SOOTCHY SECURITIES, LLC
Adviser information for SOOTCHY SECURITIES, LLC last updated from Form ADV on March 29th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 1 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 1 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | No |
|---|
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 54 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | ONLINE ADVISORY PLATFORM INVESTING IN 529 PLANS |
|---|---|
| Compensation | Fixed fees |
Identifiers
| SEC RIA File Number | 801-118593 |
|---|---|
| SEC ERA File Number | 801-118593 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 307621 |
| Legal Entity Identifier | None |
Principal Office
900 WEST OLYMPIC BOULEVARDUNIT 28F
LOS ANGELES
CA
United States
Monday - Friday, 9:00AM - 6:00PM
Tel: 310-807-0144, Fax: None
Chief Compliance Officer
DAVID ADEFESO
CEO
900 WEST OLYMPIC BOULEVARD
UNIT 28F
LOS ANGELES
CA
United States
Tel:
310-807-0144
D************@**********M
(Full email address available in API data)
Industry Affiliates
| PACIFIC RISK MANAGEMENT GROUP | Insurance company or agency |
| THE PACIFIC GROUP | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| ADEFESO, DAVID, ADEYEMI | Individual | – | CHIEF EXECUTIVE OFFICER / CHIEF COMPLIANCE OFFICER | 03/2020 | > 75% |