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Footprints Asset Management & Research, Inc.

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Client assets under management

$41,809,051

Clients

100

11% high-net worth

Advisors

3

of 3 employees

Firm type

Supported

1-3 advisors or $200M+ in AUM

Clients per advisor

33

Low

Average account size

$418,091

About

Footprints Asset Management & Research is an SEC‑registered investment adviser that manages roughly $41.9 million for about 100 clients, primarily individual and high‑net‑worth investors, along with retirement plans and an investment company (a mutual fund). The firm provides discretionary investment supervisory services through separately managed accounts and offers guidance on IRA rollovers and portfolio construction.

The firm manages portfolios under an “Absolute Value” philosophy oriented to multi‑year holding periods (typically three to five years), applying fundamental and technical analysis and tailoring tax considerations on a client‑by‑client basis. FAMR may use margin and limited derivatives strategies in its SMAs, including covered‑call option writing, and performs ongoing monitoring with at least monthly reviews.

Compared with similarly sized supported advisers, Footprints is noteworthy for serving an investment company client and for explicitly employing derivatives within separately managed accounts—both practices that are relatively uncommon among peers. The firm operates a small team that centralizes trade aggregation and allocation processes and custodies client assets through a national institutional custodian, which it cites as part of its execution and reporting framework.

Client services

Portfolio management

Expertise

Active portfolio management Options & derivatives strategies Tax-loss harvesting

Occupation focus

Executive

Fee options

Percentage

$0 - $100,000: 2.00% $100,001 - $500,000: 1.75% $500,001 - $1,000,000: 1.50% $1,000,001+: 1.00%

Other

Account minimum: $200,000 Fee-only: Quarterly advisory fees charged in arrears as a percentage of assets under management; fees negotiable.

Main office location

Footprints Asset Management & Research, Inc.

Omaha NE, United States

Number of offices

3

Most active in

Nebraska · Texas

Disclosures

Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.

Business activities & affiliations

Advisors at this firm

user avatar

Stephen L

Series 63, Series 65

Omaha, NE

Footprints Asset Management & Research, Inc.

Stephen Lococo is a financial advisor with Footprints Asset Management & Research, Inc. He holds Series 63 and Series 65 licenses and has 45 years of industry experience. He has been with GVC Capital LLC since 2003 and is the owner of Midtown Body and Paint Shop, a business unrelated to investments. Lococo also serves on the board of directors of Wegener Corp, a public company specializing in satellite communication equipment. Footprints Asset Management & Research provides discretionary investment supervisory services and separately managed accounts to individuals, pension plans, corporations, and a mutual fund client. The firm follows an Absolute Value investment philosophy focused on long-term wealth creation and incorporates derivatives, primarily covered-call writing, in its portfolio management.

Active portfolio management Options & derivatives strategies Tax-loss harvesting Executive
user avatar

Rebecca H

Series 66

Omaha, NE

Footprints Asset Management & Research, Inc.

Rebecca Hendrickson is a financial advisor with Footprints Asset Management & Research, Inc. in Omaha, NE, holding a Series 66 designation and bringing 22 years of industry experience. She has worked at GVC Capital LLC since 2005. Outside of her advisory role, she owns and manages Be Offshore, Inc., a charter boat service company in Florida, where she oversees the business’s books and website. Footprints Asset Management & Research provides discretionary investment supervisory services and separately managed accounts to individuals, pension and profit-sharing plans, corporations, and a mutual fund client. The firm employs an Absolute Value investment philosophy focused on long-term wealth creation, utilizing both fundamental and technical analysis and incorporating derivatives within its SMA program.

Active portfolio management Options & derivatives strategies Tax-loss harvesting Executive
user avatar

Zachary H

Series 65

Omaha, NE

Footprints Asset Management & Research, Inc.

Zachary Houston is a financial advisor at Footprints Asset Management & Research, Inc. with 9 years of industry experience. He holds a Series 65 designation and has worked at Northern Lights Distributors, LLC since 2017 alongside his tenure at Footprints Asset Management & Research, which began in 2015. Footprints Asset Management & Research provides discretionary investment supervisory services and separately managed accounts to individuals, pension and profit-sharing plans, corporations, and a mutual fund client. The firm employs an Absolute Value investment philosophy focused on long-term wealth creation, utilizing fundamental and technical analysis and incorporating derivatives such as covered-call writing within its SMA program.

Active portfolio management Options & derivatives strategies Tax-loss harvesting Executive
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