# 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.

- CRD: 307621
- Filed as: SOOTCHY SECURITIES, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Los Angeles, CA
- Filing period: October 2026
- Form ADV filing dated: March 30, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/307621
- AdvisorCensus page: https://advisorcensus.com/firm/sootchy-securities-llc-los-angeles-ca-307621

## Quick answers

**How 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

### Compensation (Item 5.E)
- Fixed fees (other than subscription fees)

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 0 | Not reported |
| High net worth individuals | 0 | Not reported |
| Banking or thrift institutions | 0 | Not reported |
| Investment companies | 0 | Not reported |
| Business development companies | 0 | Not reported |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | Not reported |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 0 | Not reported |
| Charitable organizations | 0 | Not reported |
| State or municipal government entities (including government pension plans) | 0 | Not reported |
| Other investment advisers | 0 | Not reported |
| Insurance companies | 0 | Not reported |
| Sovereign wealth funds and foreign official institutions | 0 | Not reported |
| Corporations or other businesses not listed above | 0 | Not reported |
| Other | 0 | Not reported |

### Advisory services (Item 5.G)
- Other

### Firm details
- Registered since: 2020 (6 years)
- Employees: 1 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: AR, CA, UT
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- sootchysecurities.com

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | Not reported | 2 | April 2, 2021 |
| October 2022 | Not reported | 2 | August 31, 2022 |
| October 2023 | Not reported | 1 | April 26, 2023 |
| October 2024 | Not reported | 1 | August 12, 2024 |
| October 2025 | Not reported | 1 | March 24, 2025 |
| October 2026 | Not reported | 1 | March 30, 2026 |

Total employees: 2 in October 2021 and 1 in October 2026.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Sootchy Securities, LLC (CRD 307621): Form ADV filing data as of October 2026.