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- Custodian
- Charles Schwab & Company ยท Morgan Stanley
- Clients
- Retail and Institutional
- Platforms
- Available
- 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.
Team overview
Insights
Asset Classes
Client Personas
Custodian
Investment Themes
Investment Vehicles
Services
Technology
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 37 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
Total SMA Asset: Available
| Asset class | Assets | Assets % |
|---|---|---|
| Equity - Exchange | Available | Available |
| Corporate - Investment Grade | Available | Available |
| Cash | Available | Available |
| Municipal Bonds | Available | Available |
| Sovereign Bonds | Available | Available |
| U.S. Government/Agency | Available | Available |
| Total | Available | Available |
13F Holdings | Q1 2026
| Issuer | Class | CUSIP | Ticker | % | Value |
|---|---|---|---|---|---|
| Available | Available | Available | Available | Available | Available |
| Available | Available | Available | Available | Available | Available |
| Available | Available | Available | Available | Available | Available |
| Available | Available | Available | Available | Available | Available |
| Available | Available | Available | Available | Available | Available |
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