Ullman John & Associates Inc (Horseheads)

Name: Ullman John & Associates Inc
Address: 343 Daniel Zenker Drive, Horseheads, NY, 14845
Telephone: 607-936-3785

Ullman John & Associates Inc is a large advisory firm based in Horseheads. It manages $1.05 billion of regulatory assets for 2,922 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Alabama, Arizona, California, and 26 other states.

Ullman John & Associates provides financial planning services and portfolio management for individuals and small businesses. It prepares financial plans for approximately 1,000 clients. On top of advisory services, the firm doesn't engage in other business activities.

Ullman John & Associates: assets under management

The assets under management (AUM) of Ullman John & Associates Inc is $1.05 billion. The firm's AUM has grown by 127% since the beginning of its operation, and $7.19 million of the total AUM is attributable to clients outside of the United States.

The firm manages $1.03 billion in discretionary accounts and $26.45 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $355.24 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $911.98 thousand.

Investments

The firm invests in exchange traded securities the most. They account for 50% of the total AUM. The second-largest asset type is investment grade corporate bonds, which make up 36% of the firm’s portfolio. Investments in state and local bonds form 9% of the total invested assets.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Ullman John & Associates Inc for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Robert Esmonde Cole serves?

The firm provides services to individuals, charitable organizations, high net worth individuals, and corporations or other businesses. The largest group of clients of Robert Esmonde Cole is high net worth individuals with 245 clients and $697.25 million of assets under management. Among the 12 most similar advisory firms, Ullman John & Associates has the 3rd highest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $1.05 billion for 1,021 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 1% of the firm’s clients are foreign persons or businesses.

Ullman John & Associates doesn't advise any private funds.

Careers at Ullman John & Associates Inc

The company employs 49 people that are either part- or full-time employees. 65 percent of the employees work as investment advisers or researchers. 4 employees are registered as investment adviser representatives with the state securities authorities.

There’s a single person with the role of looking for and bringing in new clients on behalf of the firm. The firm compensates employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Robert Esmonde Cole has been acting as President since 1 Jan 1979. Connie Jean Malone joined the executive team most recently as the Controller.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
John Guy Ullman	President, treasurer, director	1 Aug 1978	50% - 75%	863300
Barbara Lynn Ullman	First vice president, director	1 Aug 1978	50% - 75%	1480541
Robert Esmonde Cole	Director	1 Jan 1979	Other	1480551
John J Dunphy	Director	1 Mar 1979	Other	1480549
Thomas Graham Snow	Senior vice president	1 Jul 1982	Other	1078459
Karen Burns Meriwether	Senior vice president	1 Jan 1984	Other	1245277
Stanley Lundine	Director	1 Jan 1996	Other	4346483
Stan Lundine	Director	1 Jan 1996	Other	4346483
Richard Allen Shafer	Director	1 Feb 1997	Other	4346473
James D Hankey	Vice president and director of operations	1 Aug 1999	Other	4009856
James Dwight Hankey	Vice president and director of operations	1 Aug 1999	Other	4009856
John Miles Holliday	Director	1 Feb 2000	Other	3194952
Cary Anne Muggleton	Senior vp business development	1 Dec 2002	Other	3062543
Edward H Schusler	Senior vice president	1 Dec 2002	Other	1256248
John James Murabito	Director	1 May 2003	Other	1075873
James Allen Kaffenbarger	Corporate secretary	1 Sep 2003	Other	4254971
Catherine Beth Crandall	Chief compliance officer	1 Sep 2004	Other	2164048
Jodi Gwen Nemeth	Vice president	1 Dec 2005	Other	4118724
Timothy Earl Sallade	Vice president	1 Dec 2005	Other	4575512
Jennifer Elizabeth Krasnansky	Chief compliance officer	1 Feb 2007	Other	4154058
John Dyneley Nozell	Director	1 Feb 2007	Other	5076075
Arthur Francis Kirk	Director	1 Feb 2007	Other	5313727
John D Nozell	Director	1 Feb 2007	Other	5076075
John B Lloyd	Director	1 Feb 2007	Other	4463063
Arthur F Kirk	Director	1 Feb 2007	Other	5313727
John Bruce Lloyd	Director	1 Feb 2007	Other	4463063
Peter James Winnett	Vice president	1 Feb 2008	Other	3021771
Jerry Lee Horton	Senior vp/controller	1 Feb 2008	Other	1485131
Jason Daniel Nickerson	Vice president, tax department	1 Feb 2008	Other	3018691
Darren Lee Wilcox	Corporate secretary	1 Feb 2009	Other	5198727
Darren L Wilcox	Corporate secretary	1 Feb 2009	Other	5198727
Robert Charles Andolina	Director	1 Mar 2010	Other	1558082
David Birdsall Hale	Director	1 Feb 2011	Other	2146441
David B Hale	Director	1 Feb 2011	Other	2146441
Howard Jay Zingler	Director	1 Mar 2012	Other	6044878
Jason Daniel Nickerson	Senior vice president	1 Mar 2014	Other	3018691
John Guymunday Ullman	Director	1 Mar 2015	Other	3267412
Robert Owen O'reilly	Director	1 Jun 2016	Other	5808409
Connie Jean Malone	Controller	1 Mar 2017	Other	6775246

Based in Horseheads

The principal office where Ullman John & Associates Inc performs its advisory services is located at 343 Daniel Zenker Drive, Horseheads, NY 14845 The mailing address of the firm is Po Box 1424, Corning, NY 14830. An additional office of the firm is in Rochester, NY. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 607-936-3785 or by fax 607-936-8361. The normal business hours are 8:00am - 5:00pm on Monday - Friday. You can find more information about the New York firm at jgua.net.