DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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Former SEC-registered adviser
F••••••••• A•••• M••••••••• • R•••••••• I•••
Latest filing Feb 27, 2026
First filing on the tape Mar 29, 2012 · 20 filings
SEC status approved since Sep 24, 2003
RAUM
$41.9M
reported, Item 5.F
Discretionary
87%
of RAUM
Private clients
100%
$41.8M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$20.9M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$41.9M as of Feb 27, 2026
Mar 29, 2012$92.4M then
HNW client RAUM$25.3M as of Feb 27, 2026
Mar 30, 2018$42.7M then
State-registered IARs (5.B.3)2 as of Feb 27, 2026
Mar 29, 20120 then
Employees (5.A)3 as of Feb 27, 2026
Apr 1, 20135 then
Private funds1 as of May 13, 2020
Mar 29, 20121 then
RAUM +1.9% over the last fiscal year+9.4% a year over threeIARs 2 to 2offices 0 to 2
Practice profile
derived from the filing of Feb 27, 2026; every figure names its basis
- RAUM per advisor
- $20.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 50derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $258,515derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 87%derivedof RAUM
- Institutional
- 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 0.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +1.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.5%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$25.3M61%
- Individuals$16.5M39%
- Charitable organizations$70,3070.2%
- Individual clients
- 89reported
- HNW clients
- 11reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 162reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••••• J••••• L••••• | Omaha, Ne | Jan 28, 2004 | 46 y | 1 |
| Z•••••• R••• H•••••• | Omaha, Ne | Aug 25, 2016 | 11 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- J••• S••••• D••••• to U•• F•••••••• S••••••• I•••Mar 2, 2010 · Other
Joined, latest
- S•••••• J••••• L••••• from S•••• H•••• A••••••• I••Jan 28, 2004 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| F••••••••• P••••••• L•no longer reported | Other Private Fund | $1.6M | 7 | Mar 29, 2012 |
Owners and control persons
Schedule A and B, latest filing
- L•••••• S••••••• J••••• · President/Portfolio Manager/Ccocontrolsince 07/2003 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Omaha, Ne | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 170 to 162Dec 1, 2025 to Feb 27, 2026
- HNW clients · 8 to 11Dec 1, 2025 to Feb 27, 2026
- Individual clients · 85 to 89Dec 1, 2025 to Feb 27, 2026
- Other offices · 0 to 2Dec 1, 2025 to Feb 27, 2026
- Discretionary RAUM · $35.6M to $36.6MDec 1, 2025 to Feb 27, 2026
- HNW RAUM · $18.0M to $25.3MDec 1, 2025 to Feb 27, 2026
- Individual RAUM · $23.0M to $16.5MDec 1, 2025 to Feb 27, 2026
- Non-discretionary RAUM · $5.5M to $5.3MDec 1, 2025 to Feb 27, 2026
- RAUM · $41.1M to $41.9MDec 1, 2025 to Feb 27, 2026
- HQ city · OMAHA to Apr 1, 2025 to Aug 15, 2025
- HQ state · NE to Apr 1, 2025 to Aug 15, 2025
- Accounts · 216 to 170Feb 6, 2024 to Apr 1, 2025
- Charity clients · 0.0 to unsetFeb 6, 2024 to Apr 1, 2025
- Corporate clients · 1.0 to unsetFeb 6, 2024 to Apr 1, 2025
- HNW clients · 97 to 8Feb 6, 2024 to Apr 1, 2025
- Individual clients · 118 to 85Feb 6, 2024 to Apr 1, 2025
- Pension plan clients · 0.0 to unsetFeb 6, 2024 to Apr 1, 2025
- Pooled vehicle clients · 0.0 to unsetFeb 6, 2024 to Apr 1, 2025
- Financial planning clients · unset to Feb 6, 2024 to Apr 1, 2025
- Discretionary RAUM · $33.9M to $35.6MFeb 6, 2024 to Apr 1, 2025
- HNW RAUM · $27.0M to $18.0MFeb 6, 2024 to Apr 1, 2025
- Individual RAUM · $9.9M to $23.0MFeb 6, 2024 to Apr 1, 2025
- Non-discretionary RAUM · $3.1M to $5.5MFeb 6, 2024 to Apr 1, 2025
- Pension RAUM · 0.0 to unsetFeb 6, 2024 to Apr 1, 2025
- Pooled vehicle RAUM · 0.0 to unsetFeb 6, 2024 to Apr 1, 2025
- RAUM · $37.0M to $41.1MFeb 6, 2024 to Apr 1, 2025
- Accounts · 115 to 216Mar 14, 2023 to Feb 6, 2024
- HNW clients · 44 to 97Mar 14, 2023 to Feb 6, 2024
- Individual clients · 71 to 118Mar 14, 2023 to Feb 6, 2024
- Employees · 4 to 3Mar 14, 2023 to Feb 6, 2024
- Discretionary RAUM · $27.3M to $33.9MMar 14, 2023 to Feb 6, 2024
- HNW RAUM · $21.8M to $27.0MMar 14, 2023 to Feb 6, 2024
- Individual RAUM · $8.3M to $9.9MMar 14, 2023 to Feb 6, 2024
- Non-discretionary RAUM · $2.9M to $3.1MMar 14, 2023 to Feb 6, 2024
- RAUM · $30.1M to $37.0MMar 14, 2023 to Feb 6, 2024
- Accounts · 120 to 115Mar 3, 2023 to Mar 14, 2023
- Advisory activities · 2 to 1Mar 3, 2023 to Mar 14, 2023
- HNW clients · 42 to 44Mar 3, 2023 to Mar 14, 2023
- Individual clients · 76 to 71Mar 3, 2023 to Mar 14, 2023
- Discretionary RAUM · $29.6M to $27.3MMar 3, 2023 to Mar 14, 2023
Signals
2 dated events
- F••••••••• A•••• M••••••••• • R•••••••• I••• no longer on the SEC adviser roster (last listed 2026-04-01, RAUM $41.9M)May 1, 2026 · Left the SEC roster · derived
- Lynn Rebecca Hendrickson (Chief Compliance Officer) no longer on Schedule A of F••••••••• A•••• M••••••••• • R•••••••• I••• (listed 2023-03-14, absent 2024-02-06)Feb 6, 2024 · Control person left · inference
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/footprints-asset-management-&-researchreportedpublic record, Form ADV, Sep 18, 2026
- Website
- FAMR.COMreportedpublic record, Form ADV, Sep 18, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $20.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026