Ullman John & Associates Inc
SEC-registered
Wealth Manager · Mid-sized ($1B–$10B)
CRD 105361
· SEC file 801-14064
· Horseheads, NY
· WWW.LINKEDIN.COM
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ADV data as of Mar 30, 2026
- Regulatory AUM
- $1.5B
- Discretionary
- $1.5B
- Clients
- 1,009
- Avg AUM / client
- $1.5M
- Accounts
- 2,843
- Employees
- 58
AUM over time
$750M
$1.5B
Nov 2011
Dec 2025
Annual snapshots from Form ADV filings · as of Mar 30, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 668 | $310M | 20.5% |
| High net worth individuals | 324 | $1.2B | 77.5% |
| Charitable organizations | 8 | $26.4M | 1.75% |
| Corporations and other businesses | 9 | $3.3M | 0.22% |
People (35)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| John Guy Ullman | Chairman Of The Board, Ceo, Treasurer, Director | Aug 1978 (48y) | 50% – 75% | |
| Ullman, Barbara, Lynn | First Vice President, Director | Aug 1978 (48y) | 50% – 75% | |
| Cole, Robert, Esmonde | Director | Jan 1979 (48y) | Less than 5% | |
| Thomas Graham Snow | Senior Vice President | Jul 1982 (44y) | Less than 5% | |
| Karen Burns Meriwether | Senior Vice President | CFP | Jan 1984 (43y) | Less than 5% |
| Krasnansky, Jennifer, Elizabeth | Chief Compliance Officer | Feb 2007 (20y) | Less than 5% | |
| Nozell, John, Dyneley | Director | Feb 2007 (20y) | Less than 5% | |
| Peter James Winnett | Senior Vice President | CFP | Feb 2008 (19y) | Less than 5% |
| Darren Lee Wilcox | Corporate Secretary & Senior Vice President | CFP | Feb 2009 (18y) | Less than 5% |
| Hale, David, Birdsall | Director | Feb 2011 (16y) | Less than 5% | |
| Zingler, Howard, Jay | Director | Mar 2012 (14y) | Less than 5% | |
| Ullman, John, Guymunday | Director | Mar 2015 (11y) | Less than 5% | |
| O'reilly, Robert, Owen | Director | Jun 2016 (10y) | Less than 5% | |
| Malone, Connie, Jean | Controller | Mar 2017 (9y) | Less than 5% | |
| Huff, Donald, Allen | Vice President | Mar 2020 (6y) | Less than 5% | |
| Steven, Kauffman, Alan | Vice President | Mar 2020 (6y) | Less than 5% | |
| Jason Daniel Nickerson | President, Coo, Executive Vice President | CFP | Jul 2021 (5y) | Less than 5% |
| Amanda Lee Herrick Smith | Registered representative | CFP | Jul 2021 (5y) | |
| Andrew Haag Baron | Registered representative | CFP | Jul 2021 (5y) | |
| Judith Ann Palumbo | Registered representative | CFP | Jul 2021 (5y) | |
| Kathryn Wright Gerwig | Registered representative | CFP | Jul 2021 (5y) | |
| Todd A Brost | Registered representative | CFP | Aug 2021 (5y) | |
| Jakob Parker Brost | Registered representative | Nov 2023 (3y) | ||
| Jase Hollenbeck Merrill | Registered representative | Dec 2023 (3y) | ||
| Lynda Jean Lander | Registered representative | CFP | Apr 2024 (2y) | |
| Derek Alan Doyle | Registered representative | May 2024 (2y) | ||
| Susan Lynn Ford | Registered representative | May 2024 (2y) | ||
| Scott Weston Townsend | Registered representative | CFP | May 2024 (2y) | |
| Shawn Stephen Twigg | Registered representative | CFP | Nov 2024 (2y) | |
| Sarah Emily Johanna Collier | Registered representative | Jan 2025 (2y) | ||
| Lisa Anne Caracci | Registered representative | Jul 2025 (1y) | ||
| Daniel Aaron Coakwell | Registered representative | Nov 2025 (1y) | ||
| Alexander T Chacho | Registered representative | Dec 2025 (1y) | ||
| Logan Joshua Dibble | Registered representative | Feb 2026 (0y) | ||
| Joseph Thomas Ashton | Registered representative | Jul 2026 (0y) |
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/30/2026 | 1.07 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Educational seminars/workshops
Custody
Reported custodians
- Charles Schwab & Co. $1.1B (70% of AUM) Mar 2026
- Morgan Stanley $471M (31% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 30, 2026.
View current Form ADV (SEC/IAPD) ↗