AdvisorCensus / Financial advisors / California / Los Angeles / Sootchy Securities, LLC
Sootchy Securities, LLC is an SEC-registered investment advisory firm in Los Angeles, CA, registered since 2020, with no regulatory assets under management reported in its Form ADV filing dated March 30, 2026.
Quick answers
From the filingHow is Sootchy Securities, LLC compensated?
On its Form ADV (Item 5.E, October 2026), Sootchy Securities, LLC reports these compensation arrangements: fixed fees (other than subscription fees).
Where is Sootchy Securities, LLC located?
Sootchy Securities, LLC's principal office is in Los Angeles, CA, according to its Form ADV.
Is Sootchy Securities, LLC registered with the SEC or a state?
Sootchy Securities, LLC is an SEC-registered investment advisory firm, registered since 2020. Status as filed: Approved. CRD 307621.
How have Sootchy Securities, LLC's assets and staff changed since 2021?
In the Form ADV data for Sootchy Securities, LLC: Total employees: 2 in October 2021 and 1 in October 2026. Assets under management move with markets as well as with clients coming and going.
Does Sootchy Securities, LLC report any disciplinary disclosures?
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/307621
From the Form ADV filing
Every figure below is as the firm filed it with regulators, as of October 2026.
How the firm is compensated
Item 5.E- Fixed fees (other than subscription fees)
Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ
Fees and minimums
Form ADV Part 2ASee the firm's brochure (dated March 30, 2026) for its fees and any account minimum, on the SEC's IAPD site.
Regulatory assets under management
Item 5.FNot reported.
A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means
Who the firm serves
Item 5.DA firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.
Advisory services
Item 5.G- Other
Registration and firm details
Items 1, 2, 5- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 2020 (6 years)
- Employees
- Total: 1. Performing investment advisory functions: 1.
- Wrap fee program participation
- No.
- States registered or notice-filed
-
3 states or jurisdictions
SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration
Disclosures
Item 11None Reports no disclosure items on Form ADV Item 11. View on IAPD.
Item 11 asks about criminal, regulatory, and civil events involving the firm and its advisory personnel. The detail of each yes answer is on the IAPD record. Reading a firm's disclosures
Assets and staff over time
Items 5.A, 5.F| Data period | Assets under management | Employees | Filing dated |
|---|---|---|---|
| October 2026 | Not reported | 1 | March 30, 2026 |
| October 2025 | Not reported | 1 | March 24, 2025 |
| October 2024 | Not reported | 1 | August 12, 2024 |
| October 2023 | Not reported | 1 | April 26, 2023 |
| October 2022 | Not reported | 2 | August 31, 2022 |
| October 2021 | Not reported | 2 | April 2, 2021 |
Total employees: 2 in October 2021 and 1 in October 2026.
As filed in each year's data for the same month. Assets under management move with markets as well as with clients coming and going; they measure scale, not skill or returns. Most firms update these figures once a year.
Changes in the filing
Last 12 monthsNo changes to these filed facts in the last 12 months of filing data.
Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.
Websites listed on Form ADV
Item 1.ISource: Form ADV, as of October 2026. Values appear as filed; a value the firm did not report is shown as "Not reported."
Cite this page
AdvisorCensus. Sootchy Securities, LLC (CRD 307621): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/sootchy-securities-llc-los-angeles-ca-307621