9AT: SOOTCHY SECURITIES, LLC

SOOTCHY SECURITIES, LLC

other names

SOOTCHY SECURITIES, LLC

Adviser Profile

As of Date	03/24/2025
Adviser Type - Internet adviser
Number of Employees	1 -50%
of those in investment advisory functions	1
Registration	SEC, Approved, 04/30/2020

AUM^*	0
of that, discretionary
Private Fund GAV^*	0
SMA’s	No
Private Funds	0
Contact Info	310 xxxxxxx
Websites

Client Types

Advisory Activities

Compensation Arrangments

- Fixed fees (other than subscription fees)

Reported AUM

1 1 1 1

2020 2021 2022

Discretionary

Non-discretionary

Private Funds

No private funds

Employees

Brochure Summary

Overview

Description of Firm Sootchy Securities, LLC (“Sootchy”) is a registered investment adviser based in Los Angeles, California. We are organized as a limited liability company ("LLC") under the laws of the State of Delaware. We have been providing investment advisory services since March 2020. We are owned by David A. Adefeso.
Sootchy Securities, LLC is a financial technology company focused on providing college savings advisory services to clients through a web-based platform and mobile application. Our mission is to help clients meet their financial needs of obtaining a college education by investing in college savings plans, known as 529 Plans, which offer tax and financial aid benefits. The following paragraphs describe our services and fees. Refer to the description of each investment advisory service listed below for information on how we tailor our advisory services to your individual needs. As used in this brochure, the words "we," "our," and "us" refer to Sootchy Securities, LLC, and the words "you," "your," and "client" refer to you as either a client or prospective client of our firm.
Web-Based College Savings Management Services We offer non-discretionary college investment management services that are delivered through an automated and interactive mobile application. The investment advice rendered is tailored to meet with your college savings needs and objectives and is delivered exclusively based upon information you submit via an investment questionnaire.
Your

responses to the electronic investment questionnaire are used by the mobile application to provide recommendations based on your risk profile. After submission of the online investment questionnaire, the mobile application will provide a risk adjusted target date fund recommendations to you. It is then your responsibility to act on any such advice or select your own from the 529 Plan’s investment options. In providing college investment management services through the mobile application, all information will be provided through the mobile application. Our firm does not verify any information we receive from you or your agent(s) for accuracy, and we will rely on the information you provide. A change in your financial circumstances, goals, objectives, and/or risk tolerance may warrant changing your investment. It is your responsibility to make these investment changes directly with the 529 Plan.
In recommending a target date fund for your investment allocation, we will not provide ongoing monitoring of your investment and will rely on the target date fund manager to adjust and reallocate your portfolio.
Types of Investments We offer advice on 529 plans and their underlying investment options which may include, but are not limited to, mutual fund shares, exchange traded funds, and money market funds.
Assets Under Management As our firm does not provide regular and continuous investment advice, we are not deemed to have any regulatory assets under management.