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
AMANDA HERRICK SMITH HORSEHEADS NY CERTIFIED FINANCIAL PLANNER
JUDITH PALUMBO HORSEHEADS NY S63|1987-01-14 CERTIFIED FINANCIAL PLANNER
JASE MERRILL HORSEHEADS NY S65|2023-12-21
JASON NICKERSON HORSEHEADS NY S66|2000-09-14 CERTIFIED FINANCIAL PLANNER
DARREN WILCOX HORSEHEADS NY CERTIFIED FINANCIAL PLANNER
THOMAS SNOW HORSEHEADS NY S63|1988-08-08|S65|1995-10-31
ANDREW BARON HORSEHEADS NY S66|2013-12-12 CERTIFIED FINANCIAL PLANNER
SUSAN FORD HORSEHEADS NY S65|2024-05-13
DEREK DOYLE HORSEHEADS NY S65|2024-05-07
BRANDI GRAHAM HORSEHEADS NY CERTIFIED FINANCIAL PLANNER
TODD BROST HORSEHEADS NY CERTIFIED FINANCIAL PLANNER
PETER WINNETT HORSEHEADS NY S66|2002-02-13 CERTIFIED FINANCIAL PLANNER
KAREN MERIWETHER HORSEHEADS NY S63|1984-07-05|S65|1995-10-31 CERTIFIED FINANCIAL PLANNER
JOHN ULLMAN HORSEHEADS NY S63|1988-05-24|S65|1995-12-28
LYNDA LANDER HORSEHEADS NY CERTIFIED FINANCIAL PLANNER
KATHRYN GERWIG HORSEHEADS NY S63|1988-06-17|S65|1996-04-02 CERTIFIED FINANCIAL PLANNER
MASON JONES HORSEHEADS NY CERTIFIED FINANCIAL PLANNER
JAKOB BROST HORSEHEADS NY S65|2023-11-30

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