DFX Intelligence

Data Factory

RIA / WealthRegistered adviserno raum reportedSEC registeredRAUM none

SOOTCHY SECURITIES, LLC

CRD 307621

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:df60d595-3e62-5f9c-d20b-c97d93426b15

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:05 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 5
On other graphs: 0
Observed: Mar 30, 2020 to Mar 30, 2026
17 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: no raum reportedderivedprivate_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $0Item 5.F on the latest filing (2026-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 1
Employees: 1
Advisory employees: 1
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 0
Individual clients: 0
High net worth clients: 0
SEC number: 801-118593
CRD: 307621
Filings on the tape: 17
First filed: Mar 30, 2020
Latest filed: Mar 30, 2026
Organised: Limited Liability Company, DE
Website: sootchysecurities.com

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
ADEFESO, DAVID, ADEYEMI	CHIEF EXECUTIVE OFFICER / CHIEF COMPLIANCE OFFICER	E	yes	03/2020	Mar 30, 2020	Aug 12, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
PACIFIC ADVISORY CAPITAL GROUP, LLC	n/a	Former SEC adviser	$71.1M	N	yes	n/a
PACIFIC RISK MANAGEMENT GROUP, LLC	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Private funds	Fund GAV
2025	Mar 30, 2026	$0	$0	1	1	n/a	n/a
2024	Mar 24, 2025	$0	$0	1	1	n/a	n/a
2023	Mar 29, 2024	n/a	n/a	1	1	n/a	n/a
2022	Apr 3, 2023	n/a	n/a	1	1	n/a	n/a
2021	Mar 31, 2022	n/a	n/a	2	1	n/a	n/a
2020	Apr 2, 2021	n/a	n/a	2	1	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$0	$0	n/a	n/a	n/a	1	1	0	0

Relationships

Affiliated with (1)

→ THE PACIFIC GROUPRegistered adviserother investment adviser, common control
factForm ADV

Registered with (2)

← DAVID ADEYEMI ADEFESOAdvisorregistration: current employment
Jan 1, 2025 to presentfactForm ADV
← Nathan Edwin GierkeAdvisorregistration: previous registration
Aug 24, 2020 to Jul 5, 2022factForm ADV

Controls (1)

← ADEFESO, DAVID, ADEYEMIOwnerCHIEF EXECUTIVE OFFICER / CHIEF COMPLIANCE OFFICER, ownership code E, individual
Mar 30, 2020 to Aug 12, 2024factForm ADV

Dated events

Occurred
Oct 25, 2022
Control person left
Edwin Nathan Gierke (Chief Compliance Officer) no longer on Schedule A of Sootchy Securities, Llc (listed 2022-08-31, absent 2022-10-25)
Form ADVobserved 6 days ago
Occurred
Jul 5, 2022
Advisor changed firm
Nathan Edwin Gierke left Sootchy Securities, Llc for Wedbush Securities Inc. (registered 2022-07-07)
Form ADVobserved 6 days ago
Occurred
Apr 2, 2021
Control person joined
Edwin Nathan Gierke (Chief Compliance Officer) appeared on Schedule A of Sootchy Securities, Llc
Form ADVobserved 6 days ago
Occurred
Apr 2, 2021
Control person left
Oji Chimereze (Chief Technology Officer) no longer on Schedule A of Sootchy Securities, Llc (listed 2020-06-30, absent 2021-04-02)
Form ADVobserved 6 days ago
Occurred
Mar 30, 2020
First Form ADV filing
Sootchy Securities, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:df60d595-3e62-5f9c-d20b-c97d93426b15
First observed: Mar 30, 2020
Last observed: Mar 30, 2026 5 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

SOOTCHY SECURITIES, LLC

CRD 307621

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:df60d595-3e62-5f9c-d20b-c97d93426b15

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:05 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ADEFESO, DAVID, ADEYEMI

CHIEF EXECUTIVE OFFICER / CHIEF COMPLIANCE OFFICER

yes

03/2020

Mar 30, 2020

Aug 12, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

PACIFIC ADVISORY CAPITAL GROUP, LLC

n/a

Former SEC adviser

$71.1M

yes

n/a

PACIFIC RISK MANAGEMENT GROUP, LLC

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 30, 2026

n/a

2024

Mar 24, 2025

n/a

2023

Mar 29, 2024

n/a

2022

Apr 3, 2023

n/a

2021

Mar 31, 2022

n/a

2020

Apr 2, 2021

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

n/a