JOHN G. ULLMAN & ASSOCIATES, INC
ULLMAN JOHN & ASSOCIATES INC Legal Name
Adviser information for JOHN G. ULLMAN & ASSOCIATES, INC last updated from Form ADV on March 27th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | New York, United States |
Employees
| Total Number of Employees | 56 |
|---|---|
| Investment Advisory/Research | 29 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 19 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 2,272 | $1.2B |
| Non-Discretionary | 25 | $39.1M |
| Total | 2,297 | $1.3B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 715 | $296.3M |
| HNW Individuals | 270 | $903.8M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 8 | $19.9M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 16 | $43.0M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 1 |
| No. of Financial Planning Clients | 1000 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesEducational seminars/workshops |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-14064 |
|---|---|
| SEC ERA File Number | 801-14064 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 105361 |
| Legal Entity Identifier | None |
Principal Office
343 DANIEL ZENKER DRIVEHORSEHEADS
NY
United States
Monday - Friday, 8:00AM - 5:00PM
Tel: 607-936-3785, Fax: 607-301-4400
Chief Compliance Officer
KRASNANSKY, JENNIFER E
CHIEF COMPLIANCE OFFICER
343 DANIEL ZENKER DRIVE
HORSEHEADS
NY
United States
Tel:
(607)936-3785
Fax:
(607)301-4400
K**********@*******M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| ULLMAN, JOHN, GUY | Individual | – | CHAIRMAN OF THE BOARD, CEO, TREASURER, DIRECTOR | 08/1978 | 50-75% |
| ULLMAN, BARBARA, LYNN | Individual | – | FIRST VICE PRESIDENT, DIRECTOR | 08/1978 | 50-75% |
| SNOW, THOMAS, GRAHAM | Individual | – | SENIOR VICE PRESIDENT | 07/1982 | < 5% |
| COLE, ROBERT, ESMONDE | Individual | – | DIRECTOR | 01/1979 | < 5% |
| MERIWETHER, KAREN, BURNS | Individual | – | SENIOR VICE PRESIDENT | 01/1984 | < 5% |
| WINNETT, PETER, JAMES | Individual | – | SENIOR VICE PRESIDENT | 02/2008 | < 5% |
| KRASNANSKY, JENNIFER, ELIZABETH | Individual | – | CHIEF COMPLIANCE OFFICER | 02/2007 | < 5% |
| NOZELL, JOHN, DYNELEY | Individual | – | DIRECTOR | 02/2007 | < 5% |
| WILCOX, DARREN, LEE | Individual | – | CORPORATE SECRETARY & SENIOR VICE PRESIDENT | 02/2009 | < 5% |
| NICKERSON, JASON, DANIEL | Individual | – | PRESIDENT, COO, EXECUTIVE VICE PRESIDENT | 03/2023 | < 5% |
| HALE, DAVID, BIRDSALL | Individual | – | DIRECTOR | 02/2011 | < 5% |
| ZINGLER, HOWARD, JAY | Individual | – | DIRECTOR | 03/2012 | < 5% |
| ULLMAN, JOHN, GUYMUNDAY | Individual | – | DIRECTOR | 03/2015 | < 5% |
| Malone, Connie, Jean | Individual | – | CONTROLLER | 03/2017 | < 5% |
| O'REILLY, ROBERT, OWEN | Individual | – | DIRECTOR | 06/2016 | < 5% |
| Steven, Kauffman, Alan | Individual | – | VICE PRESIDENT | 03/2020 | < 5% |
| HUFF, DONALD, ALLEN | Individual | – | VICE PRESIDENT | 03/2020 | < 5% |