# DALTON INVESTMENTS, INC.

DALTON INVESTMENTS, INC. of EL SEGUNDO, CA is an SEC-registered investment adviser.

## Registration

- CRD: 308609
- Type: SEC-registered investment adviser
- SEC file number: 801-121986
- Location: 360 N. PACIFIC COAST HIGHWAY, SUITE 1060, EL SEGUNDO, CA, 90245
- Phone: 4242319100
- Latest filing: 2026-03-30
- Regulatory AUM: $5.7B
- Discretionary AUM: $5.7B
- Clients: 46
- Accounts: 40

## Business model

- Compensation: % of AUM, Performance
- Clients served: High net worth, Pooled vehicles, Investment cos

## Officers, owners & control persons (20)

| 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. | — |


## Disclosures (8)

| 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 |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/308609/brochure
- Similar advisers: https://search.stillhousedata.com/firm/308609/similar
- Related entities: https://search.stillhousedata.com/firm/308609/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/308609

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.