# Records Binder — Index / Manifest
**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