# John G. Ullman & Associates, Inc

> John G. Ullman & Associates, Inc is an SEC-registered investment advisory firm in Horseheads, NY, registered since 1978, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated March 30, 2026.

- CRD: 105361
- Filed as: JOHN G. ULLMAN & ASSOCIATES, INC
- Legal name: Ullman John & Associates Inc
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Horseheads, NY
- Filing period: October 2026
- Form ADV filing dated: March 30, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/105361
- AdvisorCensus page: https://advisorcensus.com/firm/john-g-ullman-and-associates-inc-horseheads-ny-105361

## Quick answers

**How is John G. Ullman & Associates, Inc compensated?**
On its Form ADV (Item 5.E, October 2026), John G. Ullman & Associates, Inc reports these compensation arrangements: a percentage of assets under its management. The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Where is John G. Ullman & Associates, Inc located?**
John G. Ullman & Associates, Inc's principal office is in Horseheads, NY, according to its Form ADV; the April 2026 filing also lists 3 other offices (Schedule D, Section 1.F).

**Is John G. Ullman & Associates, Inc registered with the SEC or a state?**
John G. Ullman & Associates, Inc is an SEC-registered investment advisory firm, registered since 1978. Status as filed: Approved. CRD 105361.

**How much does John G. Ullman & Associates, Inc manage?**
John G. Ullman & Associates, Inc reports $1,511,017,383 in regulatory assets under management in its Form ADV filing dated March 30, 2026 (96% discretionary).

**How have John G. Ullman & Associates, Inc's assets and staff changed since 2021?**
In the Form ADV data for John G. Ullman & Associates, Inc: Regulatory assets under management: $1,177,088,135 in the October 2021 data and $1,511,017,383 in the October 2026 data, up 28%. Total employees: 48 in October 2021 and 58 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does John G. Ullman & Associates, Inc serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (668); high net worth individuals (324); corporations or other businesses not listed above (9).

**Which custodians does John G. Ullman & Associates, Inc use?**
John G. Ullman & Associates, Inc's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. and Morgan Stanley as custodians holding 10% or more of its separately managed account assets.

**Does John G. Ullman & Associates, Inc report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/105361

**What changed in John G. Ullman & Associates, Inc's recent Form ADV filings?**
In the April 2026 filing data: Employees performing advisory functions went from 31 to 30. Regulatory assets under management went from $1,360,062,953 to $1,511,017,383 (+11%). Registered or notice-filed in IN.

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.
- Morgan Stanley

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

### Regulatory assets under management (Item 5.F)
- Total: $1,511,017,383
- Discretionary: $1,453,479,506
- Non-discretionary: $57,537,877

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 668 | $309,692,874 |
| High net worth individuals | 324 | $1,171,589,637 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | $0 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 0 | $0 |
| Charitable organizations | 8 | $26,403,162 |
| State or municipal government entities (including government pension plans) | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses not listed above | 9 | $3,331,710 |
| Other | 0 | $0 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Educational seminars/workshops

### Firm details
- Registered since: 1978 (48 years)
- Employees: 58 total, 30 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: AL, AZ, CA, CT, DC, FL, GA, IL, IN, KY, MA, MD, ME, MI, NC, NE, NH, NJ, NM, NY, OH, OR, PA, SC, TN, TX, UT, VA, WA
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Other offices (Schedule D, Section 1.F), as of the April 2026 filing
- Charlotte, NC
- Corning, NY
- Rhinebeck, NY

### Websites listed on Form ADV (Item 1.I)
- [jgua.com](https://jgua.com)
- [jgua.net](https://jgua.net)
- Facebook @JGUAHQ
- LinkedIn @JOHN-G-ULLMAN-&-ASSOCIATES-INC-
- X @JGUA_HQ

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $1,177,088,135 | 48 | March 30, 2021 |
| October 2022 | $1,286,925,405 | 48 | March 28, 2022 |
| October 2023 | $1,199,391,197 | 58 | August 30, 2023 |
| October 2024 | $1,262,886,094 | 56 | March 27, 2024 |
| October 2025 | $1,360,062,953 | 63 | March 26, 2025 |
| October 2026 | $1,511,017,383 | 58 | March 30, 2026 |

Regulatory assets under management: $1,177,088,135 in the October 2021 data and $1,511,017,383 in the October 2026 data, up 28%.
Total employees: 48 in October 2021 and 58 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Employees performing advisory functions went from 31 to 30.
- Regulatory assets under management went from $1,360,062,953 to $1,511,017,383 (+11%).
- Registered or notice-filed in IN.

### January 2026
- No longer registered or notice-filed in MN.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. John G. Ullman & Associates, Inc (CRD 105361): Form ADV filing data as of October 2026.