Archive open · compiled 23 Aug 2026

Source status is attached to every file

The Dalton FilesCRD 109538

Binder manifest, compiled June 17, 2026

The records binder — index and manifest

The index of the source binder behind this archive: what was collected, from which system, and which records remained open when the binder was compiled.

View the source markdown →
Document statusCompiled analysis — a synthesis prepared from the records in this archive. It is not itself a primary record.
VerificationStatements should be checked against the underlying filings before quotation or reliance. Where the document carries tags (CONFIRMED / PARTIAL / UNCONFIRMED / ASSERTED), they are preserved exactly as written.
SourcesThe cited records are preserved in the All collections collection.

Rosenwald v. Rosenwald (FST-FA26-6078292-S) · The Rosenwald family investment enterprise · compiled 2026-06-17 78 source files, ~262 MB. All public-record originals behind the § 10-5 summary exhibits. Authenticable under Conn. Code Evid. § 9-3; provable by certified copy under § 10-4.

01_SEC_ADV — Investment-adviser Form ADV (SEC IAPD)

  • 308609_Dalton_Inc_ADV.pdf — Dalton Investments, Inc. Form ADV (current)
  • 109538_Dalton_LLC_ADV.pdf — Dalton Investments LLC Form ADV (legacy)
  • 290118_RCM_ADV.pdf — Rosenwald Capital Management Form ADV
  • Dalton_Inc_Part2A_brochure_v1031564.pdf, RCM_Part2A_brochure_v1031377.pdf — Part 2A brochures (Item 10 admissions)
  • JBRIII_EarlyWarning_6K_ex99-1.htm — James B. Rosenwald III Glass House early-warning report (SEC 6-K)
  • ADV_DETAIL.md — extracted year-by-year client-count + RAUM series (Dalton 2011-2026; RCM 2018-2026)
  • _bulk/ — 15 SEC annual "Registered Investment Adviser" datasets (2011-2026) + extractor

02_FORM_5500 — DOL pension filings (EFAST2 filing images)

  • 11 filing-image PDFs: FedEx_PY2024, NorthropGrumman_PY2024, Citigroup_PY2024, FMCCorporation_PY2024, FMCTechnologies_PY2024, ContinentalAirlines_PMT_PY2024 (United), PonderayNewsprint_PY2019, ResoluteFP_MasterTrust_PY2023, ResoluteFP_PensionPlan_PY2024, WaltDisney_PY2019, WillisTowersWatson_PY2018
  • SCHEDULE_C_DETAIL.csv / .md — 73 rows, per-year Dalton compensation 2009-2024, each with ACK_ID (total $67,766,587)

03_EDINET — Japan 5%-rule large-shareholding reports

  • 8 PDFs (AI Holdings 3076, Anicom 8715, Sanwa 5929, Iwaki 6237, Senko 9069, Macnica 3132, Tosei 8923, Fuji Media 4676) + EDINET_HOLDINGS.md

04_IRS_990 — non-profit returns (IRS e-file XML)

  • YMCARetirementFund_990.xml (pays Dalton $2,133,361/yr), LouisAnneAbronsFoundation_990.xml, RitaAllenFoundation_990.xml, FannieERippelFoundation_990.xml, SchwabCharitable_DAFgiving360_990.xml (no Dalton tie) + NOTES.md

05_MISC

  • NAVF_Prospectus.pdf — Nippon Active Value Fund plc prospectus (apex control chain)

06_BEACHFRONT — Beach Front / Kazan / Jocelyn / Glass House control bloc

  • SEC_GLASSHOUSE/GH_FY2021_40F_ex99-1.htm — $2M Beach Front note → Preferred conversion (Note 17)
  • SEC_GLASSHOUSE/GH_FY2025_40F_ex99-1_FINSTMTS.htm, ..._ex99-2_MDA.htm — BFPM majority-owned-by-insiders + Neu notes
  • SEC_GLASSHOUSE/GH_FY2025_40F_ex99-3_AIF.htm — "Company Founders" list (incl. James Rosenwald IV); Jocelyn Director/Audit-Chair; 63.4% voting
  • SEC_GLASSHOUSE/GH_FY2023_40F_ex99-1..7.htm — prior-year comparatives
  • RCM_ADV_ScheduleD_7A_BeachFront_excerpt.txt — RCM lists Beach Front as Related Person
  • BEACHFRONT_FINDINGS.md — findings memo (Q1 equity / Q2 Jocelyn / Q3 Kazan)

Open records to close (script-blocked 2026-06-17)

  • CA Secretary of State Statements of Information for Beach Front Property Management, Inc. + Beach Front Properties, LLC (officer/director roster; any RCM/Family-Trust equity line) — pull via browser UI
  • Live IAPD ADV (CRD 290118) Schedule D 7.A control/common-control checkbox state