DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
D••••• I••••••••• I•••
Latest filing Mar 30, 2026
First filing on the tape Jun 30, 2021 · 13 filings
SEC status approved since Jul 30, 2021
RAUM
$5.7B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
4.2%
$238M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
46
17 advisory (5.B.1)
Offices
6
beyond the principal office
Private funds
9
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$5.7B as of Mar 30, 2026
Mar 31, 2022$3.2B then
HNW client RAUM$238M as of Mar 30, 2026
Mar 31, 2022$60.5M then
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 31, 20220 then
Employees (5.A)46 as of Mar 30, 2026
Mar 31, 202242 then
Private funds9 as of Mar 30, 2026
Mar 31, 20226 then
RAUM +39% over the last fiscal year+33% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $119MderivedHNW RAUM over HNW clients
- Average account
- $143MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 26%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived7 offices incl. principal (1.F.5)
- RAUM growth, one year
- +39%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- yesreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$3.1B55%
- Pension and profit-sharing plans$1.1B18%
- Corporations and businesses$854M15%
- Sovereign wealth funds$239M4.2%
- High-net-worth individuals$238M4.2%
- Charitable organizations$168M2.9%
- Insurance companies$23.8M0.4%
- Individual clients
- 0reported
- HNW clients
- 2reported
- Pension plan clients
- 6reported
- Charitable clients
- 2reported
- Accounts
- 40reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.04 fund_share=0.55 institutional_share=0.26 related_bd=false related_bank=true bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
9 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| D••••• I••••••••• T•••• • S••••• B• | Other Private Fund | $166M | 29 | Mar 31, 2017 |
| D••••• I••••••••• T•••• • S••••• C• | Other Private Fund | $55.4M | 1 | Mar 29, 2024 |
| N••• S••••• L•• | Hedge Fund | $46.0M | 50 | Mar 31, 2022 |
| D••••• A••• ••••••• F••• L• | Hedge Fund | $44.0M | 28 | Mar 13, 2012 |
| D••••• I•••• ••••••• F••• L• | Hedge Fund | $40.4M | 49 | Mar 31, 2015 |
| D••••• K••••• ••••••• F••• L• | Hedge Fund | $35.0M | 24 | Mar 29, 2018 |
| P•••••• A•• G•••••• ••••••• F••• L• | Hedge Fund | $31.7M | 27 | Mar 13, 2012 |
| D••••• G•••••• C•••• ••••••• F••• L•no longer reported | Hedge Fund | $28.9M | 19 | Mar 13, 2012 |
| D••••• P•••••• R•• F••• L• | Hedge Fund | $24.1M | 14 | Mar 31, 2023 |
Owners and control persons
Schedule A and B, latest filing
- A••••••••• S••••• B•••••• · Chief Executive Officer And President, And Director Of The Board Of Directors, D••••• I••••••••• I•••controlsince 09/2020 · owns less than 5%
- C••••• F••••• G•••••• · Treasurer, Secretary, Portfolio Manager, And Director Of The Board Of Directors, D••••• I••••••••• I•••controlsince 12/2019 · owns less than 5%
- D••••••• I•••• N• · Chief Marketing Officer, D••••• I••••••••• I•••controlsince 03/2021 · owns less than 5%
- H•• C••••••••• A••••• · Chief Compliance Officer And Counsel, D••••• I••••••••• I•••controlsince 01/2021 · owns less than 5%
- H••••••••• J••••• N• · Chief Operating Officer And Chief Financial Officer, D••••• I••••••••• I•••controlsince 01/2022 · owns less than 5%
- R••••••••• J••••• B•••• · Chairman Of The Board Of Directors, And Chief Investment Officer, D••••• Investmnts, Inc.controlsince 09/2020 · owns less than 5%
- R••••••••• J••••••• M•• · Director Of The Board Of Directors, D••••• I••••••••• I•••controlsince 09/2020 · owns less than 5%
- R••••••••• J••••• B•••• · Trusteecontrolsince 12/1997 · owns F of R•••••••• F••••• T••••
- R••••••••• L••••• P••••• · Trusteecontrolsince 12/1997 · owns F of R•••••••• F••••• T••••
Entity owners
- D••••• I••••••••• L•• · Owner Of D••••• I••••••••• I•••direct · owns 75% or more
- R•••••••• C•••••• M••••••••• I••• · Majority-Owner And Managing Memberindirect · owns 50% to 75% of D••••• I••••••••• L••
- R•••••••• F••••• T•••• · Ownerindirect · owns 75% or more of R•••••••• C•••••• M••••••••• I•••
Related persons
Schedule D 7.A
- A••• G• L••bankpooled vehicle sponsory
- B•••• F•••• P••••••••• L••pooled vehicle sponsorn
- B•••• F•••• P••••••• M••••••••• I•••investment companypooled vehicle sponsorn
- D••••• A••••••• K•investment advisern
- D••••• I••••••••• A••••••• S••••••• P•••••• L••••••investment advisern
- D••••• I••••••••• ••••••••• P•• L••investment advisern
- D••••• I••••••••• •••• K•••• L••••••investment advisern
- I•••• G• L••bankpooled vehicle sponsory
- K••••• G• L••bankpooled vehicle sponsory
- P••••• G• L••bankpooled vehicle sponsory
- P••••• G• L••bankpooled vehicle sponsory
- R••••• S•• M••••••••• L•••investment advisern
- R•••••••• C•••••• M••••••••• I•••investment adviserbankpooled vehicle sponsoryRAUM $248M
- S••••• B• S•• L••bankpooled vehicle sponsory
- S••••• C• S•• L••bankpooled vehicle sponsory
Advisers that list D••••• I••••••••• I••• as a related person
- 290118 y
Offices
Schedule D 1.F, the 25 largest
- Tokyo, Japan5 employees
- El Segundo, CA4 employees
- Mumbai, India2 employees
- Crows Nest, Nsw, Australia1 employees
- H••• K•••, China1 employees
- Redondo B••••, CA1 employees
What changed
consecutive filings, newest first
- Accounts · 39 to 40Jul 28, 2025 to Mar 30, 2026
- Pooled vehicle clients · 26 to 27Jul 28, 2025 to Mar 30, 2026
- Employees · 44 to 46Jul 28, 2025 to Mar 30, 2026
- Discretionary RAUM · $4.1B to $5.7BJul 28, 2025 to Mar 30, 2026
- HNW RAUM · $180M to $238MJul 28, 2025 to Mar 30, 2026
- Pension RAUM · $868M to $1.1BJul 28, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $2.1B to $3.1BJul 28, 2025 to Mar 30, 2026
- RAUM · $4.1B to $5.7BJul 28, 2025 to Mar 30, 2026
- Financial planning clients · unset to Mar 31, 2025 to Jul 28, 2025
- Advisory employees · 15 to 17Aug 8, 2024 to Mar 31, 2025
- Pension plan clients · 7 to 6Aug 8, 2024 to Mar 31, 2025
- Pooled vehicle clients · 25 to 26Aug 8, 2024 to Mar 31, 2025
- Employees · 36 to 44Aug 8, 2024 to Mar 31, 2025
- HQ city · LAS VEGAS to EL SEGUNDOAug 8, 2024 to Mar 31, 2025
- HQ state · NV to CAAug 8, 2024 to Mar 31, 2025
- Private funds · 8 to 9Aug 8, 2024 to Mar 31, 2025
- Discretionary RAUM · $4.1B to $4.1BAug 8, 2024 to Mar 31, 2025
- HNW RAUM · $140M to $180MAug 8, 2024 to Mar 31, 2025
- Pension RAUM · $842M to $868MAug 8, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $1.9B to $2.1BAug 8, 2024 to Mar 31, 2025
- RAUM · $4.1B to $4.1BAug 8, 2024 to Mar 31, 2025
- Accounts · 32 to 39Feb 20, 2024 to Mar 29, 2024
- Pooled vehicle clients · 18 to 25Feb 20, 2024 to Mar 29, 2024
- Employees · 39 to 36Feb 20, 2024 to Mar 29, 2024
- Financial planning clients · 0 to unsetFeb 20, 2024 to Mar 29, 2024
- Private funds · 6 to 8Feb 20, 2024 to Mar 29, 2024
- Discretionary RAUM · $2.4B to $4.1BFeb 20, 2024 to Mar 29, 2024
- HNW RAUM · $52.2M to $140MFeb 20, 2024 to Mar 29, 2024
- Pension RAUM · $726M to $842MFeb 20, 2024 to Mar 29, 2024
- Pooled vehicle RAUM · $677M to $1.9BFeb 20, 2024 to Mar 29, 2024
- RAUM · $2.4B to $4.1BFeb 20, 2024 to Mar 29, 2024
- Accounts · 36 to 32Mar 31, 2022 to Mar 31, 2023
- Advisory employees · 17 to 15Mar 31, 2022 to Mar 31, 2023
- Advisory activities · 4 to 3Mar 31, 2022 to Mar 31, 2023
- Charity clients · 4 to 2Mar 31, 2022 to Mar 31, 2023
- Pooled vehicle clients · 20 to 18Mar 31, 2022 to Mar 31, 2023
- Custody of client assets · false to trueMar 31, 2022 to Mar 31, 2023
- Employees · 42 to 39Mar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $3.2B to $2.4BMar 31, 2022 to Mar 31, 2023
- HNW RAUM · $60.5M to $52.2MMar 31, 2022 to Mar 31, 2023
Signals
4 dated events
- D••••• I••••••••• I••• reported RAUM $5.7B, up 39% from $4.1B (2025-07-28 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- D••••• I••••••••• I••• reported RAUM $4.1B, up 69% from $2.4B (2024-02-20 to 2024-03-29)Mar 29, 2024 · RAUM change · derived
- D••••• I••••••••• I••• reported RAUM $3.4B, up 90% from $1.8B (2021-06-30 to 2021-10-27)Oct 27, 2021 · RAUM change · derived
- D••••• I••••••••• I••• filed its initial SEC registration (Form ADV)Jun 30, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/dalton-investments-limited/mycompanyreportedpublic record, Form ADV, Sep 18, 2026
- Website
- d•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 4242319100reportedpublic record, Form ADV, Mar 30, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026