---
title: "JBR IV Trust — Master Evidence Binder"
subtitle: "Exhibit C Public Records Compilation + Yearly Form ADVs + Supporting Evidence"
author: "Abraham Rosenwald, Self-Represented Defendant"
date: "May 25, 2026"
matter: "Rosenwald v. Rosenwald · FST-FA26-6078292-S"
---

# JBR IV Trust — Master Evidence Binder

**Matter:** *Rosenwald v. Rosenwald*, FST-FA26-6078292-S (CT Superior Court, Stamford-Norwalk Judicial District)
**Author:** Abraham Rosenwald, self-represented defendant
**Binder assembled:** May 25, 2026
**Total documents:** 71 PDFs across 3 sections (~45 MB)

---

## What's in this binder

This binder assembles the complete documentary record supporting **Exhibit C — JBR IV Trust public records compilation** (the centerpiece document filed in the May 21, 2026 SGB exhibit set), organized into three sections:

1. **Section 01 — Primary Exhibit C** (the document being supported)
2. **Section 02 — Yearly Form ADVs Pack** (the SEC filings that document the underlying RIA structure feeding the JBR IV Trust)
3. **Section 03 — Supporting Evidence Binder** (Morgan Stanley statements, Haywood Securities records, CA subpoenas, related-trust corroboration, prior exhibit binders, forensic reports)

---

## Section 01 — Primary Exhibit C

**Path:** `01_PRIMARY_EXHIBIT_C/`
**Count:** 1 PDF

| Document | Description |
|---|---|
| Exhibit_C_JBR_IV_Trust_public_records_compilation.pdf | The May 21, 2026 SGB exhibit. The document this binder supports. |

---

## Section 02 — Yearly Form ADVs Pack

**Path:** `02_YEARLY_ADVs_PACK/`
**Count:** 24 PDFs across 4 entities

The complete archive of SEC / FINRA / state-registered Form ADV filings for the four Registered Investment Adviser entities in the Dalton-Rosenwald chain that funds the JBR IV Trust. Each subfolder is one entity; filings are ordered chronologically.

### A. Dalton Investments LLC — CRD 109538

**Path:** `02_YEARLY_ADVs_PACK/A_Dalton_Investments_LLC_CRD_109538/`
**Count:** 7 PDFs

| Filing Date | Document |
|---|---|
| 2020-03-30 | Filing 116305 — Part 1 |
| 2020-03-30 | Filing 144689 — Part 1 |
| 2021-03-31 | Filing 116305 — Part 1 |
| 2021-03-31 | Filing 144689 — Part 1 |
| 2021-03-31 | Part 2A — Brochure |
| 2021-03-31 | Part 2B — Supervised Persons |
| Current | Final Part 1 (combined latest-available) |

### B. Rosenwald Capital Management — NRD 290118

**Path:** `02_YEARLY_ADVs_PACK/B_Rosenwald_Capital_Management_NRD_290118/`
**Count:** 12 PDFs

| Filing Date | Document |
|---|---|
| 2020-03-30 | Filing 287079 v3 |
| 2020-03-30 | Filing 287080 v4 |
| 2020-08-12 | Filing 287079 v4 (amended) |
| 2020-08-12 | Filing 287080 v5 (amended) |
| 2021-03-31 | Filing 287079 v5 |
| 2021-03-31 | Filing 287080 v6 |
| 2024-03-29 | Filing 287079 v8 |
| 2024-03-29 | Filing 287080 v9 |
| 2026-03-30 | Part 2A — Brochure |
| 2026-03-30 | Part 2B — Supervised Persons |
| Current | Part 1 |
| Current | ADV Combined |

### C. Dalton Inc. — CRD 308609

**Path:** `02_YEARLY_ADVs_PACK/C_Dalton_Inc_CRD_308609/`
**Count:** 4 PDFs

| Filing Date | Document |
|---|---|
| 2026-03-30 | Part 2A — Brochure |
| 2026-03-30 | Part 2B — Supervised Persons |
| 2026-03-30 | Current ADV Combined |
| Current | Part 1 |

### D. Rising Sun — CRD 310497

**Path:** `02_YEARLY_ADVs_PACK/D_Rising_Sun_CRD_310497/`
**Count:** 1 PDF

| Filing Date | Document |
|---|---|
| Current | Part 1 |

---

## Section 03 — Supporting Evidence Binder

**Path:** `03_SUPPORTING_EVIDENCE_BINDER/`
**Count:** 46 PDFs across 6 subfolders

### A. Morgan Stanley Trust Statements

**Path:** `03_SUPPORTING_EVIDENCE_BINDER/A_Morgan_Stanley_Trust_Statements/`
**Count:** 4 PDFs

Three time-point Morgan Stanley statements bracketing 2020 → 2025 + 1 undated Rosenwald Family Trust account statement.

| Statement Date | Account |
|---|---|
| 2020-02 | James B. Rosenwald IV Trust |
| 2022-07 | Rosenwald Family Trust |
| 2025-11 | James B. Rosenwald IV Trust |
| (undated) | Rosenwald Family Trust Account |

### B. Haywood Securities

**Path:** `03_SUPPORTING_EVIDENCE_BINDER/B_Haywood_Securities/`
**Count:** 2 PDFs

Haywood (Canadian broker-dealer, FINRA CRD 42072) appears as a counterparty in the JBR IV Trust transaction history.

| Document | Description |
|---|---|
| 2025-11 JBR IV Haywood Statement | Account statement |
| Subpoena 15 — Haywood Securities (FULL) | CA discovery subpoena to Haywood |

### C. CA Subpoenas — Related Trusts

**Path:** `03_SUPPORTING_EVIDENCE_BINDER/C_CA_Subpoenas_Related_Trusts/`
**Count:** 2 PDFs

| Subpoena # | Target | Trust Date |
|---|---|---|
| 03 | Rosenwald Family Trust | DTD 12/10/1997 |
| 04 | James Benno Rosenwald IV Trust | DTD 12/18/1997 |

### D. De La Torre Exhibit Binder (full)

**Path:** `03_SUPPORTING_EVIDENCE_BINDER/D_De_La_Torre_Exhibit_Binder/`
**Count:** ~26 PDFs (cover, index, exhibits A–K + Bonus + 4 New exhibits + full-binder PDF)

The complete REG_AR-WB-20260510 De La Torre exhibit binder. Includes:
- Exhibit A: Dalton Investments LLC Form ADV Part 1 (CRD 109538)
- Exhibit B: Dalton Investments LLC Form ADV Part 2B
- Exhibit C: Rosenwald Capital Management Form ADV Part 1 (NRD 290118)
- Exhibit D: RCM Form ADV Part 2A
- Exhibit E: RCM Form ADV Part 2B
- Exhibit F: De La Torre Documentary Verification Report (Sections A–K)
- Exhibit G: Dalton Investments Inc. (NRD 308609 / new BC entity, no Form 31-103F2 filed)
- Exhibit H: Glass House SEDI insider snapshot + peer comparison
- Exhibit I: Founders list (8 of 13) — Rosenwald-Persky family entities
- Exhibit J: Jocelyn 1997 Trust co-trustees (Jill Rosenwald + Walter Parker) → **JBR IV Trust ties**
- Exhibit K: Schedule 4.17/4.4.2.5 omission audit
- Bonus: Prospectus cover p. ii — De La Torre listed with GH Group nominees
- New-1: April 27 2026 JBR III cluster sale (70K shares ≈ $656K)
- New-2: April 28–29 2026 Glass House material-adverse disclosure
- New-3: Form D/A cluster Feb 5 2026 (NAVF Select / Dalton Pacific Rim / Dalton Trust)

### E. Dalton Empire Binder — 2026-05-20

**Path:** `03_SUPPORTING_EVIDENCE_BINDER/E_Dalton_Empire_Binder_20260520/`
**Count:** 10 PDFs

The prior-prepared exhibit binder consolidating the Dalton-Rosenwald empire evidence:

| # | Document |
|---|---|
| 00 | Index |
| 01 | Schwab LPOA |
| 02 | Schedule A Extract — Filing 1323971 (2019-05-16) |
| 03 | Schedule A Extract — Filing 1331107 (2019-07-01) |
| 04 | Form ADV 2026 (CRD 308609) |
| 05 | Plaintiff Complaint |
| 06 | Summary Chart |
| 07A | Form ADV 2021 (CRD 109538) |
| 07B | Form ADV 2020 (CRD 109538) |
| 08 | SEC Bulk Form ADV Data Backup |

### F. Forensic Reports

**Path:** `03_SUPPORTING_EVIDENCE_BINDER/F_Forensic_Reports/`
**Count:** 3 PDFs (rendered from Markdown sources via Chrome headless)

| Document | Description |
|---|---|
| ROSENWALD_EMPIRE_FORENSIC_REPORT | Consolidated forensic analysis of the entire Rosenwald-Dalton empire |
| DALTON_MARITAL_ASSET_BRIEF_AND_DISCOVERY | Asset-classification + discovery brief: which Dalton-chain assets are marital property |
| BEACHFRONT_FORENSIC_REPORT | Real-property + trust-property analysis (beachfront holdings) |

---

## Filing & use notes

- **The yearly Form ADV pack (Section 02)** is the substantive backbone of any RIA / honest-services-fraud / fiduciary-breach argument. The historical ADVs document who controlled what, when, and how the control structure changed.
- **Morgan Stanley statements (03/A)** are the primary balance-and-disposition record for the JBR IV Trust assets.
- **CA subpoenas (03/C)** are already-issued discovery demands; the response sets (where received) belong with the underlying responses, not this binder.
- **De La Torre exhibit binder (03/D)** is the canonical reference set for the JBR III SEC-side exhibits.
- **Dalton Empire binder (03/E)** is the prior-prepared package — Forms ADV + Schwab LPOA + Schedule A extracts + summary chart. Use this for any motion or filing that needs a one-stop reference set.

---

*/s/ Abraham Rosenwald — Self-Represented Defendant — Rosenwald v. Rosenwald — FST-FA26-6078292-S*
*1127 High Ridge Road, Suite 151 — Stamford, CT 06905*
*aberosenwald@icloud.com · aberosenwald@proton.me*