SourcingSourcing

DALTON INVESTMENTS, INC.

C29
CRD 308609·SEC 801-121986·EL SEGUNDO, CA
AUM
$5.72B
$1B+
Est. Revenue
$57.2M
@ 1% on AUM
Est. EBITDA
$17.2M
@ 30% margin
Est. Deal Value
$137.2M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
DALTON INVESTMENTS, INC.
CRD
308609
SEC file #
801-121986
EIN
981349768
DBA names
—

Economics

AUM
$5.72B
AUM band
$1B+
AUM trajectory
'22'26
$3.40B → $5.72B▲ +68%
Client mix
Pooled Investment Vehicles27
Pension Profit Sharing Plans6
Individuals High Net Worth2
Charitable Organizations2
Insurance Companies1

Operations

Employees (total)
46
Advisory staff (per ADV)
17
Advisory staff (5-yr trend)
'22'26
16 advisors → 17 advisors▲ +6%
Primary office
EL SEGUNDO CA
Branches
—

Custodian & Brokerage

Primary custodian
Northern Trustlow confidence
Services offered
Portfolio mgmt — individualsPortfolio mgmt — pooled vehiclesPortfolio mgmt — businesses
Fee basis
% of AUMPerformance-based fees

Filings

Latest ADV filing
03/30/2026
ADV-W filed at
—
Website
daltoninvestments.com

Compliance

Disclosures (firm)
1
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
ROSENWALD CAPITAL
Top Owner Pct
62.5
Top Owner Entity Kind
DE
Owner Count
11
Control Persons
ROSENWALD CAPITAL
WALKING ROCK NEVADA, INC.
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
DALTONINVESTMENTS.COM
Rdap Domain Creation Date
2000-02-03T17:48:14Z
Rdap Firm Age Years
26
Rdap Firm Age Band
20+y
Rdap Registrar
Name106, Inc.

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
Yes
Form 5500 Plan Count
3
Form 5500 Total Participants
48
Form 5500 Total Compensation
2,836,080
Form 5500 Compensation Trajectory 3y
20262,597,469
2025238,611
20240
Form 5500 Plan Count Trajectory 3y
20241
20251
20261
Schedule C Total Compensation
2,836,080
Schedule C Service Provider Rows
3

SEC EDGAR

Edgar Cik
0001699528
Edgar Registered
Yes
Edgar Filing Count
13
Edgar First Filing Date
2017-03-17
Edgar Last Filing Date
2026-02-03
Edgar Form D Count
13
Edgar Form D Offerings
2026-02-032026-02-03 · 0001699528-26-000002
2025-03-042025-03-04 · 0001699528-25-000002

Compliance & brand

Firm Registration Status
active

All other collected signals (17)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
0
Bc Firm IAR Count
0
Custodian Candidates
Full
Northern Trust28
Goldman Sachs12
Morgan Stanley6
State Street4
E*trade4
Edgar Addresses
Mailing
C/O DALTON INVESTMENTS, INC.360 N PACIFIC COAST HIGHWAY, SUITE 1060EL SEGUNDO, CA 90245
Business
C/O DALTON INVESTMENTS, INC.360 N PACIFIC COAST HIGHWAY, SUITE 1060EL SEGUNDO, CA 90245
Edgar EIN
981349768
Edgar Recent Filings
D/A2026-02-03 · 0001699528-26-000002
D/A2025-03-04 · 0001699528-25-000002
Firm Has Custody
Yes
Mailing Office Differs
No
Rdap Domain Expiration Date
2028-02-03T17:48:14Z
Rdap Domain Last Changed
2023-02-01T01:50:02Z
Rdap Nameservers
Ns1.accessabacus.comNs2.accessabacus.comNs3.accessabacus.comNs4.accessabacus.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Transfer Prohibited
Top Owner CRD
290118
Trust Company Affiliate
Yes

People (9)

9
ROSENWALD CAPITAL
Direct Owner · 62.5%
290118
ALFANDARI, SARAH, BARBARA
Executive Officer · 2.5%
5346892
COMBS, FRANK, GIFFORD
Executive Officer · 2.5%
1537215
DOUGLAS, IAIN, NA
Executive Officer · 2.5%
7357717
HA, CHRISTOPHER, ALFRED
Executive Officer · 2.5%
6095216
HUNPADONGRAT, JANET, NA
Executive Officer · 2.5%
7146271
MERCER, CRAIG, ALAN
Executive Officer · 2.5%
8052739
ROSENWALD, JAMES, BENNO
Executive Officer · 2.5%
1241892
ROSENWALD, JOCELYN, MAY
Executive Officer · 2.5%
6860202