DALTON INVESTMENTS, INC. of EL SEGUNDO, CA is an SEC-registered investment adviser (CRD 308609). Regulatory assets under management: $5.7B.
Compensation: % of AUM, Performance.
Clients served: High net worth, Pooled vehicles, Investment cos.
| Name | Role | Location |
|---|---|---|
| Christopher Alfred Ha | SECRETARY, CHIEF COMPLIANCE OFFICER AND COUNSEL, DALTON INVESTMENTS, INC. | — |
| Sarah Barbara Alfandari | CHIEF EXECUTIVE OFFICER AND PRESIDENT, AND DIRECTOR OF THE BOARD OF DIRECTORS, DALTON INVESTMENTS, INC.; MEMBER | — |
| Frank Gifford Combs | CHIEF EXECUTIVE OFFICER; PORTFOLIO MANAGER, AND DIRECTOR OF THE BOARD OF DIRECTORS, DALTON INVESTMENTS, INC. | — |
| Iain Na Douglas | CHIEF MARKETING OFFICER, DALTON INVESTMENTS, INC. | — |
| Janet Na Hunpadongrat | TREASURER, CHIEF OPERATING OFFICER AND CHIEF FINANCIAL OFFICER, DALTON INVESTMENTS, INC. | — |
| James Benno Rosenwald | CHAIRMAN OF THE BOARD OF DIRECTORS, AND CHIEF INVESTMENT OFFICER, DALTON INVESTMENTS, INC.; TRUSTEE | — |
| Jocelyn May Rosenwald | DIRECTOR OF THE BOARD OF DIRECTORS, DALTON INVESTMENTS, INC. | — |
| Laura Parker Rosenwald | TRUSTEE | — |
| Craig Alan Mercer | CHIEF RESEARCH OFFICER AND CHIEF SUSTAINABILITY OFFICER | — |
| James Gordon Auchincloss | OWNER | — |
| Belita Na Ong | PRESIDENT | — |
| Steven David Persky | CHIEF EXECUTIVE OFFICER | — |
| ROSENWALD JAMES BENNO | CHAIRMAN OF THE BOARD OF DIRECTORS, AND CHIEF INVESTMENT OFFICER, DALTON INVESTMNTS, INC.; CHIEF INVESTMENT OFFICER, AND CHAIRMAN OF THE BOARD OF DIRECTORS; TRUSTEE | — |
| COMBS F GIFFORD | TREASURER, SECRETARY AND DIRECTOR OF THE BOARD OF DIRECTORS; TREASURER, SECRETARY, AND DIRECTOR OF THE BOARD OF DIRECTOR,S; TREASURER, SECRETARY, PORTFOLIO MANAGER, AND DIRECTOR OF THE BOARD OF DIRECTORS, DALTON INVESTMENTS, INC. | — |
| ROSENWALD LAURA PARKER | TRUSTEE | — |
| HUNPADONGRAT JANET NA | CHIEF FINANCIAL OFFICER; CHIEF OPERATING OFFICER AND CHIEF FINANCIAL OFFICER; CHIEF OPERATING OFFICER AND CHIEF FINANCIAL OFFICER, DALTON INVESTMENTS, INC. | — |
| ALFANDARI SARAH BARBARA | CHIEF EXECUTIVE OFFICER AND PRESIDENT, AND DIRECTOR OF THE BOARD OF DIRECTORS, DALTON INVESTMENTS, INC.; CHIEF EXECUTIVE OFFICER AND PRESIDENT, DALTON INVESTMENTS, INC.; CHIEF EXECUTIVE OFFICER, PRESIDENT, AND DIRECTOR OF THE BOARD OF DIRECTORS | — |
| HA CHRISTOPHER ALFRED | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER AND COUNSEL, DALTON INVESTMENTS, INC.; CHIEF COMPLIANCE OFFICER, DALTON INVESTMENTS, INC. | — |
| DOUGLAS IAIN NA | CHIEF MARKETING OFFICER; CHIEF MARKETING OFFICER, DALTON INVESTMENTS, INC. | — |
| ROSENWALD JOCELYN MAY | DIRECTOR OF THE BOARD OF DIRECTORS; DIRECTOR OF THE BOARD OF DIRECTORS, DALTON INVESTMENTS, INC. | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2018-05-25 | regulatory | IN SEPTEMBER 2018, THE KOREAN SECURITIES AND FUTURES COMMISSION ("SFC") DETERMINED TO IMPOSE ON DALTON INVESTMENTS LLC ("DALTON") AN "ADMINISTRATIVE FINE" OF 7,500,000 KRW (APPROXIMATELY $6,700 USD), WHICH DALTON PAID IN DUE COURSE. THE SFC ALLEGED THAT DALTON, ON BEHALF OF ONE OF THE FUNDS UNDER DA… | Final | $7K |
| 2015-09-28 | regulatory | IN MARCH 2016, THE FINANCIAL SUPERVISORY AUTHORITY OF NORWAY ("FINANSTILSYNET") SENT A LETTER TO DALTON INVESTMENTS LLC ("DALTON"),NOTIFYING IT OF THE FINANSTILSYNET'S DECISION TO IMPOSE A CHARGE OF 100,000 NOK (APPROXIMATELY $12,000 USD) FOR VIOLATING THE NOTIFICATION REQUIREMENT UNDER NORWEGIAN LA… | Final | $12K |
Hedge Fund: 7 · Other Private Fund: 2
| Fund | Type | Formed | Owners | Gross asset value | Min investment |
|---|---|---|---|---|---|
| NAVF SELECT LLC | Hedge Fund | Delaware | 77 | $199.2M | $1.0M |
| DALTON INVESTMENTS TRUST - SERIES B | Other Private Fund | Delaware | 25 | $172.4M | $1.0M |
| DALTON INVESTMENTS TRUST - SERIES C | Other Private Fund | Delaware | 12 | $103.8M | $1.0M |
| DALTON ASIA (MASTER) FUND LP | Hedge Fund | Delaware | 29 | $63.4M | $1.0M |
| DALTON PACIFIC RIM FUND LP | Hedge Fund | Cayman Islands | 20 | $52.6M | $1.0M |
| DALTON KIZUNA (MASTER) FUND LP | Hedge Fund | Delaware | 24 | $50.5M | $1.0M |
| DALTON INDIA (MASTER) FUND LP | Hedge Fund | Cayman Islands | 47 | $47.1M | $1.0M |
| PACIFIC AND GENERAL (MASTER) FUND LP | Hedge Fund | Cayman Islands | 27 | $37.6M | $1.0M |
| KAVF SELECT (MASTER) FUND LP | Hedge Fund | Delaware | 16 | $6.2M | $1.0M |
| City | State | Employees | Phone |
|---|---|---|---|
| TOKYO | — | 6 | +81 3-52100039 |
| TOKYO | — | 6 | +81 3-52100039 |
| MUMBAI, MAHARASHTRA | — | 2 | +9102262606888 |
| MUMBAI, MAHARASHTRA | — | 2 | +9102262606888 |
| HONG KONG | — | 1 | +852 28027711 |
| REDONDO BEACH | CA | 1 | 310-318-9000 |
| SEOCHO-GU, SEOUL | — | 1 | 822-6267-7688 |
| SEOCHO-GU, SEOUL | — | 1 | 822-6267-7688 |
| REDONDO BEACH | CA | 1 | 310-318-9000 |
| CROWS NEST, NSW | — | 1 | +61-451-276271 |
| HONG KONG | — | 1 | +852 28027711 |
| CROWS NEST, NSW | — | 1 | +61-451-276271 |