Investment adviser · CRD 128040

FOOTPRINTS ASSET MANAGEMENT & RESEARCH, INC.

Investment adviser filing (IA)

· Form ADV filed Feb 27, 2026

Regulatory AUM
$41.9M
Form ADV · Item 5.F
Client accounts
162
Accounts, not individual clients
Employees
3
Reported in this filing
Advisory professionals
2
Investment advisory functions

Who they report serving

Form ADV · Item 5.D

Client types and their share of reported regulatory assets.

Client typeClientsRegulatory assetsShare of AUM
High-net-worth individuals11$25,337,50960.5%
Individuals89$16,471,54239.3%
CharitiesFewer than 5$70,3070.2%
Filing source

Form ADV 2061463 · Feb 27, 2026 · Item 5.D

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Private funds & service providers

1 Private fund

The count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.

FOOTPRINTS PARTNERS LPOther Private Fund · Last reported Jun 26, 2020$1.55MGross asset value
Fund administrator YULISH & ASSOCIATES SAN FRANCISCO, California, United States Investor statements: No (provided to no investors) Related to adviser: No
Auditor SPICER JEFFRIES LLP GREENWOOD VILLAGE, Colorado, United States
Custodian HILLTOP SECURITIES INC. DALLAS, Texas, United States Related to adviser: No
Prime broker GVC CAPITAL LLC GREENWOOD VILLAGE, Colorado, United States
Provider details
Annual audit
Yes
Prime brokers
Yes
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
No

SPICER JEFFRIES LLP
PCAOB 349

HILLTOP SECURITIES INC.
SEC 8-45123

GVC CAPITAL LLC
CRD 38923 · SEC 8-48465

Fund details & source
Fund ID
805-7940431419
Reported beneficial owners
7
Minimum commitment
$500K

Form ADV 1437975 · Jun 26, 2020 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Services & filing details

Most recent filing: Feb 27, 2026. View historical filings

Reported services

Individual portfolio management

Compensation

Percentage of assets

Principal office

CRD 128040

Filing source

Form ADV 2061463 · Feb 27, 2026 · Items 1 & 5

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.