AlTi Global, Inc. Files Amendment No. 1 to 2023 Annual Report

Ticker: ALTI · Form: 10-K/A · Filed: Apr 5, 2024 · CIK: 1838615

Alti Global, Inc. 10-K/A Filing Summary
FieldDetail
CompanyAlti Global, Inc. (ALTI)
Form Type10-K/A
Filed DateApr 5, 2024
Risk Levellow
Pages16
Reading Time19 min
Key Dollar Amounts$0.0001, $7.66, $230 billion, $4.5 billion
Sentimentneutral

Sentiment: neutral

Topics: AlTi Global, 10-K/A, Amendment, SEC Filing, ALTI

TL;DR

<b>AlTi Global, Inc. has filed an amendment to its 2023 annual report, providing updated information and confirming its reporting status.</b>

AI Summary

AlTi Global, Inc. (ALTI) filed a Amended Annual Report (10-K/A) with the SEC on April 5, 2024. AlTi Global, Inc. filed an amendment (10-K/A) to its annual report for the fiscal year ended December 31, 2023. The company's Class A Common stock trades on the Nasdaq Capital Market under the symbol ALTI. AlTi Global, Inc. was formerly known as Alvarium Tiedemann Holdings, Inc. and Cartesian Growth Corp. The company's principal executive offices are located at 520 Madison Avenue, 26th Floor, New York, NY 10022. The filing indicates the company is not a well-known seasoned issuer and is not required to file reports under Section 13 or 15(d) of the Act.

Why It Matters

For investors and stakeholders tracking AlTi Global, Inc., this filing contains several important signals. This amendment provides an opportunity for the company to correct or supplement information previously filed in its annual report, ensuring accuracy and completeness for investors. The filing confirms the company's trading on the Nasdaq Capital Market, offering transparency regarding its public market listing and associated securities.

Risk Assessment

Risk Level: low — AlTi Global, Inc. shows low risk based on this filing. The filing is an amendment to a previous report, indicating no new material events or significant changes in financial performance or risk profile are being disclosed at this time.

Analyst Insight

Review the specific changes and additions made in Amendment No. 1 to the 10-K filing to understand any updated disclosures or corrections.

Key Numbers

  • 20231231 — Fiscal Year End (The report covers the fiscal year ended December 31, 2023.)
  • 001-40103 — Commission File Number (The SEC file number for the registrant.)
  • 20240405 — Filing Date (The date the amendment was filed.)
  • DE — State of Incorporation (AlTi Global, Inc. was incorporated in Delaware.)

Key Players & Entities

  • AlTi Global, Inc. (company) — Registrant name
  • ALTI (company) — Trading Symbol
  • Nasdaq Capital Market (company) — Exchange where ALTI is registered
  • Alvarium Tiedemann Holdings, Inc. (company) — Former company name
  • Cartesian Growth Corp (company) — Former company name
  • 520 Madison Avenue, 26th Floor, New York, New York 10022 (company) — Principal executive offices address
  • 212-396-5904 (company) — Registrant's telephone number
  • 20231231 (date) — Fiscal year end

FAQ

When did AlTi Global, Inc. file this 10-K/A?

AlTi Global, Inc. filed this Amended Annual Report (10-K/A) with the SEC on April 5, 2024.

What is a 10-K/A filing?

A 10-K/A is a amendment to a previously filed annual report, correcting or updating financial statements or disclosures. This particular 10-K/A was filed by AlTi Global, Inc. (ALTI).

Where can I read the original 10-K/A filing from AlTi Global, Inc.?

You can access the original filing directly on the SEC's EDGAR system. The filing is publicly available and includes all exhibits and attachments submitted by AlTi Global, Inc..

What are the key takeaways from AlTi Global, Inc.'s 10-K/A?

AlTi Global, Inc. filed this 10-K/A on April 5, 2024. Key takeaways: AlTi Global, Inc. filed an amendment (10-K/A) to its annual report for the fiscal year ended December 31, 2023.. The company's Class A Common stock trades on the Nasdaq Capital Market under the symbol ALTI.. AlTi Global, Inc. was formerly known as Alvarium Tiedemann Holdings, Inc. and Cartesian Growth Corp..

Is AlTi Global, Inc. a risky investment based on this filing?

Based on this 10-K/A, AlTi Global, Inc. presents a relatively low-risk profile. The filing is an amendment to a previous report, indicating no new material events or significant changes in financial performance or risk profile are being disclosed at this time.

What should investors do after reading AlTi Global, Inc.'s 10-K/A?

Review the specific changes and additions made in Amendment No. 1 to the 10-K filing to understand any updated disclosures or corrections. The overall sentiment from this filing is neutral.

How does AlTi Global, Inc. compare to its industry peers?

AlTi Global, Inc. operates in the investment advice industry, providing wealth management and investment solutions.

Are there regulatory concerns for AlTi Global, Inc.?

The company is subject to SEC regulations governing public companies, including filing requirements for annual reports.

Industry Context

AlTi Global, Inc. operates in the investment advice industry, providing wealth management and investment solutions.

Regulatory Implications

The company is subject to SEC regulations governing public companies, including filing requirements for annual reports.

What Investors Should Do

  1. Review the specific amendments made in this 10-K/A filing.
  2. Verify the accuracy of company information, including former names and trading details.
  3. Note the company's reporting status (not a well-known seasoned issuer).

Year-Over-Year Comparison

This is an amendment to the previously filed 10-K for the fiscal year ended December 31, 2023, indicating updates or corrections to the original filing.

Filing Stats: 4,785 words · 19 min read · ~16 pages · Grade level 10.1 · Accepted 2024-04-05 16:02:02

Key Financial Figures

  • $0.0001 — tered Class A Common stock, par value $0.0001 per share ALTI Nasdaq Capital Market
  • $7.66 — 30, 2023, based on the closing price of $7.66 for shares of the registrant's Class A
  • $230 billion — oughout the U.S. and Canada, overseeing $230 billion in client business volume. Additionally
  • $4.5 billion — rnational private equity firm with over $4.5 billion in committed capital. Prior to founding

Filing Documents

Executive Compensation

Executive Compensation 11 Item 12.

Security Ownership of Certain Beneficial Owners and Management and Related Stockholder Matters

Security Ownership of Certain Beneficial Owners and Management and Related Stockholder Matters 18 Item 13. Certain Relationships and Related Transactions, and Director Independence 20 Item 14. Principal Accountant Fees and Services 26 PART IV Item 15. Exhibits and Financial Statement Schedules 27 3 Explanatory Note This Amendment No. 1 on Form 10-K/A (this "Amendment") amends AlTi Global, Inc.'s Annual Report on Form 10-K for the fiscal year ended December 31, 2023, originally filed with the Securities and Exchange Commission (the "SEC") on March 22, 2024 (the "Original Form 10-K"). We are filing this Amendment pursuant to General Instruction G(3) of Form 10-K to include the information required by Part III of Form 10-K that we did not include in the Original Form 10-K, as we do not anticipate filing a definitive proxy statement for an annual meeting of stockholders within 120 days of the end of our fiscal year ended December 31, 2023. In addition, in connection with the filing of this Amendment and pursuant to the rules of the SEC, we are including with this Amendment new certifications of our principal executive officer and principal financial officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. Item 15 of Part IV has also been amended to reflect the filing of these new certifications. Except as described above, no other changes have been made to the Original Form 10-K. The Original Form 10-K continues to speak only as of the date of the Original Form 10-K, and we have not updated the disclosures contained therein to reflect any events which occurred subsequent to the filing of the Original Form 10-K. In this Amendment, unless otherwise specified, the terms "Company," "our," "we" or "us" means, prior to the Business Combination (as defined herein), Cartesian Growth Corporation, as the context suggests, and, following the Business Combination, AlTi Global, Inc. PART III

DIRECTORS, EXECUTIVE OFFICERS AND CORPORATE GOVERNANCE

ITEM 10. DIRECTORS, EXECUTIVE OFFICERS AND CORPORATE GOVERNANCE Information Regarding the Directors and Director Nominees Our Certificate of Incorporation provides for the annual election of directors. At each annual meeting directors will be elected to hold office until the next year's annual meeting of stockholders or until his or her successor is duly elected and qualified. Each director nominee has been reviewed and recommended for nomination by our Environmental, Social Governance and Nominating Committee (the "ESG&N Committee") and has consented to serve as a director if elected. Although management does not anticipate that any nominee will be unable or unwilling to serve as a director, in the event of such an occurrence, proxies may be voted in the discretion of the persons named in the proxy for a substitute designated by the Company's board of directors (the "Board"), unless the Board decides to reduce the number of directors constituting the Board. Our directors are elected by a plurality of vote cast; therefore, the nominees who receive the largest number of votes cast in favor of their election will be elected. As of March 28, 2024, our directors are as follows: Name Age Position(s) Independent Director Since Ali Bouzarif 45 Director No 2023 Norma Corio 63 Director Yes 2023 Nancy Curtin 66 Director No 2023 Mark Furlong 66 Director Yes 2023 Timothy Keaney 62 Chair of the Board Yes 2023 Judy Lee 56 Director Yes 2023 Spiros Maliagros 47 Director No 2023 Craig Smith 60 Director No 2023 Michael Tiedemann 52 Chief Executive Officer and Director No 2023 Tracey Brophy Warson 61 Director Yes 2023 Peter Yu 62 Director Yes 2023 4 Director Nominees Ali Bouzarif . Mr. Bouzarif has served as a member of our Board since January 2023. Mr. Bouzarif was previously a member of the Supervisory Board and Partner of Alvarium Investments Limited ("Alvarium"). He also served on the Finance and Compensation Committee of Alvarium. Mr. Bouzarif is currently CE

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