John G. Ullman & Associates, Inc

RIASEC RegisteredEst. 1978
Total AUM
$1.5B
Discretionary
$1.5B
96% of AUM
Avg account
$531K
Accounts
2,843
Employees
58
Advisory reps
37

Firm details

Headquarters
Horseheads, New York
CRD number
105361
Registered since
September 20, 1978
Website
jgua.com
Custodians
CHARLES SCHWAB & CO., INC., MORGAN STANLEY & CO. LLC
Fee structure
Percentage of AUM
Client types
  • HNWI77.54%
  • Individuals20.5%
  • Charitable Organizations1.75%
  • Corporations / Businesses0.22%
Services
Financial PlanningPortfolio Management for IndividualsEducational Seminars / Workshops

Firm profile

FINTRX

Overview

John G. Ullman & Associates, Inc. is an independent, SEC-registered registered investment adviser that has been operating since 1978. The firm is owned by an individual and provides advisory services to both individual/family clients and institutional clients. Its client-facing work centers on financial planning, portfolio management for individuals and small businesses, and educational seminars and workshops. Compensation is charged as a percentage of assets under management. The firm is not identified as an active ESG investor and is not classified as a capital allocator.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

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Investment profile

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Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Asset composition: Exchange Traded Equities 52%, Investment Grade Corp Bonds 36%, Cash & Cash Equivalents 6%, State & Local Bonds 3%, Sovereign Bonds 2%, US Government Bonds 1%52%
  • Exchange Traded Equities52%
  • Investment Grade Corp Bonds36%
  • Cash & Cash Equivalents6%
  • State & Local Bonds3%
  • Sovereign Bonds2%

Owners & executives

3 of 3
  • Jennifer Krasnansky

    Jennifer Krasnansky

    Vice President, Chief Compliance OfficerCRD 4154058

  • John Ullman

    John Ullman

    CEO, Founder & ChairmanCRD 863300

  • Jason Nickerson

    Jason Nickerson

    President, Chief Operating OfficerCRD 3018691

Contacts

3 of 34
  • Lynda Lander

    Lynda Lander

    AdvisorCRD 7894832

  • Jakob Brost

    Jakob Brost

    Associate AdvisorCRD 7807772

  • Barbara Ullman

    Barbara Ullman

    DirectorCRD 1480541

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Wealth teams

FINTRX

Newly hired reps

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Recent M&A activity

FINTRX

Recent filings

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Awards

FINTRX

ETF holdings

1 of 19

Active vs passive

$18.6M in ETFs

Passive

70%

$13.1M

Active

2%

$5.5M

ETFProviderStyleCategoryValueShares% of portfolio
VANGUARD 500 INDEX FUND (VOO)VanguardPassiveLarge Blend$5.3M7,72828.54%
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Location

Primary office

Horseheads, NY

Chemung

Location

Horseheads, NY

Headquartered in Horseheads, NY, anchoring the Elmira-Corning, NY metro in the Northeast.

Metro area
Elmira-Corning, NY
Region
Northeast
County
Chemung
Address
343 Daniel Zenker Dr
Time zone
ET (UTC-5)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth