Wealth manager, independent · Horseheads, NY
John G. Ullman & Associates, Inc
Ullman John & Associates Inc · SEC-registered investment adviser · CRD 105361 · SEC 801-14064
At a glance
John G. Ullman & Associates, Inc is an SEC-registered investment adviser based in Horseheads, New York, with $1.5B in regulatory assets under management as of its Form ADV filed March 30, 2026. It reports 992 individual clients, 324 of them high-net-worth, holding an average of about $1.5 million each, and 58 employees. That ranks it 727th among the nation’s 5,657 independent wealth management RIAs and 56th of 408 in New York. It reports 2 custodians for its clients’ separately managed accounts: Charles Schwab and Morgan Stanley.
Main office 607-936-3785jgua.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $1.5B
- Rank among independent wealth managers
- #727 of 5,657
- Rank among all SEC RIAs
- #4,247 of 17,210
- Rank in New York
- #56 of 408
- Individual clients
- 992
- High-net-worth clients
- 324
- Accounts
- 2,843
- Discretionary
- 96% of AUM
- Employees
- 58
- Advisory staff
- 30
- Offices
- 4
Owners and executives on its Form ADV
- John G. UllmanChairman of the Board, CEO, Treasurer, Director
- Barbara L. UllmanFirst Vice President, Director
- Thomas G. SnowSenior Vice President
- Robert E. ColeDirector
- Karen B. MeriwetherSenior Vice President
- Jennifer E. KrasnanskyChief Compliance Officer
- John D. NozellDirector
- Peter J. WinnettSenior Vice President
- Darren L. WilcoxCorporate Secretary & Senior Vice President
- Jason D. NickersonPresident, COO, Executive Vice President, Director
- David B. HaleDirector
- Howard J. ZinglerDirector
Custody and brokerage
Broker-dealer
No broker-dealer ties
John G. Ullman & Associates, Inc reports no employees registered with a broker-dealer and no affiliated broker-dealer.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 324 | $1.2B | 78% |
| Individuals | 668 | $310M | 20% |
| Charitable organizations | 8 | $26M | 2% |
| Corporations or other businesses | 9 | $3M | <1% |
Disciplinary disclosures
John G. Ullman & Associates, Inc reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Educational seminars and workshops
How it’s paid
- A percentage of assets under management
Form ADV and brochures on the SEC’s adviser search ↗jgua.com ↗
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The full record on John G. Ullman & Associates, Inc
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 2,517 peers of its type and size
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- Owners and executives, with titles and stakes
- 19 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Similar-size RIAs in New York
All of New York →| Firm | Regulatory AUM | Clients |
|---|---|---|
| Independent Solutions Wealth Management, LLCWilliamsville | $1.5B | 4,265 |
| Seacrest Wealth Management, LLCPurchase | $1.5B | 1,475 |
| Ascent Wealth Partners, LLCNew Hartford | $1.5B | 1,036 |
| Whitney & CompanyRochester | $1.5B | 739 |
| Shade Tree Advisors LLCSaratoga Springs | $1.5B | 31 |
| Fusion Family Wealth, LLCWoodbury | $1.4B | 359 |
Background
Questions
How much does John G. Ullman & Associates, Inc manage?
John G. Ullman & Associates, Inc reports $1.5B in regulatory assets under management across 2,843 accounts, 96% of it on a discretionary basis, on its Form ADV filed March 30, 2026.
How many clients does John G. Ullman & Associates, Inc have?
It reports 992 individual clients: 324 high-net-worth individuals and 668 other individuals. Individuals account for about 98% of its regulatory assets.
Where is John G. Ullman & Associates, Inc headquartered?
Its main office is in Horseheads, New York. It reports 4 offices in total and 58 employees, 30 of whom perform investment advisory functions.
How does John G. Ullman & Associates, Inc charge clients?
On Form ADV it lists these forms of compensation: a percentage of assets under management. Fees and minimums are set out in its Form ADV Part 2A brochure, available on the SEC’s adviser search.
What custodian does John G. Ullman & Associates, Inc use?
It reports 2 custodians for its clients’ separately managed accounts: Charles Schwab and Morgan Stanley. On Schedule D of its Form ADV filed March 30, 2026, it reports these amounts held: Charles Schwab ($1.1B); Morgan Stanley ($471M). Form ADV lists only custodians holding 10% or more of separately managed account assets.
Is John G. Ullman & Associates, Inc a hybrid RIA with a broker-dealer?
John G. Ullman & Associates, Inc reports no employees registered with a broker-dealer and no affiliated broker-dealer.
Is John G. Ullman & Associates, Inc a fiduciary?
As an SEC-registered investment adviser, John G. Ullman & Associates, Inc owes its advisory clients a fiduciary duty under the Investment Advisers Act of 1940, which includes duties of care and loyalty. It reports no employees who are registered representatives of a broker-dealer.
Where these numbers come from
Every figure is John G. Ullman & Associates, Inc’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-03-30), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Its national rank compares it with every US-based independent wealth management RIA, the same field as The Largest RIAs. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →