Colleen Graham
About Colleen Graham
Colleen Graham is AlTi Global’s Chief Legal, Compliance & Risk Officer (formerly Global General Counsel), with over 30 years in financial services law, compliance, and risk management. She is 59 and has served at AlTi since March 2023, after senior roles at Credit Suisse, Boston Private, and SVB Private; she holds a B.S. in finance and marketing from Boston College and a J.D. from St. John’s University School of Law (St. Thomas More Scholar) . As Corporate Secretary contact for stockholder communications, she is a governance linchpin for the Board process .
Past Roles
| Organization | Role | Years | Strategic impact / responsibilities |
|---|---|---|---|
| Hughes Hubbard & Reed | Corporate law practice | 1991–1994 | Corporate law experience |
| Thacher Proffitt & Wood | Corporate law practice | 1994–1996 | Corporate law experience |
| Credit Suisse | Managing Director/Senior Lawyer; Head of Compliance Americas; Global Chief Control & Operational Risk Officer – Investment Bank; Head of Business Risk Mgmt – Private Bank Americas | Aug 1996–Feb 2016 | Co‑Chair, Operational Risk Committee; Reputational Risk Committee; Head of Internal Control Systems for Credit Suisse Private Advisors |
| Signac LLC (CS/Palantir JV) | Co‑Founder, Credit Suisse‑designated CEO; Board member | Feb 2016–Jul 2017 | Led JV between Credit Suisse and Palantir Technologies |
| NextGen Compliance LLC | Founder & CEO | Jul 2017–Apr 2019 | Founded compliance firm |
| Boston Private Financial Holdings | EVP & General Counsel | Apr 2019–Jul 2021 | Senior legal leadership |
| SVB Private | General Counsel & Chief Supervisory Officer; Board member, SVB Investment Services, Inc. | Jul 2021–Feb 2023 | Oversight and board service at broker‑dealer subsidiary |
| AlTi Global, Inc. | Global General Counsel; now Chief Legal, Compliance & Risk Officer | Mar 2023–Present | Senior legal, risk, and compliance leadership |
External Roles
| Organization | Role | Years | Notes |
|---|---|---|---|
| SVB Investment Services, Inc. | Board member | Within SVB Private tenure (Jul 2021–Feb 2023) | Board role while GC/Chief Supervisory Officer at SVB Private |
Fixed Compensation
| Year | Base Salary ($) | Discretionary Bonus ($) | All Other Comp ($) | Total ($) |
|---|---|---|---|---|
| 2024 | 375,000 | 1,080,750 (incl. $393,750 discretionary share buyout in May 2024) | 17,250 | 2,367,717 |
The proxy states NEO annual bonuses for 2024 were discretionary; equity awards for 2024 performance were granted in 2025 and will be reported in the 2026 proxy .
Performance Compensation
Annual cash incentive
| Year | Bonus Paid ($) | Notes |
|---|---|---|
| 2024 | 1,080,750 | NEO bonuses were discretionary for 2024; includes $393,750 discretionary payment related to a prior employment share buyout . |
Equity awards granted (reported for 2024)
| Year | Stock Awards (aggregate grant-date fair value, $) |
|---|---|
| 2024 | 894,717 |
Outstanding equity awards at 12/31/2024 (Graham)
| Vesting commencement date | Unvested RSUs (#) | Market value of unvested RSUs ($) | Target PSUs (#) | Market value of target PSUs ($) |
|---|---|---|---|---|
| Feb 15, 2023 | 35,757 | 157,688 (at $4.41) | – | – |
| Feb 15, 2023 | 8,032 | 35,422 (at $4.41) | – | – |
| Feb 15, 2024 | 34,915 | 153,976 (at $4.41) | – | – |
| Feb 15, 2024 | 59,322 | 261,610 (at $4.41) | – | – |
| – | – | – | 77,092 | 339,976 (at $4.41) |
RSUs generally vest in three equal annual installments starting on the first anniversary of the vesting commencement date, subject to continued service .
PSU structure (as disclosed)
| Metric | Performance periods | Eligibility / vesting | Payout range |
|---|---|---|---|
| Total Shareholder Return (TSR) | Three annual performance periods beginning Mar 31, 2025 | 33.33% of target PSUs eligible each year, subject to continued service and TSR thresholds | 0–200% of target over three years (max 200%) |
Pending retention awards (subject to 2023 Plan amendment approval)
| Recipient | RSUs to be awarded (#) |
|---|---|
| Colleen Graham (CLCR Officer) | 593,667.55 |
The Compensation Committee approved certain retention RSU awards contingent on stockholder approval of the amended 2023 Plan .
Notes on vehicles and risk
- No stock options were granted to NEOs in 2024; the Committee did not grant options, SARs, or similar instruments .
Equity Ownership & Alignment
Beneficial ownership
| As-of date | Class A shares owned | Class B shares owned | % ownership |
|---|---|---|---|
| Mar 26, 2024 | 11,157 | – | “*” (less than 1%) |
| Apr 7, 2025 | 64,894 | – | “*” (less than 1%) |
Hedging, pledging, and ownership controls
- Hedging, short sales, and trading in public options on company securities are prohibited for directors, officers, employees, family members, and controlled entities; purchasing on margin, borrowing against accounts holding company securities, or pledging company securities as collateral are also prohibited .
- Clawback policy: upon a material restatement, the company will seek to recoup excess incentive-based compensation from executive officers if bonuses would have been lower under restated results, subject to practicality and tax-qualified plan considerations .
- Section 16 compliance: the 2025 proxy notes one late Form 4 filing by the Chief Legal, Compliance & Risk Officer for 2024 due to administrative error .
Employment Terms
- Graham has no employment agreement; she is party to an offer letter for Global General Counsel (now CLCR) under which she is paid a base salary and is eligible for an annual bonus per programs applicable to senior executives, as established by the Compensation Committee .
- The proxy does not disclose individual severance, change‑in‑control, non‑compete, or non‑solicit terms for Graham; company‑wide hedging/pledging prohibitions and clawback policy apply as summarized above .
Investment Implications
- Strong equity alignment with meaningful unvested RSUs/PSUs and a large contingent retention RSU grant (593,668 shares) pending plan approval supports retention and long‑term focus but implies future supply and potential selling pressure as awards vest; PSU payouts are tied to TSR with a 0–200% range over three annual periods beginning March 31, 2025 .
- Compensation mix in 2024 included a sizable discretionary cash bonus ($1.08M) and $894,717 in stock awards; absence of disclosed annual bonus metrics reduces pay‑for‑performance transparency vs. formulaic plans .
- Governance risk mitigants include strict prohibitions on hedging and pledging and a restatement clawback policy; however, a late Form 4 in 2024 for the CLCR role is a minor procedural red flag to monitor for remediation and process rigor .
- No employment agreement suggests lower severance cost exposure for shareholders and that retention relies primarily on equity; lack of disclosed CIC/severance specifics for her reduces visibility into change‑of‑control economics .