Investment adviser · CRD 109538

DALTON INVESTMENTS LLC

Investment adviser filing (IA)

SANTA MONICA, CA, United States · Form ADV filed Apr 30, 2021

Regulatory AUM: $3.27B
Client accounts: 37
Employees: 38
Advisory professionals: 13

Who they report serving

Form ADV · Item 5.D

Client types and their share of reported regulatory assets.

Client type	Clients	Regulatory assets	Share of AUM
Retirement plans	8	$1,065,575,828	32.6%
Pooled investment vehicles	20	$763,221,733	23.4%
Corporations & businesses	1	$697,651,661	21.3%
Charities	4	$327,991,213	10.0%
Sovereign wealth & foreign institutions	1	$327,351,866	10.0%
Insurance companies	1	$55,324,279	1.7%
High-net-worth individuals	2	$30,916,045	0.9%

Filing source

Form ADV 1537822 · Apr 30, 2021 · Item 5.D

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Private funds & service providers

21 Private funds

The count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.

DALTON INVESTMENTS TRUST - SERIES BOther Private Fund · Last reported Apr 30, 2021$167MGross asset value

Fund administrator NORTHERN TRUST HEDGE FUND SERVICES LLC CHICAGO, Illinois, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor PRICEWATERHOUSECOOPERS CAMANA BAY, Cayman Islands

Custodian THE NORTHERN TRUST COMPANY CHICAGO, Illinois, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

PRICEWATERHOUSECOOPERS
PCAOB 1266

THE NORTHERN TRUST COMPANY
LEI 6PTKHDJ8HDUF78PFWH30

Fund details & source

Fund ID: 805-9988935312
Reported beneficial owners: 20
Minimum commitment: $1M

Form ADV 1537822 · Apr 30, 2021 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

DALTON GREATER CHINA (MASTER) FUND LPHedge Fund · Last reported Apr 30, 2021$54MGross asset value

Feeder funds

DALTON GREATER CHINA (OFFSHORE FEEDER) FUND LTD.
DALTON GREATER CHINA (US FEEDER) FUND LP

Fund administrator NORTHERN TRUST HEDGE FUND SERVICES LLC CHICAGO, Illinois, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor PRICEWATERHOUSECOOPERS CAMANA BAY, Cayman Islands

Custodian GOLDMAN SACHS & CO. LLC NEW YORK, New York, United States Related to adviser: No

Custodian MORGAN STANLEY & CO. LLC LONDON, United Kingdom Related to adviser: No

Custodian THE NORTHERN TRUST COMPANY CHICAGO, Illinois, United States Related to adviser: No

Prime broker GOLDMAN SACHS & CO. LLC NEW YORK, New York, United States

Prime broker MORGAN STANLEY & CO. LLC NEW YORK, New York, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

PRICEWATERHOUSECOOPERS
PCAOB 1266

GOLDMAN SACHS & CO. LLC
SEC 8-129

MORGAN STANLEY & CO. LLC
SEC 8-15869

THE NORTHERN TRUST COMPANY
LEI 6PTKHDJ8HDUF78PFWH30

GOLDMAN SACHS & CO. LLC
CRD 361 · SEC 8-129

MORGAN STANLEY & CO. LLC
CRD 8209 · SEC 8-15869

Fund details & source

Fund ID: 805-6466212652
Reported beneficial owners: 22
Minimum commitment: $1M
Form D file number: 021-72872
Form D file number: 021-97739

Form ADV 1537822 · Apr 30, 2021 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

1937 LPHedge Fund · Last reported Apr 30, 2021$52MGross asset value

Form D fundraising filings

Convergent US Fund LP

Fund administrator INTERNATIONAL FUND SERVICES LLC NEW YORK, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor PRICEWATERHOUSECOOPERS CAMANA BAY, Cayman Islands

Custodian STATE STREET BANK AND TRUST COMPANY BOSTON, Massachusetts, United States Related to adviser: No

Prime broker GOLDMAN SACHS & CO. LLC NEW YORK, New York, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

PRICEWATERHOUSECOOPERS
PCAOB 1266

STATE STREET BANK AND TRUST COMPANY
LEI 571474TGEMMWANRLN572

GOLDMAN SACHS & CO. LLC
CRD 361 · SEC 8-129

Fund details & source

Fund ID: 805-4944289922
Reported beneficial owners: 1
Minimum commitment: $1M
Form D file number: 021-113750

Form ADV 1537822 · Apr 30, 2021 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

DALTON ASIA (MASTER) FUND LPHedge Fund · Last reported Apr 30, 2021$45.9MGross asset value

Feeder funds

DALTON ASIA (OFFSHORE FEEDER) FUND, LTD.
DALTON ASIA (US FEEDER) FUND LP

Fund administrator NORTHERN TRUST HEDGE FUND SERVICES LLC CHICAGO, Illinois, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor PRICEWATERHOUSECOOPERS CAMANA BAY, Cayman Islands

Custodian EXIMBANK HO CHI MINH CITY, Vietnam Related to adviser: No

Custodian GOLDMAN SACHS & CO. LLC NEW YORK, New York, United States Related to adviser: No

Custodian MORGAN STANLEY & CO. LLC NEW YORK, New York, United States Related to adviser: No

Custodian THE NORTHERN TRUST COMPANY CHICAGO, Illinois, United States Related to adviser: No

Prime broker GOLDMAN SACHS & CO. LLC NEW YORK, New York, United States

Prime broker MORGAN STANLEY & CO. LLC NEW YORK, New York, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

PRICEWATERHOUSECOOPERS
PCAOB 1266

EXIMBANK
LEI 5493006MVKRCEOKQQT65

GOLDMAN SACHS & CO. LLC
SEC 8-129

MORGAN STANLEY & CO. LLC
SEC 8-15869

THE NORTHERN TRUST COMPANY
LEI 6PTKHDJ8HDUF78PFWH30

GOLDMAN SACHS & CO. LLC
CRD 361 · SEC 8-129

MORGAN STANLEY & CO. LLC
CRD 8209 · SEC 8-15869

Fund details & source

Fund ID: 805-2085587133
Reported beneficial owners: 30
Minimum commitment: $1M
Form D file number: 021-115125
Form D file number: 021-115175

Form ADV 1537822 · Apr 30, 2021 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

DALTON KIZUNA (MASTER) FUND LPHedge Fund · Last reported Apr 30, 2021$45.1MGross asset value

Feeder funds

DALTON KIZUNA (OFFSHORE FEEDER) FUND LTD.
DALTON KIZUNA (US FEEDER) FUND LP

Fund administrator NORTHERN TRUST HEDGE FUND SERVICES LLC CHICAGO, Illinois, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor PRICEWATERHOUSECOOPERS CAMANA BAY, Cayman Islands

Custodian THE NORTHERN TRUST COMPANY CHICAGO, Illinois, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

PRICEWATERHOUSECOOPERS
PCAOB 1266

THE NORTHERN TRUST COMPANY
LEI 6PTKHDJ8HDUF78PFWH30

Fund details & source

Fund ID: 805-1914913491
Reported beneficial owners: 28
Minimum commitment: $1M
Form D file number: 021-282839
Form D file number: 021-282840

Form ADV 1537822 · Apr 30, 2021 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

DALTON INDIA (MASTER) FUND LPHedge Fund · Last reported Apr 30, 2021$25.2MGross asset value

Feeder funds

DALTON INDIA (OFFSHORE FEEDER) FUND LTD.
DALTON INDIA (US FEEDER) FUND LP

Fund administrator NORTHERN TRUST HEDGE FUND SERVICES LLC CHICAGO, Illinois, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor PRICEWATERHOUSECOOPERS CAMANA BAY, Cayman Islands

Custodian MORGAN STANLEY & CO. INTERNATIONAL PLC LONDON, United Kingdom Related to adviser: No

Prime broker MORGAN STANLEY & CO. INTERNATIONAL PLC LONDON, United Kingdom

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

PRICEWATERHOUSECOOPERS
PCAOB 1266

MORGAN STANLEY & CO. INTERNATIONAL PLC
LEI 4PQUHN3JPFGFNF3BB653

Fund details & source

Fund ID: 805-5060765109
Reported beneficial owners: 52
Minimum commitment: $1M
Form D file number: 021-221365
Form D file number: 021-221368

Form ADV 1537822 · Apr 30, 2021 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

PACIFIC AND GENERAL (MASTER) FUND, L.P.Hedge Fund · Last reported Apr 30, 2021$23.5MGross asset value

Feeder funds

PACIFIC AND GENERAL INVESTMENTS LP
PACIFIC AND GENERAL INVESTMENTS INC.
PACIFIC AND GENERAL INVESTMENTS INC.

Fund administrator NORTHERN TRUST HEDGE FUND SERVICES LLC CHICAGO, Illinois, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor PRICEWATERHOUSECOOPERS CAMANA BAY, Cayman Islands

Custodian GOLDMAN SACHS & CO. LLC NEW YORK, New York, United States Related to adviser: No

Custodian THE NORTHERN TRUST COMPANY CHICAGO, Illinois, United States Related to adviser: No

Prime broker GOLDMAN SACHS & CO. LLC NEW YORK, New York, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

PRICEWATERHOUSECOOPERS
PCAOB 1266

GOLDMAN SACHS & CO. LLC
SEC 8-129

THE NORTHERN TRUST COMPANY
LEI 6PTKHDJ8HDUF78PFWH30

GOLDMAN SACHS & CO. LLC
CRD 361 · SEC 8-129

Fund details & source

Fund ID: 805-7267839834
Reported beneficial owners: 29
Minimum commitment: $1M
Form D file number: 021-169018

Form ADV 1537822 · Apr 30, 2021 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Services & filing details

Most recent filing: Apr 30, 2021. View historical filings

Reported services

Individual portfolio management · Pooled investment vehicle management · Business portfolio management

Compensation

Percentage of assets · Fixed · Performance-based

Principal office

1601 CLOVERFIELD BOULEVARD, SUITE 5050 N
SANTA MONICA, CA, 90404, United States

CRD 109538

Filing source

Form ADV 1537822 · Apr 30, 2021 · Items 1 & 5

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.