Hedge Fund Database

DALTON INVESTMENTS, INC.

Adviser information for DALTON INVESTMENTS, INC. last updated from Form ADV on March 29th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.

Advisory Business

Type of Organization Corporation
Fiscal Year End DECEMBER
Legal Location Nevada, United States

Employees

Total Number of Employees 36
Investment Advisory/Research 15
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 0
Licensed Agents of an Insurance Company 0
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 39 $4.1B
Non-Discretionary 0 $0
Total 39 $4.1B

Clients

Type Number RAUM
Individuals 0 $0
HNW Individuals 2 $140.2M
Banking or thrift institutions 0 $0
Investment companies 0 $0
Business development companies 0 $0
Pooled investment vehicles 25 $1.9B
Pension and profit sharing plans 7 $842.0M
Charitable organizations 2 $118.3M
State or municipal gov entities 0 $0
Other investment advisers 0 $0
Insurance companies 1 $17.2M
Sovereign wealth funds and foreign official institutions 1 $354.0M
Corporations or other businesses 1 $692.8M
Other 0 $0
Type Number
No. of Non-RAUM Clients 1
No. of Non-U.S. Clients 64

Services

Advisory Services Portfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients
Compensation % of AUMFixed feesPerformance-based fees
Other Business Activities Commodity pool operator or commodity trading advisor

Identifiers

SEC RIA File Number 801-121986
SEC ERA File Number 801-121986
SEC CIK Numbers 1388838
SEC CRD Numbers 308609
Legal Entity Identifier 549300X48M6KJRHKUZ15

Principal Office

9440 WEST SAHARA AVENUE
SUITE 215
LAS VEGAS
NV
United States
Monday - Friday, 6:00 A.M. - 5:00 P.M.
Tel: 4242319100, Fax: 4242319050

Websites

www.daltoninvestments.com www.linkedin.com/company/dalton-investments-limited/mycompany/

Chief Compliance Officer

CHRISTOPHER HA
COUNSEL
9440 WEST SAHARA AVENUE
SUITE 215
LAS VEGAS
NV
United States
Tel: 4242319057
Fax: 4242319050
(Full email address available in API data)

Regulatory Contact

JANET HUNPADONGRAT
CHIEF OPERATING OFFICER AND CHIEF FINANCIAL OFFICER
9440 WEST SAHARA AVENUE
SUITE 215
LAS VEGAS
NV
United States
Tel: 4242319072
Fax: 4242319050
(Full email address available in API data)

Industry Affiliates

ASIA GP LLC Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles
BEACH FRONT PROPERTIES, LLC Sponsor, GP, manager of pooled investment vehicles
BEACH FRONT PROPERTY MANAGEMENT, INC. Real estate broker or dealerSponsor, GP, manager of pooled investment vehicles
DALTON ADVISORY KK Other investment adviser, including financial planners
DALTON INVESTMENT ADVISORY SERVICES PRIVATE LIMITED Other investment adviser, including financial planners
DALTON INVESTMENTS (AUSTRALIA) PTY LTD Other investment adviser, including financial planners
DALTON INVESTMENTS (HONG KONG) LIMITED Other investment adviser, including financial planners
INDIA GP LLC Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles
KIZUNA GP LLC Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles
PACGEN GP LLC Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles
PACRIM GP LLC Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles
RISING SUN MANAGEMENT LTD. Other investment adviser, including financial planners
ROSENWALD CAPITAL MANAGEMENT, INC. Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles
SERIES B SBO LLC Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles
SERIES C SBO LLC Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
DALTON ASIA (MASTER) FUND LP Hedge Fund $44.0M $1.0M 28
DALTON INDIA (MASTER) FUND LP Hedge Fund $40.4M $1.0M 49
DALTON INVESTMENTS TRUST - SERIES B DELAWARE STATUTORY TRUST $166.2M $1.0M 29
DALTON INVESTMENTS TRUST - SERIES C DELAWARE STATUTORY TRUST $55.4M $1.0M 1
DALTON KIZUNA (MASTER) FUND LP Hedge Fund $35.0M $1.0M 24
DALTON PACIFIC RIM FUND LP Hedge Fund $24.1M $1.0M 14
NAVF SELECT LLC Hedge Fund $46.0M $1.0M 50
PACIFIC AND GENERAL (MASTER) FUND LP Hedge Fund $31.7M $1.0M 27

Control Persons

Name Type Entity Title Since Ownership
ALFANDARI, SARAH, BARBARA Individual – CHIEF EXECUTIVE OFFICER AND PRESIDENT, AND DIRECTOR OF THE BOARD OF DIRECTORS, DALTON INVESTMENTS, INC. 09/2020 < 5%
COMBS, FRANK, GIFFORD Individual – TREASURER, SECRETARY, PORTFOLIO MANAGER, AND DIRECTOR OF THE BOARD OF DIRECTORS, DALTON INVESTMENTS, INC. 12/2019 < 5%
DOUGLAS, IAIN, NA Individual – CHIEF MARKETING OFFICER, DALTON INVESTMENTS, INC. 03/2021 < 5%
HA, CHRISTOPHER, ALFRED Individual – CHIEF COMPLIANCE OFFICER AND COUNSEL, DALTON INVESTMENTS, INC. 01/2021 < 5%
HUNPADONGRAT, JANET, NA Individual – CHIEF OPERATING OFFICER AND CHIEF FINANCIAL OFFICER, DALTON INVESTMENTS, INC. 01/2022 < 5%
ROSENWALD, JAMES, BENNO Individual – CHAIRMAN OF THE BOARD OF DIRECTORS, AND CHIEF INVESTMENT OFFICER, DALTON INVESTMNTS, INC. 09/2020 < 5%
ROSENWALD, JOCELYN, MAY Individual – DIRECTOR OF THE BOARD OF DIRECTORS, DALTON INVESTMENTS, INC. 09/2020 < 5%
ROSENWALD CAPITAL MANAGEMENT, INC. Domestic Entity DALTON INVESTMENTS LLC MAJORITY-OWNER AND MANAGING MEMBER 06/2019 50-75%
ROSENWALD FAMILY TRUST Domestic Entity ROSENWALD CAPITAL MANAGEMENT, INC. OWNER 12/1997 > 75%
ROSENWALD, JAMES, BENNO Individual ROSENWALD FAMILY TRUST TRUSTEE 12/1997
ROSENWALD, LAURA, PARKER Individual ROSENWALD FAMILY TRUST TRUSTEE 12/1997
DALTON INVESTMENTS LLC Domestic Entity – OWNER OF DALTON INVESTMENTS, INC. 01/2024 > 75%

No. Employees, Historic

502502021202220232024202541 on 6/30/202141 on 10/27/202141 on 10/27/202142 on 3/31/202239 on 3/31/202339 on 2/20/202436 on 3/29/2024

RAUM, Historic

5B3B0202120222023202420251792100675 on 6/30/20213401572555 on 10/27/20213401572555 on 10/27/20213183959410 on 3/31/20222406511672 on 3/31/20232406511672 on 2/20/20244059517879 on 3/29/2024

No. Clients, Historic

402002021202220232024202521 on 6/30/202136 on 10/27/202136 on 10/27/202136 on 3/31/202232 on 3/31/202332 on 2/20/202439 on 3/29/2024

Holdings

From latest 13F, filed August 13th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
AMERICA MOVIL SAB DE CV SPON ADS RP CL B 2M 111K –
AMPLIFY ENERGY CORP NEW COM 606K 89K –
ARISTA NETWORKS INC COM 4M 11K –
CHENIERE ENERGY INC COM NEW 5M 31K –
CHORD ENERGY CORPORATION COM NEW 2M 13K –
COGNIZANT TECHNOLOGY SOLUTIO CL A 3M 45K –
DR REDDYS LABS LTD ADR 4M 54K –
DURECT CORP COM NEW 290K 225K –
EPSILON ENERGY LTD COM 1M 250K –
EXLSERVICE HOLDINGS INC COM 773K 25K –
FRESHWORKS INC CLASS A COM 2M 135K –
GENPACT LIMITED SHS 11M 344K –
HDFC BANK LTD SPONSORED ADS 4M 58K –
ICICI BANK LIMITED ADR 38M 1M –
INFOSYS LTD SPONSORED ADR 9M 501K –
KENVUE INC COM 273K 15K –
LITHIA MTRS INC COM 252K 1K –
MAKEMYTRIP LIMITED MAURITIUS SHS 39M 462K –
MICRON TECHNOLOGY INC COM 297K 2K –
MICROSOFT CORP COM 4M 8K –
NOVO-NORDISK A S ADR 1M 9K –
NVIDIA CORPORATION COM 27M 217K –
ON SEMICONDUCTOR CORP COM 980K 14K –
TASKUS INC CLASS A COM 8M 636K –
TERNIUM SA SPONSORED ADS 1M 32K –
TOTALENERGIES SE SPONSORED ADS 5M 76K –
TRUPANION INC COM 1M 35K –