Footprints Asset Management & Research, Inc.
CRD 128040SEC# 801-62315
No longer SEC-registered. Footprints Asset Management & Research, Inc. appears in historical Form ADV filings but is not in the current SEC roster. Figures reflect its most recent filing.
Reg. AUM
$41.9M
Employees
3
Accounts
162
Location
—
Footprints Asset Management & Research, Inc. assets under management
Footprints Asset Management & Research, Inc. is an SEC-registered investment adviser. It reports $41.9 million in regulatory assets under management and employs 3 people.
Footprints Asset Management & Research, Inc. owners & executives
1 reported| Name | Title | Ownership | Since |
|---|---|---|---|
| Stephen Joseph Lococo Control | President/Portfolio Manager/Cco | Over 75% | 2003 |
Frequently asked questions
How much does Footprints Asset Management & Research, Inc. manage?
Footprints Asset Management & Research, Inc. reports $41.9 million in regulatory assets under management on its Form ADV.
How many employees does Footprints Asset Management & Research, Inc. have?
Footprints Asset Management & Research, Inc. reports 3 employees.
Does Footprints Asset Management & Research, Inc. disclose fund performance?
Footprints Asset Management & Research, Inc. is not required to publicly disclose fund returns. Form ADV filings include assets, ownership, and service providers, shown above.
Contact & registration
| Office hours | 8:00 a.m.- 5:00 p.m. M-F |
| Discloses disciplinary history | No |
Regulatory AUM
$41.9M▲ 2%
Mar '25Form ADV, monthlyJun '26
How this firm compares
Regulatory AUMTop 97%
Larger than 3% of 16,271 advisers
EmployeesTop 77%
More than 23% of 16,825 advisers
Assets under management
$41.9Mregulatory AUM
Discretionary $36.6MNon-discretionary $5.3M