9AT: JOHN G. ULLMAN & ASSOCIATES, INC

Adviser Profile

As of Date	03/30/2026
Registration	SEC, Approved, 09/20/1978
ADV Location	HORSEHEADS, NY, United States
Contact Info	607 xxxxxxx
Websites

AUM^*	1,511,017,383 20%
of that, discretionary	1,453,479,506 19%
Number of Employees	58 4%
of those in investment advisory functions	30 3%
Private Fund GAV^*	0
Avg Account Size	531,487 -3%
% High Net Worth	32.11% 20%
SMA’s	Yes
Private Funds	0

Adviser Type

- Large advisory firm

Client Types

- Individuals (other than high net worth individuals)
- High net worth individuals
- Charitable organizations
- Corporations or other businesses not listed above

Advisory Activities

- Financial planning services
- Portfolio management for individuals and/or small businesses
- Educational seminars/workshops

Compensation Arrangments

- A percentage of assets under your management

Accounting Firm Name	Filing Date	Form ADV-E
Accounting Firm Name MENGEL METZGER BARR & CO	Filing Date01/26/2026	Form ADV-E View Report
Accounting Firm Name MENGEL METZGER BARR & CO	Filing Date02/27/2025	Form ADV-E View Report
Accounting Firm Name MENGEL METZGER BARR & CO	Filing Date01/29/2024	Form ADV-E View Report

Adviser	Hedge Fund	Liquidity Fund	Private Equity Fund	Real Estate Fund	Securitized Asset Fund	Venture Capital Fund	Other Fund	Total Private Fund GAV	AUM	#Funds
Adviser PLATFORM TECHNOLOGY PARTNERS	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund51.4m	Total Private Fund GAV51.4m	AUM1.2b	#Funds6
Adviser WEAVER CAPITAL MANAGEMENT, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM537.8m	#Funds-
Adviser HYPERION PARTNERS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM354.4m	#Funds-
Adviser THOMAS LEO ADVISORY, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM192.7m	#Funds-
Adviser OFM WEALTH	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM310.5m	#Funds-
Adviser ARCHVEST WEALTH ADVISORS, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund2.1m	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV2.1m	AUM387.0m	#Funds1
Adviser CHANGING PARAMETERS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM105.4m	#Funds-
Adviser GEORGE MCKELVEY CO., LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM1.0b	#Funds-
Adviser APEX CAPITAL MANAGEMENT, L.L.C.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM225.2m	#Funds-
Adviser LEGEND FINANCIAL ADVISORS INC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM389.9m	#Funds-

Brochure Summary

Overview

John G. Ullman & Associates, Inc. (JGUA) is a comprehensive financial management firm offering to its clients discretionary investment advice and financial planning services regarding all aspects of their financial affairs. JGUA was founded in 1978 by John G. Ullman. The principal owners of JGUA still remain John G. & Barbara L. Ullman. Financial planning activities constitute approximately 50% of the services offered by JGUA. Investment management services are provided on a discretionary basis through customized programs. Clients receive investment advice on equity securities, warrants, corporate bonds, municipal bonds, convertible bonds, variable rate bonds, foreign currency bonds, commercial paper, bank CD's, mutual fund shares, exchange-traded funds, executive stock options, government securities and partnerships investing in real estate and oil and gas interests. With the prior consent of the client, JGUA furnishes discretionary investment management services defined as the authority to determine, without obtaining the specific client consent, the securities

to be bought or sold, the amount of the securities to be bought and sold and the commission rates to be paid. Investment advice is also furnished through consultation. JGUA manages balanced portfolios based on the personal objectives of clients. The portfolio can consist of one or more of several types of accounts, established in the client's name. JGUA works with clients to establish a risk tolerance profile that serves as our guide for investing. This risk segmentation profile is developed based on the clients overall financial goals, risk tolerance, other investments, and investment preferences. We do have processes in place to allow clients to impose restrictions on investing in certain securities or types of securities. As of December 31, 2023, JGUA had over $1,161,186,279 in assets under management. As of that date, JGUA managed $1,124,678,215 on a discretionary basis and $36,508,064 on a non- discretionary basis. In addition, we manage $99,110,950 in proprietary and employee assets. We manage over one thousand client families. - 2 - March 27, 2024

JOHN G. ULLMAN & ASSOCIATES, INC

JOHN G. ULLMAN & ASSOCIATES, INC

ULLMAN JOHN & ASSOCIATES INC

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Form ADV-E Surprise Examination Reports

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Brochure Summary

Overview

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JOHN G. ULLMAN & ASSOCIATES, INC JOHN G. ULLMAN & ASSOCIATES, INC ULLMAN JOHN & ASSOCIATES INC

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Form ADV-E Surprise Examination Reports

Similar advisers

Brochure Summary

Overview

JOHN G. ULLMAN & ASSOCIATES, INC

JOHN G. ULLMAN & ASSOCIATES, INC

ULLMAN JOHN & ASSOCIATES INC