JOHN G. ULLMAN & ASSOCIATES, INC
Latest filing: Mar 26, 2025 (205 days ago)
AUM
$1,360,062,953
8% change vs. 1 year ago
6% change vs. 3 years ago
15% change vs. 5 years ago
25% change vs. 10 years ago
Employee Count
63
12% change vs. 1 year ago
31% change vs. 3 years ago
29% change vs. 5 years ago
80% change vs. 10 years ago
Main Office
HORSEHEADS, NY
343 DANIEL ZENKER DRIVE, HORSEHEADS, NY, UNITED STATES, 14845
Client AUM
| Discretion | AUM |
|---|---|
| Discretionary | $1.3 |
| Non-Discretionary | $0.0 |
| Total | $1.4 |
| Client | AUM |
|---|---|
| Retail | $1.3 |
| Pooled | $0.0 |
| Institutional | $0.1 |
| Total | $1.4 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 687 | $0.3 |
| Average Individual AUM | $433,579 | |
| HNW | 291 | $1.0 |
| Average HNW AUM | $3,403,451 | |
| Retail Total | 978 | $1.3 |
| Average Retail AUM | $1,317,252 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
SMA Custodians
| Custodian | Location | AUM |
|---|---|---|
| CHARLES SCHWAB & CO., INC. | SAN FRANCISCO-CA-USA | $0.8 |
| MORGAN STANLEY SMITH BARNEY LLC | ROCHESTER-NY-USA | $0.4 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Separately Managed Assets
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $1.4 |
| Retail SMA AUM | $1.3 |
| Institutional SMA AUM | $0.1 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 54% | $0.7 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 2% | $0.0 |
| Municipal | 4% | $0.1 |
| Sovereign | 2% | $0.0 |
| IG Credit | 36% | $0.5 |
| HY Credit | 0% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 0% | $0.0 |
| Other Pools | 0% | $0.0 |
| Cash | 2% | $0.0 |
| Other | 0% | $0.0 |
| Total | 100% | $1.4 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
Control Persons
17 active
| Name | Title |
|---|---|
| ULLMAN, JOHN, GUY | CHAIRMAN OF THE BOARD, CEO, TREASURER, DIRECTOR |
| ULLMAN, BARBARA, LYNN | FIRST VICE PRESIDENT, DIRECTOR |
| SNOW, THOMAS, GRAHAM | SENIOR VICE PRESIDENT |
| COLE, ROBERT, ESMONDE | DIRECTOR |
| MERIWETHER, KAREN, BURNS | SENIOR VICE PRESIDENT |
| WINNETT, PETER, JAMES | SENIOR VICE PRESIDENT |
| KRASNANSKY, JENNIFER, ELIZABETH | CHIEF COMPLIANCE OFFICER |
| NOZELL, JOHN, DYNELEY | DIRECTOR |
| WILCOX, DARREN, LEE | CORPORATE SECRETARY & SENIOR VICE PRESIDENT |
| NICKERSON, JASON, DANIEL | PRESIDENT, COO, EXECUTIVE VICE PRESIDENT |
| HALE, DAVID, BIRDSALL | DIRECTOR |
| ZINGLER, HOWARD, JAY | DIRECTOR |
| ULLMAN, JOHN, GUYMUNDAY | DIRECTOR |
| MALONE, CONNIE, JEAN | CONTROLLER |
| O'REILLY, ROBERT, OWEN | DIRECTOR |
| STEVEN, KAUFFMAN, ALAN | VICE PRESIDENT |
| HUFF, DONALD, ALLEN | VICE PRESIDENT |
ADVDB.CO • SOURCE: SEC
Representatives
18 active representatives found
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| DEREK DOYLE | HORSEHEADS | NY | S65|2024-05-07 | ||||||
| MASON JONES | HORSEHEADS | NY | CERTIFIED FINANCIAL PLANNER | ||||||
| ANDREW BARON | HORSEHEADS | NY | S66|2013-12-12 | CERTIFIED FINANCIAL PLANNER | |||||
| THOMAS SNOW | HORSEHEADS | NY | S63|1988-08-08|S65|1995-10-31 | ||||||
| SUSAN FORD | HORSEHEADS | NY | S65|2024-05-13 | ||||||
| JUDITH PALUMBO | HORSEHEADS | NY | S63|1987-01-14 | CERTIFIED FINANCIAL PLANNER | |||||
| AMANDA HERRICK SMITH | HORSEHEADS | NY | CERTIFIED FINANCIAL PLANNER | ||||||
| KATHRYN GERWIG | HORSEHEADS | NY | S63|1988-06-17|S65|1996-04-02 | CERTIFIED FINANCIAL PLANNER | |||||
| TODD BROST | HORSEHEADS | NY | CERTIFIED FINANCIAL PLANNER | ||||||
| KAREN MERIWETHER | HORSEHEADS | NY | S63|1984-07-05|S65|1995-10-31 | CERTIFIED FINANCIAL PLANNER | |||||
| DARREN WILCOX | HORSEHEADS | NY | CERTIFIED FINANCIAL PLANNER | ||||||
| JOHN ULLMAN | HORSEHEADS | NY | S63|1988-05-24|S65|1995-12-28 | ||||||
| JAKOB BROST | HORSEHEADS | NY | S65|2023-11-30 | ||||||
| BRANDI GRAHAM | HORSEHEADS | NY | CERTIFIED FINANCIAL PLANNER | ||||||
| JASON NICKERSON | HORSEHEADS | NY | S66|2000-09-14 | CERTIFIED FINANCIAL PLANNER | |||||
| LYNDA LANDER | HORSEHEADS | NY | CERTIFIED FINANCIAL PLANNER | ||||||
| JASE MERRILL | HORSEHEADS | NY | S65|2023-12-21 | ||||||
| PETER WINNETT | HORSEHEADS | NY | S66|2002-02-13 | CERTIFIED FINANCIAL PLANNER | |||||
ADVDB.CO • SOURCE: SEC
History
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-08-01 | $1.4 | $0.0 | 0% | 63 | 0 | 0% |
| 2025-04-21 | $1.4 | $0.0 | 0% | 63 | 0 | 0% |
| 2024-04-02 | $1.3 | $0.1 | 8% | 56 | 7 | 12% |
| 2023-04-04 | $1.2 | $0.2 | 13% | 58 | 5 | 9% |
| 2022-04-01 | $1.3 | $0.1 | 6% | 48 | 15 | 31% |
| 2021-04-05 | $1.2 | $0.2 | 16% | 48 | 15 | 31% |
| 2020-04-01 | $1.2 | $0.2 | 15% | 49 | 14 | 29% |
| 2019-04-01 | $1.1 | $0.3 | 29% | 49 | 14 | 29% |
| 2018-04-02 | $1.1 | $0.3 | 26% | 40 | 23 | 57% |
| 2017-04-01 | $1.0 | $0.4 | 35% | 34 | 29 | 85% |
| 2016-04-01 | $1.0 | $0.4 | 40% | 32 | 31 | 97% |
| 2015-04-01 | $1.1 | $0.3 | 25% | 35 | 28 | 80% |
| 2014-04-01 | $1.1 | $0.3 | 26% | 35 | 28 | 80% |
| 2013-04-01 | $0.9 | $0.5 | 57% | 43 | 20 | 47% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Other
| STATE REGISTRATIONS |
| NY, AL-03/28/2017, AZ-05/08/1995, CA-01/01/1993, CT-01/14/1998, DC-04/01/2013, FL-10/18/1990, GA-01/30/2001, IL-11/15/1990, KY-03/27/2019, MA-01/30/2001, MD-01/30/2001, ME-04/30/1999, MI-03/28/2012, MN-03/29/2023, NC-01/30/2001, NE-03/27/2019, NH-01/30/2001, NJ-01/30/2001, NM-03/27/2024, NY-01/30/2001, OH-01/30/2001, OR-03/28/2007, PA-08/26/1986, SC-10/21/2003, TN-01/02/1997, TX-02/27/1990, UT-03/28/2014, VA-01/30/2001, WA-03/27/2020 |
| ADVISER ACTIVITIES |
|
FINANCIAL PLANNING PORTFOLIO MANAGEMENT EDUCATIONAL WORKSHOPS |
| OTHER ACTIVITIES |
ADVDB.CO • SOURCE: SEC FORM ADV