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- Custodian
- Charles Schwab & Company ยท Morgan Stanley
- Clients
- Retail and Institutional
- Platforms
- Available in AdvizorPro
- Established Date
- 08-01-1978
- Office Locations
- 5
Office Locations
About John G. Ullman & Associates, INC
John G. Ullman & Associates (founded 1978) is an RIA operating in New York and North Carolina, providing comprehensive financial planning and investment management. Its in-house model gives clients access to financial planners alongside tax, legal, and investment research professionals for integrated advice. Public filings indicate portfolios lean heavily on ETFs and investment-grade bonds. The firm also runs bi-weekly education podcasts, including a women-focused series.
Reported data analysis
What the numbers show
Between March 26, 2025 and March 30, 2026, reported AUM increased 11.1%, from $1.4B to $1.5B.
Across 5 reported observations, AUM increased 17.4% between March 28, 2022 and March 30, 2026, from $1.3B to $1.5B.
Of the latest reported AUM, 96.2% is discretionary and 3.8% is non-discretionary.
The firm reports 30 advisory representatives and 1,009 clients, or 33.6 clients per representative. That equates to $1.5M in reported AUM per client.
The profile lists 5 reported office locations and 48 years in operation. The source data was last updated on March 30, 2026. Figures reflect reported regulatory data and may not include subsequent changes.
Team overview
Additional firm insights
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Available data coverage
- Asset Classes
- Client Personas
- Custodian
- Investment Themes
- Investment Vehicles
- Services
- Technology
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The full John G. Ullman & Associates, INC record includes the detailed values behind these data categories, along with filters and export-ready prospecting fields.
Owner & Executives
BARBARA LYNN ULLMAN
Advisor, DIRECTOR, FIRST VICE PRESIDENT
- CRD
- --
- Ownership
- 50% but less than 75%
JOHN GUY ULLMAN
Chairman Of The Board, Chief Executive Officer, DIRECTOR, Investment Advisor, TREASURER
- CRD
- #863300
- Ownership
- 50% but less than 75%
Showing 2 of 19 owners & executives
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Joseph Thomas Ashton
--
- CRD
- #8221606
ANDREW HAAG BARON
Associate Advisor
- CRD
- #6259780
Showing 2 of 36 contacts
Unlock allAssets Under Management
| Category | Assets | AVG. Account size |
|---|---|---|
| Discretionary | $1,453,479,506 | $517,990 |
| Non-Discretionary | $57,537,877 | $1,555,078 |
| Total | $1,511,017,383 | $531,487 |
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Separately Managed Accounts
SMA allocation detail is available
John G. Ullman & Associates, INC has reported separately managed account data across 6 asset classes. AdvizorPro provides the associated asset values, allocation percentages, and exportable breakdown.
13F Holdings | Q2 2026
Review the latest reported holdings
John G. Ullman & Associates, INC's 13F holdings detail is available for Q2 2026, including issuer, security class, CUSIP, ticker, portfolio weight, and reported value.