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.

SEC-registered adviser

Sootchy Securities, LLC

No RAUM reportedCRD 307621SEC 801-118593websiteIAPD
Latest filing Mar 30, 2026
First filing on the tape Mar 30, 2020 · 17 filings
SEC status approved since Apr 30, 2020
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$0 as of Mar 30, 2026
Mar 24, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 30, 2026
Apr 2, 20212 then
Employees (5.A)1 as of Mar 30, 2026
Apr 2, 20212 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$0derivedRAUM 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
fixed feesreportedItem 5.E
Advisory activities
otherreportedItem 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)
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
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
0reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixedreported
Class basis
private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Adeyemi David Adefeso · Chief Executive Officer / Chief Compliance Officercontrol
    since 03/2020 · owns 75% or more
Related persons
Schedule D 7.A
  • The Pacific Group
    investment advisernRAUM $71.1M
  • Pacific Risk Management Group, LLC
    real estaten
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · unset to 0.0
    Aug 12, 2024 to Mar 24, 2025
  • Financial planning clients · unset to
    Aug 12, 2024 to Mar 24, 2025
  • HQ city · unset to
    Aug 12, 2024 to Mar 24, 2025
  • HQ state · unset to
    Aug 12, 2024 to Mar 24, 2025
  • Discretionary RAUM · unset to 0.0
    Aug 12, 2024 to Mar 24, 2025
  • Non-discretionary RAUM · unset to 0.0
    Aug 12, 2024 to Mar 24, 2025
  • RAUM · unset to 0.0
    Aug 12, 2024 to Mar 24, 2025
  • BD registered reps · 1 to 0
    Nov 11, 2022 to Apr 3, 2023
  • Employees · 2 to 1
    Nov 11, 2022 to Apr 3, 2023
  • Insurance-licensed employees · 2 to 1
    Nov 11, 2022 to Apr 3, 2023
  • State-registered IARs · 2 to 1
    Nov 11, 2022 to Apr 3, 2023
  • HQ city · LOS ANGELES to unset
    Jul 5, 2022 to Aug 31, 2022
  • HQ state · CA to unset
    Jul 5, 2022 to Aug 31, 2022
  • Assets in custody · 300.0 to unset
    Dec 7, 2021 to Mar 31, 2022
  • Custody of client assets · true to false
    Dec 7, 2021 to Mar 31, 2022
  • Assets in custody · unset to 300.0
    Apr 2, 2021 to Nov 10, 2021
  • Custody of client assets · false to true
    Apr 2, 2021 to Nov 10, 2021
  • BD registered reps · 0 to 1
    Jun 30, 2020 to Apr 2, 2021
  • Charity clients · unset to 0.0
    Jun 30, 2020 to Apr 2, 2021
  • Corporate clients · unset to 0.0
    Jun 30, 2020 to Apr 2, 2021
  • HNW clients · unset to 0.0
    Jun 30, 2020 to Apr 2, 2021
  • Individual clients · unset to 0.0
    Jun 30, 2020 to Apr 2, 2021
  • Pension plan clients · unset to 0.0
    Jun 30, 2020 to Apr 2, 2021
  • Pooled vehicle clients · unset to 0.0
    Jun 30, 2020 to Apr 2, 2021
  • Insurance-licensed employees · 1 to 2
    Jun 30, 2020 to Apr 2, 2021
  • State-registered IARs · 1 to 2
    Jun 30, 2020 to Apr 2, 2021
Signals
5 dated events
  • Edwin Nathan Gierke (Chief Compliance Officer) no longer on Schedule A of Sootchy Securities, Llc (listed 2022-08-31, absent 2022-10-25)
    Oct 25, 2022 · Control person left · inference
  • Nathan Edwin Gierke left Sootchy Securities, Llc for Wedbush Securities Inc. (registered 2022-07-07)
    Jul 5, 2022 · Advisor changed firm · fact
  • Edwin Nathan Gierke (Chief Compliance Officer) appeared on Schedule A of Sootchy Securities, Llc
    Apr 2, 2021 · Control person joined · fact
  • Oji Chimereze (Chief Technology Officer) no longer on Schedule A of Sootchy Securities, Llc (listed 2020-06-30, absent 2021-04-02)
    Apr 2, 2021 · Control person left · inference
  • Sootchy Securities, Llc filed its initial SEC registration (Form ADV)
    Mar 30, 2020 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
Website
sootchysecurities.comreportedpublic record, Form ADV, Sep 17, 2026
Principal office phone
310-807-0144reportedpublic record, Form ADV, Mar 30, 2026
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
No RAUM reportedderiveda 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