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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM under $100M

FOOTPRINTS ASSET MANAGEMENT & RESEARCH, INC.

CRD 128040

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:9d3a571b-66a1-b071-dd9b-32eef1c08a33

Data as of Feb 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:16 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Mar 29, 2012 to Feb 27, 2026
20 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $41.9MItem 5.F on the latest filing (2026-02-27); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $36.6M
Private client RAUM: $41.8MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $20.9Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 3
Advisory employees: 2
Offices: 2Schedule D 1.F, beyond the principal office
Accounts: 162
Individual clients: 89
High net worth clients: 11
SEC number: 801-62315
CRD: 128040
Filings on the tape: 20
First filed: Mar 29, 2012
Latest filed: Feb 27, 2026
Organised: Corporation, NE

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
STEPHEN JOSEPH LOCOCO	n/a	OMAHA, NE	22	46	1	no
ZACHARY RYAN HOUSTON	n/a	OMAHA, NE	10	11	n/a	no

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
FOOTPRINTS PARTNERS LP	Other Private Fund	$1.6M	Jun 26, 2020	7	Mar 29, 2012	dropped	n/a

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
LOCOCO, STEPHEN, JOSEPH	PRESIDENT/PORTFOLIO MANAGER/CCO	E	yes	07/2003	Mar 29, 2012	Feb 6, 2024

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Feb 27, 2026	$41.9M	$36.6M	3	2	2	n/a	n/a
2024	Apr 1, 2025	$41.1M	$35.6M	3	2	0	n/a	n/a
2023	Feb 6, 2024	$37.0M	$33.9M	3	2	0	n/a	n/a
2022	Mar 3, 2023	$32.0M	$29.6M	4	2	0	n/a	n/a
2021	Mar 28, 2022	$72.1M	$69.5M	4	2	0	n/a	n/a
2020	Mar 29, 2021	$72.6M	$70.9M	5	3	0	n/a	n/a
2019	May 13, 2020	$108M	$95.6M	5	3	0	1	$1.6M
2018	Mar 29, 2019	$82.5M	$81.5M	5	3	0	1	$732,349
2017	Mar 30, 2018	$86.5M	$86.5M	5	3	0	1	$560,458
2016	Mar 30, 2017	$75.5M	$75.5M	4	3	n/a	1	$497,322
2015	Mar 26, 2016	$65.9M	$65.9M	4	2	n/a	1	$487,113
2014	Mar 30, 2015	$70.0M	$70.0M	4	2	n/a	1	$814,460
2013	Mar 31, 2014	$118M	$118M	4	1	n/a	1	$1.9M
2012	Apr 1, 2013	$92.5M	$92.5M	5	2	n/a	1	$903,153
2011	Mar 29, 2012	$92.4M	$92.4M	n/a	n/a	n/a	1	$903,153

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$41.9M	$41.1M	1.9%	$32.0M	9.4%	3	3	2	0

Relationships

Registered with (3)

← ZACHARY RYAN HOUSTONAdvisorregistration: current employment
Aug 25, 2016 to presentfactForm ADV
← STEPHEN JOSEPH LOCOCOAdvisorregistration: current employment
Jan 28, 2004 to presentfactForm ADV
← JOEL STEVEN DICKEYAdvisorregistration: previous registration
Aug 11, 2008 to Mar 2, 2010factForm ADV

Controls (1)

← LOCOCO, STEPHEN, JOSEPHOwnerPRESIDENT/PORTFOLIO MANAGER/CCO, ownership code E, individual
Mar 29, 2012 to Feb 6, 2024factForm ADV

Advises (1)

→ FOOTPRINTS PARTNERS LPPrivate fundOther Private Fund, IA, no longer reported
Mar 29, 2012 to Jun 26, 2020factForm ADV

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Feb 6, 2024
Control person left
Lynn Rebecca Hendrickson (Chief Compliance Officer) no longer on Schedule A of Footprints Asset Management & Research, Inc. (listed 2023-03-14, absent 2024-02-06)
Form ADVobserved 5 days ago

Show 1 bookkeeping events

Occurred
May 1, 2026
Footprints Asset Management & Research, Inc. no longer on the SEC adviser roster (last listed 2026-04-01, RAUM $41.9M)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9d3a571b-66a1-b071-dd9b-32eef1c08a33
First observed: Mar 29, 2012
Last observed: Feb 27, 2026 6 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

FOOTPRINTS ASSET MANAGEMENT & RESEARCH, INC.

CRD 128040

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:9d3a571b-66a1-b071-dd9b-32eef1c08a33

Data as of Feb 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:16 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

STEPHEN JOSEPH LOCOCO

n/a

OMAHA, NE

ZACHARY RYAN HOUSTON

n/a

OMAHA, NE

n/a

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

FOOTPRINTS PARTNERS LP

Other Private Fund

$1.6M

Jun 26, 2020

Mar 29, 2012

dropped

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

LOCOCO, STEPHEN, JOSEPH

PRESIDENT/PORTFOLIO MANAGER/CCO

yes

07/2003

Mar 29, 2012

Feb 6, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Feb 27, 2026

$41.9M

$36.6M

n/a

2024

Apr 1, 2025

$41.1M

$35.6M

n/a

2023

Feb 6, 2024

$37.0M

$33.9M

n/a

2022

Mar 3, 2023

$32.0M

$29.6M

n/a

2021

Mar 28, 2022

$72.1M

$69.5M

n/a

2020

Mar 29, 2021

$72.6M

$70.9M

n/a

2019

May 13, 2020

$108M

$95.6M

$1.6M

2018

Mar 29, 2019

$82.5M

$81.5M

$732,349

2017

Mar 30, 2018

$86.5M

$560,458

2016

Mar 30, 2017

$75.5M

n/a

$497,322

2015

Mar 26, 2016

$65.9M

n/a

$487,113

2014

Mar 30, 2015

$70.0M

n/a

$814,460

2013

Mar 31, 2014

$118M

n/a

$1.9M

2012

Apr 1, 2013

$92.5M

n/a

$903,153

2011

Mar 29, 2012

$92.4M

n/a

$903,153

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$41.9M

$41.1M

1.9%

$32.0M

9.4%