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.

Former SEC-registered adviser

Baochuan Capital Management, LLC

Former SEC-registered adviserWalnut Creek, CaliforniaCRD 156094SEC 801-72112IAPD
Latest filing Sep 25, 2012
First filing on the tape Mar 30, 2012 · 5 filings
RAUM
$11.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
4
$11.0M gross assets
History
5 filings and snapshots on the tape
RAUM$11.0M as of Sep 25, 2012
Mar 30, 2012$23.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Sep 25, 2012
Mar 30, 20120 then
Employees (5.A): no history
Private funds4 as of Sep 25, 2012
Mar 30, 20124 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 25, 2012; 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
unknownderivedHNW RAUM over HNW clients
Average account
$1.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
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
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
6reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
Class basis
absent from the latest SEC rosterderived
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    4 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    Baochuan China Century Fund, L.P.Hedge Fund$8.5M2Mar 30, 2012
    Baochuan Green Dragon Fund, L.P.Hedge Fund$2.0M6Mar 30, 2012
    Baochuan Black Dragon Fund, L.P.Hedge Fund$300,0004Mar 30, 2012
    Baochuan Global Equity Fund, L.P.Hedge Fund$180,0001Mar 30, 2012
    Owners and control persons
    Schedule A and B, latest filing
    • Griffith Mark Adams · Chief Compliance Officer, Director Of Researchcontrol
      since 12/2010 · owns less than 5%
    • Todd Kevin Carter · Chief Executive Officercontrol
      since 12/2010 · owns less than 5%
    • Gordon Burton Malkiel · Chairman Of The Board Of Directorscontrol
      since 02/2012 · owns less than 5%
    • Joseph Jonathan Masse · Senior Portfolio Managercontrol
      since 12/2010 · owns less than 5%
    • George Robert Brosamer · Member, Managercontrol
      since 12/2010 · owns F of Baochuan Holding, LLC
    • Todd Kevin Carter · Member, Managercontrol
      since 12/2010 · owns F of Baochuan Holding, LLC
    • Gordon Burton Malkiel · Member, Managercontrol
      since 12/2010 · owns F of Baochuan Holding, LLC
    • (Nmn) Julian Rainero · Member, Managercontrol
      since 12/2010 · owns F of Baochuan Holding, LLC
    Entity owners
    • Baochuan Holding, LLC · Sole Member
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Discretionary RAUM · $23.0M to $11.0M
      Mar 30, 2012 to Aug 27, 2012
    • RAUM · $23.0M to $11.0M
      Mar 30, 2012 to Aug 27, 2012
    Signals
    No event on the tape.
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    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
    Former SEC-registered 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