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JOHN G. ULLMAN & ASSOCIATES, INC
Legal name: ULLMAN JOHN & ASSOCIATES INC
CRD 105361File 801-14064
APPROVED
Retail clients
Custody
Filing as of Mar 30, 2026
Feed vintage Aug 17, 2026
Regulatory AUM
$1.51B
Above cohort median (national)
Discretionary AUM
$1.45B
Non-discretionary $57.5M
Clients
1,009
2,843 accounts
Employees
58
Above cohort median in NY
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- NYRO
- Registration date
- Sep 20, 1978
- Principal office
- 343 DANIEL ZENKER DRIVE, HORSEHEADS, NY, 14845
- Phone
- 607-936-3785
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $1.51B
- Discretionary AUM
- $1.45B
- Non-discretionary AUM
- $57.5M
- Discretionary accounts
- 2,806
- Non-discretionary accounts
- 37
- Total accounts
- 2,843
- AUM per client
- $1.5M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 9 | $3.3M |
| Charitable organizations | 8 | $26.4M |
| High net worth individuals | 324 | $1.17B |
| Individuals (other than high net worth individuals) | 668 | $309.7M |
Compensation & activities
ADV Items 5E, 5GCompensation
- A percentage of assets under your management
Advisory activities
- Other
- Financial planning services
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- Yes
- Firm Custody Clients
- Yes
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To |
|---|---|---|---|
| Aug 12, 2026 | Registration | — | APPROVED |
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.