AUM
Employee Count
Main Office
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
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
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
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
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
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
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