Carter D. Allen

ALTA CAPITAL MANAGEMENT LLC

Salt Lake City, UT 84121

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CRD#: 6971991

Professional summary

Carter Douglas Allen is a registered financial advisor currently at ALTA CAPITAL MANAGEMENT LLC located in Salt Lake City, Utah.

Carter is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. Carter has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carter Douglas Allen's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

December 16, 2019 - Present

ALTA CAPITAL MANAGEMENT LLC

Office #1: 6440 South Wasatch Blvd Suite 260, Salt Lake City, UT 84121

RIA

CRD#: 106786

Salt Lake City, UT

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ALTA CAPITAL MANAGEMENT LLC

CRD#: 106786 / SEC#: 801-50778

RIA

Registered Investment Advisory firm - (12/11/1995 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Utah
(12/16/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/13/2019

Uniform Investment Adviser Law Examination

Current Firm

ALTA CAPITAL MANAGEMENT LLC

CRD#: 106786 / SEC#: 801-50778

RIA

Registered Investment Advisory firm - (12/11/1995 Approved)

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Contact information

Main Address

6440 South Wasatch Blvd Suite 260, Salt Lake City, UT 84121

Mailing Address

Phone number

(801) 274-6010

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ALTA CAPITAL ADV PART 2 (8/15/2025)

Regulatory assets under management

Total Number of Accounts	1,354
AUM (Assets Under Management)	$ 1,788,897,170

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/12/2025	Cover Page	Report
07/02/2024	Cover Page	Report
05/19/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Carter D. Allen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carter Douglas Allen's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALTA CAPITAL MANAGEMENT LLC

Primary Firm SEC Registration

ALTA CAPITAL MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/13/2019

Current Firm

ALTA CAPITAL MANAGEMENT LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

ALTA CAPITAL MANAGEMENT LLC

TRUST BUT VERIFY

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