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ALTI on Nasdaq

AlTi Global, Inc.

Global wealth and investment partner to families1

In its 2026 annual report the company says: “We manage or advise approximately $93.1 billion in combined assets as of December 31, 2025. We have approximately 490 professionals operating in 19 cities in 9 countries across three continents as of December 31, 2025.”4 It is headquartered in New York, New York.1 Its shares trade on Nasdaq under the symbol ALTI.1

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Last updated Oct 21, 2026.

Overview

$255.0MRevenue, fiscal 20252
-$119.7MNet income, fiscal 20252

Compare with Abacus Global Management, Inc., Ridgepost Capital, Inc. or Noah Holdings, or pick any stock.

  • TickerALTI on Nasdaq1
  • IndustryInvestment Advice1
  • HeadquartersNew York, New York1
  • Incorporated inDE3
  • Business address22 Vanderbilt, 27Th Floor, New York, Ny 100173
  • Filer categoryAccelerated filer, Emerging growth company3

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AlTi is a global wealth and investment partner to families, foundations and institutions, helping clients activate capital with clarity, bring structure to complexity, and plan with purpose across borders and generations. AlTi combines the breadth of a global firm with the service offering of a family office to deliver solutions designed to meet the full complexity of wealth and capital. We manage or advise approximately $93.1 billion in combined assets as of December 31, 2025. We have approximately 490 professionals operating in 19 cities in 9 countries across three continents as of December 31, 2025. We provide holistic solutions for our wealth management and Outsourced Chief Investment Officer (“OCIO”) clients through an array of services, including discretionary investment management services, non-discretionary investment advisory services, estate and wealth planning, trust and fiduc…4 From its latest annual report

Financials

From the company’s reports to the SEC. Every number links to the filing it came from.

Key numbers, fiscal 2025

-29.0%Operating margin2
-46.9%Net margin2
28.5%Revenue growth, 20252
-19.9%Return on equity2
0.00×Debt to equity2

Where the money goes

Where each dollar of revenue went, fiscal 2025

  • Other costs93¢$236.4M
  • Income tax7¢$18.6M

Out of $255.0M in revenue.2 The company lost money this year.

Financial statements

Revenue562$255.0M in 2025+237% since 2021
0$100.0M$200.0M$300.0M2021: $75.7M$75.7M20212022: $76.9M$76.9M2022+2%2023: $221.1M$221.1M2023+188%2024: $198.4M$198.4M2024−10%2025: $255.0M$255.0M2025+29%
Operating income562-$73.9M in 2025
-$75.0M-$50.0M-$25.0M0$25.0M2021: $7.8M$7.8M20212022: -$1.3M-$1.3M20222023: -$48.2M-$48.2M2023+3559%2024: -$58.9M-$58.9M2024+22%2025: -$73.9M-$73.9M2025+25%
Net income562-$119.7M in 2025
-$200.0M-$150.0M-$100.0M-$50.0M0$50.0M2021: $3.9M$3.9M20212022: -$5.9M-$5.9M20222023: -$165.6M-$165.6M2023+2714%2024: -$103.0M-$103.0M2024−38%2025: -$119.7M-$119.7M2025+16%
Fiscal year202020212022202320242025
Revenue$75.7M5$76.9M6$221.1M2$198.4M2$255.0M2
Operating expenses$67.9M5$78.2M6$269.4M2$257.3M2$328.9M2
Operating income$7.8M5-$1.3M6-$48.2M2-$58.9M2-$73.9M2
Income before tax$4.3M5-$5.5M6-$42.2M2-$123.1M2-$105.1M2
Income tax$515.0K5$527.0K6-$506.0K2-$20.9M2$18.6M2
Net income$3.9M5-$5.9M6-$165.6M2-$103.0M2-$119.7M2
Earnings per share$566.275-$839.876-$2.706-$1.596
Earnings per share (diluted)$566.275-$839.876-$2.706-$1.596
Shares (weighted, basic)7.0K shares57.0K shares661.4M shares279.7M shares299.9M shares2
Shares (weighted, diluted)7.0K shares57.0K shares6115.8M shares279.7M shares299.9M shares2

Compare AlTi Global, Inc. with another company

Corporate structure

AlTi Global, Inc. sits at the top of its group. 1 entity, 1 country on record. Switch between the flow chart and the network, and select any entity to see its details.

Major holders of AlTi Global, Inc.

  • Peter Yu Filed SCHEDULE 13G/A on AlTi Global, Inc., latest Apr 24, 2026 (5 filings since Jan 17, 2023)
  • Allianz SE Filed SCHEDULE 13D/A on AlTi Global, Inc., latest Apr 2, 2026 (3 filings since Aug 7, 2024)
  • Michael Tiedemann Filed SCHEDULE 13D/A on AlTi Global, Inc., latest Mar 31, 2026 (2 filings since Jan 13, 2023)
  • Islet Management, LP Filed SCHEDULE 13G on AlTi Global, Inc., latest Dec 29, 2025
  • IlWaddi Holdings Filed SC 13D/A on AlTi Global, Inc., latest Aug 12, 2024 (3 filings since Jan 13, 2023)
  • CITADEL ADVISORS LLC Filed SC 13G/A on AlTi Global, Inc., latest Feb 14, 2024 (3 filings since Feb 14, 2022)
  • Barclays Filed SC 13G on AlTi Global, Inc., latest Jan 27, 2023
  • Drew Figdor Filed SC 13D on AlTi Global, Inc., latest Jan 13, 2023
  • Global Goldfield Ltd Filed SC 13G on AlTi Global, Inc., latest Jan 13, 2023
  • CGC Sponsor LLC Filed SC 13G on AlTi Global, Inc., latest Feb 11, 2022
  • AlTi Global, Inc. New York, New York

Built from major holders from Schedules 13D and 13G. Each entity in the chart links to its source.

What it owns

What AlTi Global, Inc. reports owning in its annual reports to the SEC: buildings, land and equipment, real estate and locations, investments, intangible assets and inventory, at the end of its latest fiscal year and a year before.

Property and equipment

ItemLatestA year beforeChange
Accumulated depreciation$6.9M2 Dec 31, 2025$4.9M2 Dec 31, 2024+41.0%
Property and equipment, net$17.7M2 Dec 31, 2025$16.0M2 Dec 31, 2024+10.5%
Operating-lease assets (leased space)$46.7M2 Dec 31, 2025$50.4M2 Dec 31, 2024−7.4%

Investments

ItemLatestA year beforeChange
Cash and cash equivalents$41.2M2 Dec 31, 2025$64.4M2 Dec 31, 2024−36.1%
Stakes in other companies (equity method)$138.0K2 Dec 31, 2025$20.4M2 Dec 31, 2024−99.3%

Intangibles and goodwill

ItemLatestA year beforeChange
Goodwill$386.0M2 Dec 31, 2025$377.8M2 Dec 31, 2024+2.2%
Intangible assets, net (excluding goodwill)$436.2M2 Dec 31, 2025$469.6M2 Dec 31, 2024−7.1%
Indefinite-lived intangibles (excluding goodwill)$201.0M2 Dec 31, 2025
Finite-lived intangibles, gross$309.2M2 Dec 31, 2025$290.4M2 Dec 31, 2024+6.5%
Accumulated amortization$38.4M2 Dec 31, 2025$21.8M2 Dec 31, 2024+76.3%
Finite-lived intangibles, net$270.2M2 Dec 31, 2025$268.6M2 Dec 31, 2024+0.6%

Properties, in its own words

Our corporate headquarters, which we lease, is located at 22 Vanderbilt Avenue, 27th Floor, New York, NY. Additionally we lease office space in Bethesda, Dallas, Hamburg, Hong Kong, Lisbon, London, Lugano, Miami, Milan, Minneapolis, New York, Palm Beach, Paris, Portland, San Francisco, Seattle, Singapore, Wilmington and Zurich. The Company does not own any real estate. We believe that our existing office space is sufficient for our current needs.

Item 2 of the 10-K filed Mar 31, 2026.4

Leadership

Who has led AlTi Global, Inc., and when. Pick a name to see everywhere that person has worked.

Chief executive

  1. Peter Yu2021
  2. Michael Tiedemann2023–2026
  3. Nancy Ann Curtin2026–now

President

  1. Spiros Maliagros2023–2024
  2. Timothy F. Keaney2024

Chief financial officer

  1. Reid Parmelee2023
  2. Stephen D. Yarad2023–now
2025
Board members and other officers (28)

Former names

  • Alvarium Tiedemann Holdings, Inc.Jan 4, 2023 to Apr 18, 20233
  • Cartesian Growth CorpJan 7, 2021 to Jan 3, 20233

Timeline

  1. Aug 10, 20268-K Results of operations; Regulation FD disclosure46
  2. Jul 2, 20268-K Executive or director change47
  3. Jun 25, 20268-K Executive or director change; Regulation FD disclosure48
  4. Jun 18, 20268-K Shareholder vote49
  5. May 11, 20268-K Results of operations; Regulation FD disclosure50
  6. Apr 9, 2026New chief executive Nancy Ann Curtin becomes CEO13
  7. Mar 31, 20268-K Executive or director change; Regulation FD disclosure51
  8. Mar 31, 20268-K Results of operations; Regulation FD disclosure52
  9. Dec 10, 20258-K Regulation FD disclosure53
  10. Nov 12, 20258-K Results of operations; Regulation FD disclosure54
  11. Aug 11, 20258-K Regulation FD disclosure55
  12. Jul 11, 20258-K Exit or restructuring costs; Impairment56
  13. Jul 11, 20258-K Other events57
  14. Jan 13, 2023New chief executive Michael Tiedemann becomes CEO14
  15. Feb 25, 2021New chief executive Peter Yu becomes CEO15

Calendar

Coming up

  1. Nov 11, 2026Reports results for the quarter ending Sep/2026 A year earlier it reported ($0.06) a share, on Nov 12, 2025.58

When it reported results

  1. Aug 10, 2026Reported quarterly or annual results46
  2. May 11, 2026Reported quarterly or annual results50
  3. Mar 31, 2026Reported quarterly or annual results52
  4. Nov 12, 2025Reported quarterly or annual results54

Upcoming dates from Nasdaq's calendar; past results from the company's 8-K filings (Item 2.02). The full markets calendar

Filings

528 filings to the SEC since October 2021: 6 annual reports, 15 quarterly reports, 74 major events, 250 insider forms, 21 large holders, 162 other. The latest 20:

  1. Aug 13, 2026N-PX EDGAR
  2. Aug 10, 202610-Q EDGAR
  3. Aug 10, 20268-K EDGAR
  4. Aug 5, 202613F-HR EDGAR
  5. Jul 10, 2026EFFECT EDGAR
  6. Jul 2, 20268-K EDGAR
  7. Jul 2, 20264 EDGAR
  8. Jun 30, 2026S-3 EDGAR
  9. Jun 25, 20268-K EDGAR
  10. Jun 18, 20264 EDGAR
  11. Jun 18, 20264 EDGAR
  12. Jun 18, 20264 EDGAR
  13. Jun 18, 20264 EDGAR
  14. Jun 18, 20264 EDGAR
  15. Jun 18, 20264 EDGAR
  16. Jun 18, 20264 EDGAR
  17. Jun 18, 20268-K EDGAR
  18. May 29, 2026DEFA14A EDGAR
  19. May 11, 202610-Q EDGAR
  20. May 11, 20268-K EDGAR

The 528 filings since October 2021 can be filtered by form type and year here when JavaScript is on.

Every filing from the last five years, summarized. The full record is on SEC EDGAR.

Insider trades

79 open-market trades by officers, directors and large owners since October 2021: 40 buys and 39 sales. Grants, option exercises and gifts are left out.

DateWhoTradeSharesPriceValueFiling
Jun 3, 2025Moran Kevin P.President and COOSale28,509$3.47$98.9KForm 4
Jun 3, 2025Connell BrookePres, US Wealth MgmtSale21,462$3.47$74.5KForm 4
Jun 3, 2025Tiedemann MichaelChief Executive OfficerSale42,199$3.47$146.4KForm 4
Jun 3, 2025Graham Colleen AChief Legal, Compl & Risk OfcrSale22,934$3.47$79.6KForm 4
Jun 3, 2025Keenan Patrick T.Principal Accounting OfficerSale4,562$3.47$15.8KForm 4
Oct 18, 2024Maliagros SpirosPres., Strategic AlternativesSale6,475$4.00$25.9KForm 4
Oct 17, 2024Maliagros SpirosPres., Strategic AlternativesSale1,516$4.00$6.1KForm 4
Sep 17, 2024Maliagros SpirosPres., Strategic AlternativesSale5,769$4.47$25.8KForm 4
Sep 11, 2024Maliagros SpirosPres., Strategic AlternativesSale5,426$4.13$22.4KForm 4
Sep 10, 2024Maliagros SpirosPres., Strategic AlternativesSale500$4.00$2.0KForm 4
Sep 10, 2024Al-Thani Jassim Abdulaziz10% ownerBuy5,854$3.87$22.7KForm 4
Sep 9, 2024Maliagros SpirosPres., Strategic AlternativesSale5,612$4.04$22.7KForm 4
Sep 5, 2024Al-Thani Jassim Abdulaziz10% ownerBuy603$3.80$2.3KForm 4
Sep 4, 2024Al-Thani Jassim Abdulaziz10% ownerBuy12,586$3.80$47.8KForm 4
Aug 27, 2024Maliagros SpirosPres., Strategic AlternativesSale5,769$4.25$24.5KForm 4
Aug 20, 2024Moran Kevin P.President and COOSale137,500$4.00$550.0KForm 4
Aug 20, 2024Maliagros SpirosPres., Strategic AlternativesSale5,769$4.04$23.3KForm 4
Aug 20, 2024IlWaddi Holdings10% ownerBuy3,835$3.95$15.1KForm 4
Aug 16, 2024Maliagros SpirosPres., Strategic AlternativesSale2,464$4.07$10.0KForm 4
Aug 15, 2024Maliagros SpirosPres., Strategic AlternativesSale6,227$4.05$25.2KForm 4

All 79 trades can be filtered by person here when JavaScript is on.

From Forms 4 filed with the SEC.

Major holders

Investors who own more than 5% of the shares must tell the SEC: a 13D if they may seek to influence the company, a 13G if they hold passively.

Executive pay

What the company paid its top executives, from the summary compensation table in its proxy statement. Total pay includes salary, bonus, stock and option awards and other pay, as the company valued them.

YearExecutiveAgeSalaryTotal pay
2025Kevin MoranPresident and Chief Operating Officer48$450.0K$4.6M69
2025Colleen GrahamChief Legal, Compliance and Risk Officer60$425.0K$3.9M69
2025Michael TiedemannChief Executive Officer$600.0K$2.8M69
2024Michael TiedemannChief Executive Officer$600.0K$5.4M69
2024Kevin MoranPresident and Chief Operating Officer48$400.0K$2.8M69
2024Colleen GrahamChief Legal, Compliance and Risk Officer60$375.0K$2.4M69

SEC filer profile

How AlTi Global, Inc. is registered with the Securities and Exchange Commission, from its EDGAR record and the cover page of its latest annual report.

  • Name on EDGARAlTi Global, Inc.1
  • CIK0001838615
  • Employer ID (EIN)92-15522204
  • Filer statusAccelerated filer an emerging growth company; not a smaller reporting company; not a shell company4
  • Incorporated inDelaware4
  • Fiscal year endsDecember 311
  • Industry code (SIC)6282 Investment Advice1
  • SEC reviewing officeOffice of Finance, Division of Corporation Finance1
  • Business address22 Vanderbilt, 27Th Floor, New York, NY 100171
  • Phone212-461-63631
  • Shares outstanding107,438,077 Common Class A shares; 43,235,073 Common Class B shares as of Mar 31, 20264
  • Public float$313.7M as of Jun 30, 20254
  • AuditorKPMG LLP, Philadelphia, PA PCAOB ID 185; no auditor attestation of internal control over financial reporting4
  • On EDGAR sinceJan 7, 20211
  • Filings573 in all: 4 (218), 8-K (78), 144 (45), 3 (37), 425 (23), 10-Q (17), 424B3 (14), CORRESP (13)1
    All 47 form types

    13F-HR (11), UPLOAD (11), 4/A (8), DEFA14A (8), S-4/A (8), EFFECT (6), 10-K (5), SC 13D (5), SC 13G (5), ARS (4), DEF 14A (4), S-1/A (4), SC 13D/A (4), 3/A (3), NT 10-K (3), NT 10-Q (3), SC 13G/A (3), SC TO-I/A (3), SCHEDULE 13D/A (3), 25-NSE (2), 8-A12B (2), 8-K/A (2), N-PX (2), S-1 (2), S-4 (2), S-8 (2), 10-K/A (1), 25-NSE/A (1), 424B4 (1), 5 (1), CERT (1), DRS (1), POS AM (1), PRE 14A (1), S-1MEF (1), S-3 (1), SC TO-I (1), SCHEDULE 13G (1), SCHEDULE 13G/A (1)

  • Latest filingsAnnual report (10-K) Mar 31, 2026
    Quarterly report (10-Q) Aug 10, 2026
    Proxy statement (DEF 14A) Apr 30, 2026
    Latest 8-K (8-K) Aug 10, 2026

Securities registered for trading

ClassSymbolExchange
Class A Common stock, par value $0.0001 per shareALTINasdaq

From the cover page of the 10-K filed Mar 31, 2026 (Section 12(b) of the Exchange Act).4

Risk factors and legal proceedings

The risks AlTi Global, Inc. names in Item 1A of its 10-K filed Mar 31, 2026: 72 risks under these headings, as written.4

  • Risks Related to Macroeconomic Conditions
  • Risks Related to our Business and Industry
  • Risks Related to Geographical Environment
  • Risks Related to Our Regulatory Environment
  • Risks Related to Personnel
  • Risks Related to Being a Public Company
  • Risks Related to Our Strategic Alternatives Review Process
  • General Risk Factors
  • Difficult market and political conditions may reduce the value or hamper the performance of the investments made by our investment products and services or impair the ability of our investment products and services to raise or deploy capital.
  • Inflation may adversely affect the business, results of operations and financial condition of our investment products and services.
  • Higher interest rates could have a material adverse effect on our business and that of our investment products and services’ portfolio companies.
  • Changes in market and economic conditions could lower the value of assets on which we earn revenue and could decrease the demand for our investment solutions and services.
The other 68 risks
  • Adverse developments affecting the financial services industry, such as actual events or concerns involving liquidity, defaults or non-performance by financial institutions or transactional counterparties, could adversely affect our current and projected business operations and our financial condition and results of operations.
  • We are a holding company and our only material asset is our interest in our subsidiaries, and we are accordingly dependent upon distributions made by our subsidiaries to pay taxes, make payments under the Tax Receivable Agreement and pay dividends.
  • Our revenue is derived from fees correlated to the amount of AUM and AUA that we have and the performance of our investment strategies and/or products. Poor performance of our investments in the future or terminations of significant client relationships, in each case, resulting in a reduction in AUM or advisement, could have a materially adverse impact on our results, financial condition or business.
  • The success of our business depends on the identification and availability of suitable investment opportunities for our clients.
  • The historical returns attributable to our investment products and services should not be considered as indicative of the future results of our investment products and services or of our future results or of any returns expected on an investment in our Class A Common Stock.
  • Valuation methodologies for certain assets of our investment products and services can be open to subjectivity.
  • The due diligence process that we undertake in connection with investments and M&A may not reveal all facts that may be relevant in connection with an investment or acquisition.
  • Dependence on leverage by certain funds, underlying investment funds and portfolio companies subjects us to volatility and contractions in the debt financing markets and could adversely affect the ability of our funds to achieve attractive rates of return on their investments.
  • Defaults by third-party investors could adversely affect that fund’s operations and performance.
  • Our failure to comply with investment guidelines of our clients could result in damage awards against us or a reduction in AUM, either of which would cause our earnings to decline and adversely affect our business.
  • We may not have control over the day-to-day operations of many of the funds included in our investments and we do not control the business of the External Strategic Managers in which we have made strategic investments.
  • The investment products, services, and investment strategies we currently pursue may expose us to specific market, tax, regulatory and other risks.
  • Investments made on behalf of our clients may in many cases rank junior to investments made by other investors.
  • Certain of our investments utilize special situation and distressed debt investment strategies that involve significant risks.
  • Our investment advisory contracts may be terminated or may not be renewed by investors or fund boards on favorable terms and the liquidation of certain funds may be accelerated at the option of investors.
  • We may sell our strategic investments in the External Strategic Managers or they may sell their businesses or exercise their rights to purchase our interests.
  • We may establish fund vehicles in the future to own the existing strategic investments in our External Strategic Managers or to make strategic investments in new External Strategic Managers.
  • If we are unable to compete effectively, our business and financial condition could be adversely affected.
  • The anticipated benefits of future acquisitions that we may pursue may not be realized or may take longer than expected to realize.
  • The administration/insolvency of our International Real Estate Businesses could negatively impact our business, and liabilities arising from intercompany balances could adversely affect our financial results.
  • The potential insolvency of other subsidiaries or affiliated entities could materially adversely affect us.
  • Potential conflicts of interest may arise in the allocation of investment opportunities among funds.
  • Conflicts of interest may arise in our allocation of costs and expenses, and we are subject to increased regulatory scrutiny and uncertainty with regard to those allocations.
  • Additional and unpredictable conflicts of interests may rise in the future.
  • Our entitlement and that of certain employees to receive performance income from certain of our investment products and services may create an incentive for us to make more speculative investments and determinations on behalf of our investment products and services than would be the case in the absence of such performance income.
  • We have implemented procedures to mitigate potential conflicts of interest and address certain regulatory requirements that prevent us from fully realizing potential synergies across our various businesses.
  • Failure to properly disclose conflicts of interest could harm our reputation, results of operations, financial condition or business.
  • We pay carried interest and performance-based fees to our investment professionals and other personnel in order to attract and retain them, which may result in a reduction of our revenues and a decrease in our profit margins.
  • Our international operations subject us to numerous risks.
  • Our operations in Hong Kong may be adversely affected by political and trade tensions between the U.S. and China.
  • We are expanding our business and may enter into new lines of business or geographic markets, which may result in additional risks and uncertainties and place significant demands on our administrative, operational and financial resources. There can be no assurance that we will be able to successfully manage this growth.
  • We are exposed to litigation risk and subject to regulatory examinations and investigations.
  • We are subject to extensive government regulation, and our failure or inability to comply with these regulations or regulatory action against us could adversely affect our results of operations, financial condition or business.
  • We are subject to U.S. foreign investment regulations, which may impose conditions on or limit certain investors’ ability to purchase or maintain our Class A Common Stock.
  • Changes in tax law or policy could increase our effective tax rate and tax liability or the taxes payable by investors in our funds or holders of shares of our Common Stock, each of which could have a material adverse effect on our business, financial condition and results of operations.
  • We may be subject to the excise tax included in the Inflation Reduction Act of 2022 in connection with redemptions of our Class A Common Stock.
  • Federal, state and foreign anti-corruption, export control and sanctions laws create the potential for significant liabilities and penalties and reputational harm.
  • Failure to comply with “pay to play” regulations implemented by the SEC and certain states, and changes to the “pay to play” regulatory regimes, could adversely affect our business.
  • Failure to comply with regulations regarding the prevention of money laundering or terrorism or national security could adversely affect our business.
  • Financial regulations and changes thereto in the United States could adversely affect our business and the possibility of increased regulatory focus could result in additional burdens and expenses on our business.
  • We may be subject to increasing scrutiny from our clients with respect to the societal and environmental impact of investments we make, which may adversely impact our ability to retain clients or to grow our client base and assets under management or AUA, and also may cause us to be more likely to invest client capital based on societal and environmental factors instead of investing client capital in the investment opportunities with the highest return potential for a particular level of risk.
  • We are exposed to data and cybersecurity risks that could result in data breaches, service interruptions, harm to our reputation, protracted and costly litigation or significant liability.
  • If we are not able to satisfy data protection, security, privacy and other government- and industry-specific requirements or regulations, our results of operations, financial condition or business could be harmed.
  • The use of new and evolving technologies, such as artificial intelligence (AI), in our offerings may result in spending material resources and presents risks and challenges that can impact our business including by posing security and other risks to our confidential information, proprietary information and personal information, and as a result we may be exposed to reputational harm and liability.
  • Confidentiality agreements with employees, consultants, and others may not adequately prevent disclosure of trade secrets and other proprietary information.
  • We may face damage to our professional reputation and legal liability if our services are not regarded as satisfactory or for other reasons.
  • Our inability to obtain adequate insurance could subject us to additional risk of loss or additional expenses.
  • Our controls and procedures may fail or be circumvented, our risk management policies and procedures may be inadequate and operational risks could adversely affect our reputation and financial condition.
  • If Umbrella were treated as a corporation for U.S. federal, state or local tax purposes, then the amount available for distribution by it could be substantially reduced and our financial condition and results of operations could be adversely affected.
  • In certain cases, payments under the Tax Receivable Agreement may be accelerated or exceed the actual tax benefits realized by the Company.
  • Umbrella may directly or indirectly make distributions of cash to us substantially in excess of the amounts we use to make distributions to our stockholders and pay our expenses (including our taxes and payments under the Tax Receivable Agreement). To the extent we do not distribute such excess cash to our stockholders, the direct or indirect holders of Umbrella common units would benefit from any value attributable to such cash as a result of their ownership of our stock upon a Unit Exchange.
  • We rely on our management team to grow our business, and the loss of key management members, or an inability to hire key personnel, could harm our business.
  • Employee misconduct could harm us by impairing our ability to attract and retain fund investors and subjecting us to significant legal liability, regulatory scrutiny and reputational harm.
  • Our future growth depends on our ability to attract, retain and develop human capital in a highly competitive talent market.
  • Our management team has limited experience managing a public company.
  • Our internal controls over financial reporting may not be effective and our independent registered public accounting firm may not be able to certify as to their effectiveness, which could have a significant and adverse effect on our business and reputation.
  • We have identified material weaknesses in our internal control over financial reporting and may find additional weaknesses in the future or fail to maintain an effective system of internal control over financial reporting. If we fail to establish and maintain proper and effective internal control over financial reporting, our operating results and our ability to operate our business could be harmed.
  • If securities or industry analysts do not publish research or reports about our business, if they adversely change their recommendations regarding our shares or if our results of operations do not meet their expectations, our share price and trading volume could decline.
  • As a public company, we are subject to laws, regulations and stock exchange listing standards, which will impose additional costs on us and may strain our resources and divert our management’s attention.
  • If we are deemed an “investment company” subject to regulation under the Investment Company Act, applicable restrictions could make it impractical for us to continue our business as contemplated and could have a material adverse effect on our business.
  • Our quarterly operating results and other operating metrics may fluctuate from quarter to quarter, which makes these metrics difficult to predict.
  • Our ability to raise capital in the future may be limited.
  • The forecasts of market growth and other projections included in this Annual Report may prove to be inaccurate, and even if the markets in which we compete achieve the forecasted growth, we cannot assure you that our business will grow at a similar rate, if at all.
  • We are an emerging growth company within the meaning of the Securities Act and we have taken advantage of certain exemptions from disclosure requirements available to emerging growth companies; this could make our securities less attractive to investors and may make it more difficult to compare our performance with other public companies.
  • Our certificate of incorporation provides, subject to limited exceptions, that the Court of Chancery of the State of Delaware is the sole and exclusive forum for certain stockholder litigation matters, which could limit
  • our stockholders’ ability to obtain a favorable judicial forum for disputes with us or our directors, officers, employees or stockholders.
  • Our Review of Preliminary Indications of Interest and Potential Strategic Alternatives May Not Result in Any Transaction, and the Announcement or Conduct of Such a Process May Adversely Affect Our Business.
  • We may be required to take write-downs or write-offs, restructuring and impairment or other charges that could have a significant negative effect on our financial condition and our share price, which could cause you to lose some or all of your investment.

Legal proceedings

From time to time, we may be involved in various legal proceedings, lawsuits, and claims incidental to the conduct of our business, some of which may be material. Our businesses are also subject to extensive regulation, which may result in regulatory proceedings against us. For additional information, see “Management’s Discussion and Analysis of Financial Condition and Results of Operations of AlTi Global, Inc. - Litigation” and Note 21 (Commitments and Contingencies) to our consolidated financial statements included in this Annual Report.

The opening of Item 3, Legal Proceedings.4

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