===== dalton_adv_109538.txt ===== header: ['Primary Business Name: DALTON INVESTMENTS LLC CRD Number: 109538', 'Other-Than-Annual Amendment - All Sections Rev. 03/2020', '4/30/2021 4:59:42 PM', '', ''] 1120: (2) If yes, what is the amount of your regulatory assets under management and total number of accounts? 1121: U.S. Dollar Amount Total Number of Accounts 1122: Discretionary: (a) $ 3,268,032,625 (d) 37 1123: Non-Discretionary: (b) $0 (e) 0 1122: Discretionary: (a) $ 3,268,032,625 (d) 37 1123: Non-Discretionary: (b) $0 (e) 0 1124: Total: (c) $ 3,268,032,625 (f) 37 1123: Non-Discretionary: (b) $0 (e) 0 1124: Total: (c) $ 3,268,032,625 (f) 37 1182: (2) If you participate in a wrap fee program, what is the amount of your regulatory assets under management attributable to acting as: 1183: (a) sponsor to a wrap fee program 1184: $ 1185: (b) portfolio manager for a wrap fee program? 1562: 1. Legal Name of Related Person: 1563: DALTON ADVISORY KK 1636: 1. Legal Name of Related Person: 1637: DALTON INVESTMENT ADVISORY SERVICES PRIVATE LIMITED 1712: 1. Legal Name of Related Person: 1713: BEACH FRONT PROPERTIES, LLC 1781: 1. Legal Name of Related Person: 1782: BEACH FRONT PROPERTY MANAGEMENT, INC. 1853: 1. Legal Name of Related Person: 1854: KIZUNA GP LLC 1924: 1. Legal Name of Related Person: 1925: CHINA GP LLC 1995: 1. Legal Name of Related Person: 1996: INDIA GP LLC 2065: 1. Legal Name of Related Person: 2066: PACGEN GP LLC 2138: 1. Legal Name of Related Person: 2139: ASIA GP LLC 2211: 1. Legal Name of Related Person: 2212: 1937 GP LLC 2284: 1. Legal Name of Related Person: 2285: RISING SUN MANAGEMENT LTD. 2358: 1. Legal Name of Related Person: 2359: ROSENWALD CAPITAL MANAGEMENT, INC. 2430: 1. Legal Name of Related Person: 2431: DALTON INVESTMENTS (AUSTRALIA) PTY LTD 2532: 1. (a) Name of the private fund: 2533: 1937 LP 2534: (b) Private fund identification number: 2535: (include the "805-" prefix also) 2626: 11. Current gross asset value of the private fund: 2627: $ 52,030,031 2633: 12. Minimum investment commitment required of an investor in the private fund: 2634: $ 1,000,000 2635: NOTE: Report the amount routinely required of investors who are not your related persons (even if different from the amount set forth in the organizational documents of the 2636: fund). 2639: 13. Approximate number of the private fund's beneficial owners: 2640: 1 2713: (b) Name of the auditing firm: 2714: PRICEWATERHOUSECOOPERS 2888: 1. (a) Name of the private fund: 2889: DALTON ASIA (MASTER) FUND LP 2890: (b) Private fund identification number: 2891: (include the "805-" prefix also) 2955: (a) Name of the private fund: 2956: DALTON ASIA (OFFSHORE FEEDER) FUND LTD 2996: (a) Name of the private fund: 2997: DALTON ASIA (US FEEDER) FUND LP 3060: 11. Current gross asset value of the private fund: 3061: $ 45,895,560 3066: 12. Minimum investment commitment required of an investor in the private fund: 3067: $ 1,000,000 3068: NOTE: Report the amount routinely required of investors who are not your related persons (even if different from the amount set forth in the organizational documents of the 3069: fund). 3072: 13. Approximate number of the private fund's beneficial owners: 3073: 30 3145: (b) Name of the auditing firm: 3146: PRICEWATERHOUSECOOPERS 3429: 1. (a) Name of the private fund: 3430: DALTON GREATER CHINA (MASTER) FUND LP 3431: (b) Private fund identification number: 3432: (include the "805-" prefix also) 3498: (a) Name of the private fund: 3499: DALTON GREATER CHINA (OFFSHORE FEEDER) FUND LTD 3540: (a) Name of the private fund: 3541: DALTON GREATER CHINA (US FEEDER) FUND LP 3543: (b) Private fund identification number: 3603: 11. Current gross asset value of the private fund: 3604: $ 54,041,051 3610: 12. Minimum investment commitment required of an investor in the private fund: 3611: $ 1,000,000 3612: NOTE: Report the amount routinely required of investors who are not your related persons (even if different from the amount set forth in the organizational documents of the 3613: fund). 3616: 13. Approximate number of the private fund's beneficial owners: 3617: 22 3691: (b) Name of the auditing firm: 3692: PRICEWATERHOUSECOOPERS 3948: 1. (a) Name of the private fund: 3949: DALTON INDIA (MASTER) FUND LP 3950: (b) Private fund identification number: 3951: (include the "805-" prefix also) 4017: (a) Name of the private fund: 4018: DALTON INDIA (OFFSHORE FEEDER) FUND LTD. 4060: (a) Name of the private fund: 4061: DALTON INDIA (US FEEDER) FUND LP 4122: 11. Current gross asset value of the private fund: 4123: $ 25,218,606 4129: 12. Minimum investment commitment required of an investor in the private fund: 4130: $ 1,000,000 4131: NOTE: Report the amount routinely required of investors who are not your related persons (even if different from the amount set forth in the organizational documents of the 4132: fund). 4135: 13. Approximate number of the private fund's beneficial owners: 4136: 52 4207: (b) Name of the auditing firm: 4208: PRICEWATERHOUSECOOPERS 4380: 1. (a) Name of the private fund: 4381: DALTON INVESTMENTS TRUST - SERIES B 4382: (b) Private fund identification number: 4383: (include the "805-" prefix also) 4471: 11. Current gross asset value of the private fund: 4472: $ 167,482,048 4478: 12. Minimum investment commitment required of an investor in the private fund: 4479: $ 1,000,000 4480: NOTE: Report the amount routinely required of investors who are not your related persons (even if different from the amount set forth in the organizational documents of the 4481: fund). 4484: 13. Approximate number of the private fund's beneficial owners: 4485: 20 4557: (b) Name of the auditing firm: 4558: PRICEWATERHOUSECOOPERS 4710: 1. (a) Name of the private fund: 4711: DALTON KIZUNA (MASTER) FUND LP 4712: (b) Private fund identification number: 4713: (include the "805-" prefix also) 4778: (a) Name of the private fund: 4779: DALTON KIZUNA (OFFSHORE FEEDER) FUND LTD. 4820: (a) Name of the private fund: 4821: DALTON KIZUNA (US FEEDER) FUND LP 4882: 11. Current gross asset value of the private fund: 4883: $ 45,080,027 4889: 12. Minimum investment commitment required of an investor in the private fund: 4890: $ 1,000,000 4891: NOTE: Report the amount routinely required of investors who are not your related persons (even if different from the amount set forth in the organizational documents of the 4892: fund). 4895: 13. Approximate number of the private fund's beneficial owners: 4896: 28 4969: (b) Name of the auditing firm: 4970: PRICEWATERHOUSECOOPERS 5123: 1. (a) Name of the private fund: 5124: PACIFIC AND GENERAL (MASTER) FUND, L.P. 5125: (b) Private fund identification number: 5126: (include the "805-" prefix also) 5194: (a) Name of the private fund: 5195: PACIFIC AND GENERAL INVESTMENTS INC. 5236: (a) Name of the private fund: 5237: PACIFIC AND GENERAL INVESTMENTS LP 5297: 11. Current gross asset value of the private fund: 5298: $ 23,451,782 5304: 12. Minimum investment commitment required of an investor in the private fund: 5305: $ 1,000,000 5306: NOTE: Report the amount routinely required of investors who are not your related persons (even if different from the amount set forth in the organizational documents of the 5307: fund). 5310: 13. Approximate number of the private fund's beneficial owners: 5311: 29 5382: (b) Name of the auditing firm: 5383: PRICEWATERHOUSECOOPERS 5945: ROSENWALD, JAMES, BENNO I SENIOR PORTFOLIO MANAGER, 02/1998 NA Y N 1241892 5946: DALTON INVESTMENTS LLC 5947: COMBS, FRANK, GIFFORD I EXECUTIVE MANAGING DIRECTOR, 10/1998 NA Y N 1537215 5948: DALTON INVESTMENTS LLC 6008: ROSENWALD FAMILY TRUST DE ROSENWALD CAPITAL OWNER 12/1997 E Y N 6009: MANAGEMENT, INC. 6010: ROSENWALD, JAMES, BENNO I ROSENWALD FAMILY TRUSTEE 12/1997 F Y N 1241892 6011: TRUST 6010: ROSENWALD, JAMES, BENNO I ROSENWALD FAMILY TRUSTEE 12/1997 F Y N 1241892 6011: TRUST 6012: ROSENWALD, LAURA, PARKER I ROSENWALD FAMILY TRUSTEE 12/1997 F Y N 6860203 6013: TRUST 6260: ROSENWALD, JAMES, I CHAIRMAN OF THE BOARD OF DIRECTORS, AND 09/2020 NA Y N 1241892 6261: BENNO PORTFOLIO MANAGER, DALTON INVESTMENTS, INC. 6262: ROSENWALD, JOCELYN, I DIRECTOR OF THE BOARD OF DIRECTORS, DALTON 09/2020 NA Y N 6860202 6263: MAY INVESTMENTS, INC. 6262: ROSENWALD, JOCELYN, I DIRECTOR OF THE BOARD OF DIRECTORS, DALTON 09/2020 NA Y N 6860202 6263: MAY INVESTMENTS, INC. 6305: ROSENWALD FAMILY TRUST DE ROSENWALD OWNER, ROSENWALD 12/1997 E Y N 6306: CAPITAL CAPITAL MANAGEMENT, 6307: MANAGEMENT, INC. INC. 6308: ROSENWALD, JAMES, BENNO I ROSENWALD FAMILY TRUSTEE 12/1997 F Y N 1241892 6308: ROSENWALD, JAMES, BENNO I ROSENWALD FAMILY TRUSTEE 12/1997 F Y N 1241892 6309: TRUST 6310: ROSENWALD, LAURA, PARKER I ROSENWALD FAMILY TRUSTEE 12/1997 F Y N 6860203 6311: TRUST ===== rcm_adv_104630.txt ===== header: ['Primary Business Name: ROSENWALD CAPITAL MANAGEMENT INC CRD Number: 104630', 'ADV - Annual Amendment, Page 1 Rev. 11/2010', '3/11/2011 1:49:01 PM', '', 'ADV Part 1A, Page 1'] 349: Discretionary: (a) $ 224928397 .00 (d) 5 350: Non-Discretionary: (b) $ 0 .00 (e) 0 351: Total: (c) $ 224928397 .00 (f) 5 350: Non-Discretionary: (b) $ 0 .00 (e) 0 351: Total: (c) $ 224928397 .00 (f) 5 987: ROSENWALD, JAMES, BENNO I PRESIDENT, CHIEF 05/1984 E Y N 1241892 988: COMPLIANCE OFFICER 989: ROSENWALD JR., JAMES, B I DIRECTOR 05/1984 NA N N 5492667 990: FORM ADV 1219: (1) Legal Name of Related Person: 1220: DALTON INVESTMENTS LLC 1267: Name of Limited Partnership, Limited Liability Company, or other Private Fund: 1268: ROSENWALD PARTNERS LP 1270: Name of General Partner or Manager: 1270: Name of General Partner or Manager: 1271: ROSENWALD CAPITAL MANAGEMENT, INC. 1272: Yes No 1273: If you are registered or registering with the SEC, is this a "private fund" as defined under SEC rule 203(b)(3)-1? 1282: Minimum investment commitment required of a limited partner, member, or other investor: 1283: $ 100000 1285: Current value of the total assets of the limited partnership, limited liability company, or other private fund: 1287: Name of Limited Partnership, Limited Liability Company, or other Private Fund: 1288: BEACH FRONT I LLC 1290: Name of General Partner or Manager: 1290: Name of General Partner or Manager: 1292: BEACH FRONT PROPERTIES LLC 1293: Yes No 1303: Minimum investment commitment required of a limited partner, member, or other investor: 1304: $ 100000 1306: Current value of the total assets of the limited partnership, limited liability company, or other private fund: 1308: Name of Limited Partnership, Limited Liability Company, or other Private Fund: 1309: BEACH FRONT II LLC 1311: Name of General Partner or Manager: 1311: Name of General Partner or Manager: 1312: BEACH FRONT PROPERTIES LLC 1313: Yes No 1314: If you are registered or registering with the SEC, is this a "private fund" as defined under SEC rule 203(b)(3)-1? 1323: Minimum investment commitment required of a limited partner, member, or other investor: 1324: $ 100000 1326: Current value of the total assets of the limited partnership, limited liability company, or other private fund: 1328: Name of Limited Partnership, Limited Liability Company, or other Private Fund: 1329: BEACH FRONT III LLC 1331: Name of General Partner or Manager: 1331: Name of General Partner or Manager: 1332: BEACH FRONT PROPERTIES LLC 1333: Yes No 1334: If you are registered or registering with the SEC, is this a "private fund" as defined under SEC rule 203(b)(3)-1? 1343: Minimum investment commitment required of a limited partner, member, or other investor: 1344: $ 100000 1346: Current value of the total assets of the limited partnership, limited liability company, or other private fund: 1348: Name of Limited Partnership, Limited Liability Company, or other Private Fund: 1349: BEACH FRONT IV LLC 1351: Name of General Partner or Manager: 1351: Name of General Partner or Manager: 1352: BEACH FRONT PROPERTIES LLC 1353: Yes No 1354: If you are registered or registering with the SEC, is this a "private fund" as defined under SEC rule 203(b)(3)-1? 1363: Minimum investment commitment required of a limited partner, member, or other investor: 1364: $ 100000 1366: Current value of the total assets of the limited partnership, limited liability company, or other private fund: 1368: Name of Limited Partnership, Limited Liability Company, or other Private Fund: 1369: 24818 ESHELMAN LLC 1371: Name of General Partner or Manager: 1371: Name of General Partner or Manager: 1372: BEACH FRONT PROPERTIES LLC 1374: Yes No 1384: Minimum investment commitment required of a limited partner, member, or other investor: 1385: $ 100000 1387: Current value of the total assets of the limited partnership, limited liability company, or other private fund: 1389: Name of Limited Partnership, Limited Liability Company, or other Private Fund: 1390: 23330 ARLINGTON LLC 1392: Name of General Partner or Manager: 1392: Name of General Partner or Manager: 1393: BEACH FRONT PROPERTIES LLC 1394: Yes No 1395: If you are registered or registering with the SEC, is this a "private fund" as defined under SEC rule 203(b)(3)-1? 1404: Minimum investment commitment required of a limited partner, member, or other investor: 1405: $ 100000 1407: Current value of the total assets of the limited partnership, limited liability company, or other private fund: 1409: Name of Limited Partnership, Limited Liability Company, or other Private Fund: 1410: LAMLEX LLC 1412: Name of General Partner or Manager: 1412: Name of General Partner or Manager: 1413: BEACH FRONT PROPERTRIES LLC 1414: Yes No 1415: If you are registered or registering with the SEC, is this a "private fund" as defined under SEC rule 203(b)(3)-1? 1424: Minimum investment commitment required of a limited partner, member, or other investor: 1425: $ 100000 1427: Current value of the total assets of the limited partnership, limited liability company, or other private fund: 1429: Name of Limited Partnership, Limited Liability Company, or other Private Fund: 1430: 1223 ANAHEIM STREET LLC 1432: Name of General Partner or Manager: 1432: Name of General Partner or Manager: 1433: BEACH FRONT PROPERTIES LLC 1434: Yes No 1435: If you are registered or registering with the SEC, is this a "private fund" as defined under SEC rule 203(b)(3)-1? 1444: Minimum investment commitment required of a limited partner, member, or other investor: 1445: $ 100000 1447: Current value of the total assets of the limited partnership, limited liability company, or other private fund: 1449: Name of Limited Partnership, Limited Liability Company, or other Private Fund: 1450: BEACH FRONT VIII LLC 1452: Name of General Partner or Manager: 1452: Name of General Partner or Manager: 1453: BEACH FRONT PROPERTIES LLC 1454: Yes No 1465: Minimum investment commitment required of a limited partner, member, or other investor: 1466: $ 100000 1468: Current value of the total assets of the limited partnership, limited liability company, or other private fund: 1470: Name of Limited Partnership, Limited Liability Company, or other Private Fund: 1471: EMERALD PARK LLC 1473: Name of General Partner or Manager: 1473: Name of General Partner or Manager: 1474: EMERALD PARK MANAGER LLC 1475: Yes No 1476: If you are registered or registering with the SEC, is this a "private fund" as defined under SEC rule 203(b)(3)-1? 1485: Minimum investment commitment required of a limited partner, member, or other investor: 1486: $ 100000 1488: Current value of the total assets of the limited partnership, limited liability company, or other private fund: 1490: Name of Limited Partnership, Limited Liability Company, or other Private Fund: 1491: BEACH VAULT LLC 1493: Name of General Partner or Manager: 1493: Name of General Partner or Manager: 1494: JAMES B. ROSENWALD III 1495: Yes No 1496: If you are registered or registering with the SEC, is this a "private fund" as defined under SEC rule 203(b)(3)-1? 1505: Minimum investment commitment required of a limited partner, member, or other investor: 1506: $ 100000 1508: Current value of the total assets of the limited partnership, limited liability company, or other private fund: 1510: Name of Limited Partnership, Limited Liability Company, or other Private Fund: 1511: PGE MARQUIS OPERATOR LLC 1513: Name of General Partner or Manager: 1513: Name of General Partner or Manager: 1514: EMERALD PARK MANAGER LLC 1515: Yes No 1516: If you are registered or registering with the SEC, is this a "private fund" as defined under SEC rule 203(b)(3)-1? 1525: Minimum investment commitment required of a limited partner, member, or other investor: 1526: $ 10000 1528: Current value of the total assets of the limited partnership, limited liability company, or other private fund: 1530: Name of Limited Partnership, Limited Liability Company, or other Private Fund: 1531: NPI B.F. VENTURES LLC 1533: Name of General Partner or Manager: 1533: Name of General Partner or Manager: 1534: BEACH FRONT PROPERTIES LLC 1535: Yes No 1536: If you are registered or registering with the SEC, is this a "private fund" as defined under SEC rule 203(b)(3)-1? 1544: Minimum investment commitment required of a limited partner, member, or other investor: 1545: $ 10000 1547: Current value of the total assets of the limited partnership, limited liability company, or other private fund: 1549: Name of Limited Partnership, Limited Liability Company, or other Private Fund: 1550: PARK ROLLING HILLS, LLC 1552: Name of General Partner or Manager: 1552: Name of General Partner or Manager: 1553: BEACH FRONT PROPERTIES LLC 1554: Yes No 1555: If you are registered or registering with the SEC, is this a "private fund" as defined under SEC rule 203(b)(3)-1? 1564: Minimum investment commitment required of a limited partner, member, or other investor: 1565: $ 10000 1567: Current value of the total assets of the limited partnership, limited liability company, or other private fund: 1569: Name of Limited Partnership, Limited Liability Company, or other Private Fund: 1570: PACIFIC ALLIANCE CAPITAL LLC 1572: Name of General Partner or Manager: 1572: Name of General Partner or Manager: 1573: JAMES B. ROSENWALD III 1574: Yes No 1575: If you are registered or registering with the SEC, is this a "private fund" as defined under SEC rule 203(b)(3)-1? 1584: Minimum investment commitment required of a limited partner, member, or other investor: 1585: $ 10000 1587: Current value of the total assets of the limited partnership, limited liability company, or other private fund: 1738: DALTON FAILED TO TIMELY FILE WITH NFA THE DECEMBER 31, 2005 ANNUAL REPORTS FOR SEVEN OF ITS POOLS. 1740: 8. Current status ? Pending On Appeal Final 1740: 8. Current status ? Pending On Appeal Final 1742: 9. If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed: 1781: ON AUGUST 25, 2006 DALTON EXECUTED AN OFFER OF SETTLEMENT AGREEING TO A MONETARY FINE OF $10,000. NFA ISSUED FINAL DECISION ON 1782: 10/12/2006 BASED ON CONSENT SETTLEMENT. 1784: CIVIL JUDICIAL ACTION DISCLOSURE REPORTING PAGE (ADV)