AlTi Global, Inc. (ALTI) SEC Filings & Earnings Calls

Increased leverage and secured debt obligations.

“Obligations secured by substantially all assets; interest rate SOFR+5.25%.”

Investment Portfolio Concentration and Valuation Risk

“The decrease was primarily driven by a $24.9 million decline in gain (loss) on investments, the largest component of which was an $18.5 million on our investment in Asian Credit and Special Situations.The unrealized loss reflects a decision by the investment manager to wind down the fund over a 12-month horizon.” · word for word

Regulatory and Litigation Exposure from Discontinued Operations

“In February 2024, the UK FCA commenced investigations into the historic performance of certain International Real Estate entities, in their services to Home REIT and/or HLIF, and whether they breached certain civil or criminal regulatory rules and/or principles.” · word for word

Internal Control Weaknesses

“Based on this evaluation, our Chief Executive Officer and Chief Financial Officer have concluded that, as of June 30, 2026, our disclosure controls and procedures were not fully effective due to remaining material weaknesses in internal control over financial reporting” · word for word

No specific risks identified in excerpt.

Transition risk minimal due to internal promotion; retirement of CFO is planned.

“long-planned internal leadership transition” · word for word

International real estate business under administration; discontinued operations classification.

“international real estate business was placed under administration” · word for word

Regulatory investigation by UK FCA

“In February 2024, the UK FCA commenced investigations into the historic performance of certain International Real Estate entities, in their services to Home REIT and/or HLIF.” · word for word

Litigation related to Home REIT

“Pre-action steps were commenced by a law firm acting on behalf of a group of current and former shareholders in Home REIT ... asserts potential claims against AFM UK and ARE.” · word for word

Potential redress liability for Real Estate Products

“As of the three months ended March 31, 2026, a provision of $3.6 million has been recognized in relation to this potential future liability.” · word for word

CEO succession risk

“Effective March 30, 2026, Michael Tiedemann stepped down as Chief Executive Officer of the Company. The Board of Directors appointed Nancy Curtin as Interim Chief Executive Officer, effective March 30, 2026.” · word for word

Key person dependency on CEO founder

“Michael Tiedemann stepped down as CEO; his employment agreement included significant severance and equity acceleration provisions.”

Ownership cap and conversion restrictions may limit upside

“ASI will be subject to an ownership cap (the "Ownership Cap") with respect to the Class A Common Stock which shall be equal to 24.9% of the aggregate issued and outstanding shares of Class A Common Stock and Class B Common Stock as of the end of the trading day immediately prior to the date of determination” · word for word

Ownership cap and conversion restrictions may limit upside

“ASI will be subject to an ownership cap (the "Ownership Cap") with respect to the Class A Common Stock which shall be equal to 24.9% of the aggregate issued and outstanding shares of Class A Common Stock and Class B Common Stock as of the end of the trading day immediately prior to the date of determination” · word for word

CEO departure and strategic uncertainty

“On March 30, 2026, the Board of Directors of the Company and Mr. Tiedemann agreed that Mr. Tiedemann would step down as Chief Executive Officer of the Issuer, effective March 30, 2026.” · word for word

CEO departure and strategic uncertainty

“On March 30, 2026, the Board of Directors of the Company and Mr. Tiedemann agreed that Mr. Tiedemann would step down as Chief Executive Officer of the Issuer, effective March 30, 2026.” · word for word

Internal Control Weaknesses

“our Chief Executive Officer and Chief Financial Officer have determined that our internal controls and disclosure controls and procedures remained ineffective as of December 31, 2025.” · word for word

Regulatory Investigations (Home REIT/HLIF)

“the historic management of these funds by certain legacy Alvarium companies is now the subject of separate investigations by the UK FCA and, with respect to certain individuals previously affiliated with Home REIT, the UK SFO” · word for word

International Real Estate Administration/Insolvency

“On July 11, 2025, we placed our International Real Estate Businesses into administration in England and Wales under applicable insolvency laws and appointed the Administrators.” · word for word

Revenue Concentration on AUM/AUA

“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 ou” · word for word

Litigation Risk from Home REIT

“potential claims are being asserted by its current and former shareholders and, separately, by Home REIT and its directors against certain group entities (AFM UK and ARE)” · word for word

No specific risks disclosed in this filing; forward-looking statement boilerplate only.

Regulatory investigation by UK FCA

“In February 2024, the UK FCA commenced investigations into the historic performance of certain group entities, in their services to Home REIT and/or HLIF, and whether they breached certain civil or criminal regulatory rules and/or principles.” · word for word

Potential litigation from Home REIT shareholders

“On October 6, 2023, pre-action steps were commenced by a law firm acting on behalf of a group of current and former shareholders in Home REIT... asserting potential claims against AFM UK and ARE.” · word for word

Full valuation allowance on deferred tax assets

“As of September 30, 2025, the Company has recorded a full valuation allowance of $74.4 million against its deferred tax assets... The key factor for providing a full valuation allowance was our 3-year cumulative operating losses.” · word for word

High leverage from preferred stock dividends

“The Series A Preferred Stock will receive cumulative, compounding dividends at a rate of 9.75% per year... The Series C Preferred Stock will receive cumulative, compounding dividends at a rate of 9.75% per year.” · word for word

No specific risk signals identified; filing is boilerplate.

“No risk factors discussed beyond standard disclaimers.”