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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 Oct 1, 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
- Website
- HTTP://WWW.JGUA.NET
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 | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Employees | 63 | 58 | decreased by5 |
| Apr 1, 2026 | Clients | 1,000 | 1,009 | increased by9 |
| Apr 1, 2026 | AUM | $1,360,062,953 | $1,511,017,383 | increased by$150,954,430 |
| Apr 1, 2026 | Accounts | 2,835 | 2,843 | increased by8 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 48 | 63 | increased by15 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 998 | 1,000 | increased by2 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $1,286,925,405 | $1,360,062,953 | increased by$73,137,548 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 998 | 2,835 | increased by1,837 |
| Apr 1, 2022 | Clients | 1,008 | 998 | decreased by10 |
| Apr 1, 2022 | AUM | $1,177,088,135 | $1,286,925,405 | increased by$109,837,270 |
| Apr 1, 2022 | Accounts | 2,866 | 998 | decreased by1,868 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “JOHN ULLMAN” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“JOHN ULLMAN” may also match similarly-named firms). Confirm identity against each filing.
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.