JOHN G. ULLMAN & ASSOCIATES, INC
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
FINTRXOverview
John G. Ullman & Associates, Inc. is an independent registered investment adviser organized as a corporation and SEC-registered since 1978. The firm serves both individual and family clients as well as institutional investors, operating on a percentage-of-assets fee model. Core advisory services include financial planning, portfolio management for individuals and small businesses, and educational seminars and workshops. The firm is not positioned as a capital allocator and does not identify as an active ESG investor in its disclosures.
Assets & Accounts
Public Holdings
Investments & Alternatives
Location & Offices
Investment profile
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient base
Client personas
Asset composition
- Exchange Traded Equities52%
- Investment Grade Corp Bonds36%
- Cash & Cash Equivalents6%
- State & Local Bonds3%
- Sovereign Bonds2%
Owners & executives
3 of 3JENNIFER KRASNANSKY
Vice President, Chief Compliance OfficerCRD 4154058
JOHN ULLMAN
CEO, Founder & ChairmanCRD 863300
JASON NICKERSON
President, Chief Operating OfficerCRD 3018691
Contacts
3 of 33Lynda Lander
AdvisorCRD 7894832
Jakob Brost
Associate AdvisorCRD 7807772
BARBARA ULLMAN
DirectorCRD 1480541
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXETF holdings
1 of 15Active vs passive
$15.3M in ETFs
66%
$10.1M
1%
$5.2M
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| VANECK VIETNAM ETF (VNM) | VanEck | $5M | 287,644 | 32.45% |
Location
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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