John G. Ullman & Associates is a comprehensive financial management firm founded in 1978. The firm provides discretionary investment management and personalized financial planning, with planning services constituting about half of its offerings. John G. Ullman & Associates builds customized, balanced portfolios based on each client's specific goals and risk tolerance, investing across a wide range of asset classes including equities, bonds, mutual funds, exchange-traded funds, and real estate partnerships. Portfolios are managed primarily at the family level rather than individual accounts. In addition to managing investments, the firm's advisors help clients navigate all aspects of their financial lives, working with individuals, high-net-worth clients, trusts, foundations, and businesses.
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $1.0M | 2.00% |
| $1.0M - $2.0M | 1.75% |
| $2.0M - $3.0M | 1.50% |
| $3.0M - $4.0M | 1.25% |
| $4.0M - $5.0M | 1.13% |
| $5.0M - $12.0M | 1.00% |
| $12.0M - $15.0M | 0.76% |
| $15.0M - $20.0M | 0.68% |
| $20.0M - $25.0M | 0.60% |
| $25M+ | 0.55% |
There is a minimum annual fee of $5,000. Fees are not negotiable, though minimum fees and rates may be reduced for nonprofit organizations or special situations.