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James Merlin Francis

Alta Capital Management LLC

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About James Merlin Francis

James Merlin Francis is an Investment Advisor Representative associated with Alta Capital Management LLC. James has been in the industry since 1996 and has been registered with the state of Georgia as an Investment Advisor Representative since May 30, 2024. James has also been registered with the state of Georgia as a Broker since 2004. James is a registered representative with Alta Capital Management LLC, and has previously worked at Aston Funds Distributors, Inc., Prudential Securities Incorporated.

Firm Information

James Francis is currently registered with Alta Capital Management LLC. Alta Capital Management LLC is an investment advisor registered with the SEC and located in SALT LAKE CITY, UT. The firm provides financial planning, portfolio management for individuals, businesses, investment companies, and pooled investment vehicles, as well as selection of other advisors. They manage over $1.7 billion in assets for a variety of clients, including high-net-worth individuals, corporations, pension plans, charitable organizations, and pooled investment vehicles. The firm also has experience working with religious institutions, limited partnerships, and UMA platforms.
Alta Capital Management LLC

6440 SOUTH WASATCH BLVD

SALT LAKE CITY, UT 84121

$1.71B

Assets Under Management

16

Total Clients

14

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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portfolio management for investment companies

Strategic management for diversified investment portfolios.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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percentage of assets

A percentage of the total value of assets under management is charged.

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James Francis’s Registration & Firm History

UT

11/13/2024 - Present

Alta Capital Management LLC (SALT LAKE CITY UT)

GA

05/14/2004 - 12/31/2006

ASTON FUNDS DISTRIBUTORS, INC. (ATLANTA GA)

NY

05/01/1997 - 06/19/1998

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

NY

09/05/1996 - 01/04/1997

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

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Licenses & Designations

IA

Issued 05/28/2024

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 05/20/2004

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 05/13/2004

Series 6 - Investment Company Products/Variable Contracts Representative Examination

BC

Issued 09/04/1996

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There are no public disclosures for James Merlin Francis.
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