Footprints Asset Management & Research, Inc.

RIASEC RegisteredEst. 2003
Total AUM
$41.9M
Discretionary
$36.6M
87% of AUM
Avg account
$259K
Accounts
162
Employees
3
Advisory reps
3

Firm details

Headquarters
,
CRD number
128040
Registered since
September 24, 2003
Custodians
CHARLES SCHWAB & CO., INC.
Fee structure
Percentage of AUM
Client types
  • HNWI60.5%
  • Individuals39.33%
  • Charitable Organizations0.17%
Services
Portfolio Management for Individuals

Firm profile

FINTRX

Overview

Footprints Asset Management & Research, Inc. is a small, fee-based advisory firm focused on portfolio management for individuals and families. The firm manages accounts primarily on a discretionary basis and favors liquid, equity-oriented exposures accessed through exchange-traded securities and managed separate accounts. Its business model is built around a percentage-of-AUM fee structure and direct portfolio management rather than pension consulting or broad institutional mandates. Footprints does not identify as an active ESG investor and is not operating as a multi-state adviser. Investment activity centers on public markets with an equity preference. The firm’s allocation posture and custodial choices indicate a tilt toward exchange-traded equities and ETFs, supplemented by mutual funds and corporate debt where appropriate. There is no substantive footprint of third‑party alternative fund allocations reported.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Asset composition: Exchange Traded Equities 43%, US Government Bonds 27%, Cash & Cash Equivalents 17%, Investment Grade Corp Bonds 8%, Public Funds/Mutual Funds 5%43%
  • Exchange Traded Equities43%
  • US Government Bonds27%
  • Cash & Cash Equivalents17%
  • Investment Grade Corp Bonds8%
  • Public Funds/Mutual Funds5%

Owners & executives

1 of 1
  • Rebecca Hendrickson

    Rebecca Hendrickson

    VP, Chief Compliance OfficerCRD 4572882

Contacts

2 of 2
  • Zachary Houston

    Zachary Houston

    Portfolio ManagerCRD 6696186

  • Stephen Lococo

    Stephen Lococo

    Founder, Senior Portfolio ManagerCRD 707656

Wealth teams

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Newly hired reps

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Recent M&A activity

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Recent filings

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Awards

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Location

Primary office

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Location

, null

Headquartered in , null.

Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth