-16)Jun 16, 2023 · Control person left · inference
- Harvin Andrew Schaffernoth (Member) no longer on Schedule A of Alta Capital Management Llc (listed 2023-03-21, absent 2023-06-16)Jun 16, 2023 · Control person left · inference
- Chatfield Libbey Nelsen (Member) no longer on Schedule A of Alta Capital Management Llc (listed 2023-03-21, absent 2023-06-16)Jun 16, 2023 · Control person left · inference
- Samantha Irina Libon (Member) no longer on Schedule A of Alta Capital Management Llc (listed 2023-03-21, absent 2023-06-16)Jun 16, 2023 · Control person left · inference
- Bauer Deborah Tempest (Member) no longer on Schedule A of Alta Capital Management Llc (listed 2023-03-21, absent 2023-06-16)Jun 16, 2023 · Control person left · inference
- M Steven Racker (Trustee) no longer on Schedule A of Alta Capital Management Llc (listed 2023-03-21, absent 2023-06-16)Jun 16, 2023 · Control person left · inference
- Alta Capital Management Llc reported RAUM $1.5B, down 33% from $2.2B (2022-03-24 to 2023-03-21)Mar 21, 2023 · RAUM change · derived
- Mark Thompson Woodruff left Alta Capital Management Llc for Physician Wealth Advisors, Inc. (registered 2022-04-18)Apr 21, 2022 · Advisor changed firm · fact
- M Steven Racker (Trustee) appeared on Schedule A of Alta Capital Management LlcMar 24, 2022 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- contactaltacapital@altacapital.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 801-274-6010reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 801-274-8061reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/alta-capital-managementreportedpublic record, Form ADV, Sep 17, 2026
- Website
- ALTACAPITAL.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 801-274-6010reportedpublic record, Form ADV, Jun 26, 2026
- Contact form
- altacapital.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- altacapital.com/our-peoplereportedpublished by the firm, firm site, Sep 15, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $133Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026