Uhlmann Investment Management, L.L.C.
- Regulatory AUM
- $273M
- Discretionary
- $233M
- Clients
- 456
- Avg AUM / client
- $599K
- Accounts
- 460
- Employees
- 11
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 24, 2026
Investments (13F portfolio — 253 positions, $1,489,147,787)
13F period Mar 31, 2026| # | Issuer | Class | Value | Shares | % of 13F | % of AUM |
|---|---|---|---|---|---|---|
| 1 | Kla Corp | COM NEW | $1,223,272,156 | 781,072 | 82.1% | 447.8% |
| 2 | Wisdomtree Tr | FLOATNG RAT TREA | $22,179,228 | 438,370 | 1.49% | 8.12% |
| 3 | Apple Inc | COM | $11,030,600 | 43,717 | 0.74% | 4.04% |
| 4 | Southern Co | COM | $10,105,906 | 107,523 | 0.68% | 3.7% |
| 5 | Cisco Sys Inc | COM | $5,891,584 | 73,648 | 0.4% | 2.16% |
| 6 | Goldman Sachs Group Inc | COM | $5,467,562 | 6,488 | 0.37% | 2.0% |
| 7 | Alphabet Inc | CAP STK CL C | $5,325,875 | 18,512 | 0.36% | 1.95% |
| 8 | Blackstone Inc | COM | $5,173,219 | 44,989 | 0.35% | 1.89% |
| 9 | Intuit | COM | $4,759,791 | 11,008 | 0.32% | 1.74% |
| 10 | Vanguard Index Fds | S&P 500 ETF SHS | $4,690,131 | 7,786 | 0.32% | 1.72% |
| 11 | Jpmorgan Chase & Co | COM | $4,495,592 | 15,328 | 0.3% | 1.65% |
| 12 | Eli Lilly & Co | COM | $4,245,156 | 4,701 | 0.29% | 1.55% |
| 13 | Microsoft Corp | COM | $3,757,334 | 10,101 | 0.25% | 1.38% |
| 14 | Nvidia Corporation | COM | $3,430,180 | 19,592 | 0.23% | 1.26% |
| 15 | State Str Spdr S&P 500 Etf T | TR UNIT | $3,354,329 | 5,137 | 0.23% | 1.23% |
| 16 | Berkshire Hathaway Inc Del | CL B NEW | $3,317,035 | 6,921 | 0.22% | 1.21% |
| 17 | Johnson & Johnson | COM | $3,308,623 | 13,846 | 0.22% | 1.21% |
| 18 | Hershey Co | COM | $3,214,658 | 14,938 | 0.22% | 1.18% |
| 19 | Uber Technologies Inc | COM | $3,088,390 | 42,889 | 0.21% | 1.13% |
| 20 | Walmart Inc | COM | $2,827,095 | 23,051 | 0.19% | 1.03% |
| 21 | American Express Co | COM | $2,807,392 | 9,296 | 0.19% | 1.03% |
| 22 | Abbvie Inc | COM | $2,707,209 | 12,875 | 0.18% | 0.99% |
| 23 | Neuberger Engy Infrstr & Inc | COM | $2,521,366 | 239,902 | 0.17% | 0.92% |
| 24 | Ishares Tr | CORE US AGGBD ET | $2,461,791 | 24,927 | 0.17% | 0.9% |
| 25 | Mexico Fd Inc | COM | $2,242,739 | 107,154 | 0.15% | 0.82% |
Top 25 of 253 positions from the manager's latest Form 13F · source filing (EDGAR) ↗. 13F covers long US-listed positions only. "% of AUM" is share of the firm's total regulatory AUM (Form ADV Item 5.F).
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 229 | $23.0M | 8.42% |
| High net worth individuals | 227 | $238M | 87.2% |
| Charitable organizations | Fewer than 5 clients | $10.7M | 3.91% |
| Corporations and other businesses | Fewer than 5 clients | $1.2M | 0.45% |
People (15)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| James Dana Baer | President | Apr 2001 (25y) | ≈ 14.06% – 50% via Ups Holdings, L.L.C. | |
| Alan Robert Konn | Managing Member | Aug 2007 (19y) | ≈ 14.06% – 50% via Ups Holdings, L.L.C. | |
| Michael Fitzgerald Dunne | Cco | Mar 2022 (4y) | Less than 5% | |
| Vernon Kelley Armour | Registered representative | Nov 2009 (17y) | ||
| Michael Coyle Dillon | Registered representative | Jun 2012 (14y) | ||
| Terry Michael Finkel | Registered representative | Dec 2012 (14y) | ||
| Lawrence Michael Doody | Registered representative | Sep 2013 (13y) | ||
| James Patrick Kozak | Registered representative | Nov 2017 (9y) | ||
| Gordon Eliot Fallone | Registered representative | Nov 2017 (9y) | ||
| Michael David Herrmann | Registered representative | Jul 2020 (6y) | ||
| William John Lillwitz | Registered representative | CFP | Jan 2021 (6y) | |
| Maureen (Nmn) Mackowski | Registered representative | Oct 2025 (1y) | ||
| Thomas James Langer | Registered representative | Jan 2026 (1y) | ||
| Matthew James Barbera | Registered representative | Mar 2026 (0y) | ||
| Damian Tyler Ferguson | Registered representative | Jun 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Uhlmann Price Securities, Llc | Owner | Dec 2003 | A | 75% or more |
| Ups Holdings, L.L.C. | Holding Company | Jan 2018 | B | ≈ 56.25% – 100% via Uhlmann Price Securities, Llc |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- James Dana Baer: 25% – 50% of Ups Holdings, L.L.C. × 75% – 100% of Uhlmann Price Securities, Llc × 75% – 100% direct ≈ 14.06% – 50% of the firm
- Alan Robert Konn: 25% – 50% of Ups Holdings, L.L.C. × 75% – 100% of Uhlmann Price Securities, Llc × 75% – 100% direct ≈ 14.06% – 50% of the firm
- Ups Holdings, L.L.C.: 75% – 100% of Uhlmann Price Securities, Llc × 75% – 100% direct ≈ 56.25% – 100% of the firm
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) | 03/24/2026 | 1.27 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
- • Portfolio management for individuals/small businesses
- • Selection of other advisers
Custody
Firm reports it does not have custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 24, 2026.
View current Form ADV (SEC/IAPD) ↗